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Nasdaq · USD

CLFD

Clearfield, Inc.

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5688
SEC CIK
0000796505
Parsed reports
299

Last 12 months

Inside the activity.

1 purchase rows · 8 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202510
Jan 202600
Feb 202601
Mar 202600
Apr 202600
May 202604
Jun 202602
Jul 202601
Aug 202600
Sep 202600
Oct 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
November 14, 2018 Filed Nov 16, 2018 19:54 UTC
HERZOG DANIEL RChief Financial Officer
GrantOption to Purchase Common Stock · Derivative 24,000 $0.00 Strike: $12.17 $0.00
Disclosure

SEC source: 0000796505-18-000022 · primary_doc.xml · derivative · entry 2

HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2022-11-14

F1 · derivative.exercise_date: The stock option vests as to one-third of the options on the first three anniversaries of the date of grant subject to the reporting person's continued employment through each such date.

Read SEC document
August 21, 2018 Filed Aug 23, 2018 21:05 UTC
Hill John PChief Operating Officer
Tax withholdingCommon Stock 2,091 $13.03 $27,245.73
Disclosure

SEC source: 0000796505-18-000020 · primary_doc.xml · nonDerivative · entry 1

Hill John P · CIK 0001449386 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,834

F1 · kind: Payment of tax by withholding shares on vesting the fourth 10% of restricted stock that was granted on August 21, 2014.

Read SEC document
August 21, 2018 Filed Aug 23, 2018 21:09 UTC
Beranek CherylDirector · Chief Executive Officer
Tax withholdingCommon Stock 2,091 $13.03 $27,245.73
Disclosure

SEC source: 0000796505-18-000021 · primary_doc.xml · nonDerivative · entry 1

Beranek Cheryl · CIK 0001264406 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 565,065

F1 · kind: Payment of tax by withholding shares on vesting the fourth 10% of restricted stock that was granted on August 21, 2014.

Read SEC document
August 21, 2018 Filed Aug 23, 2018 21:01 UTC
HERZOG DANIEL RChief Financial Officer
Tax withholdingCommon Stock 729 $13.03 $9,498.87
Disclosure

SEC source: 0000796505-18-000019 · primary_doc.xml · nonDerivative · entry 1

HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,317

F1 · kind: Payment of tax by withholding shares on vesting the fourth 10% of restricted stock that was granted on August 21, 2014.

F2 · balance_after: Since the last ownership report, shares beneficially owned by the reporting person reflects the exempt transfer under Section 16 of 163 shares pursuant to an agreement dated May 19, 2017.

Read SEC document
June 30, 2018 Filed Jul 2, 2018 21:50 UTC
Beranek CherylDirector · Chief Executive Officer
GrantCommon Stock (ESPP) 554 $9.39 $5,202.06
Disclosure

SEC source: 0000796505-18-000018 · primary_doc.xml · nonDerivative · entry 1

Beranek Cheryl · CIK 0001264406 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567,156

F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for period January 1-June 30, 2018. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on June 30, 2018.

Read SEC document
June 30, 2018 Filed Jul 2, 2018 21:45 UTC
Hill John PChief Operating Officer
GrantCommon Stock (ESPP) 858 $9.39 $8,056.62
Disclosure

SEC source: 0000796505-18-000017 · primary_doc.xml · nonDerivative · entry 1

Hill John P · CIK 0001449386 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,925

F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for period January 1-June 30, 2018. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on June 30, 2018.

Read SEC document
June 30, 2018 Filed Jul 2, 2018 21:40 UTC
HERZOG DANIEL RChief Financial Officer
GrantCommon Stock (ESPP) 106 $9.39 $995.34
Disclosure

SEC source: 0000796505-18-000016 · primary_doc.xml · nonDerivative · entry 1

HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,209

F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for period January 1-June 30, 2018. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on June 30, 2018.

Read SEC document
May 26, 2018 Filed May 30, 2018 15:57 UTC
Beranek CherylDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,155 $11.10 $46,120.50
Disclosure

SEC source: 0000796505-18-000015 · primary_doc.xml · nonDerivative · entry 1

Beranek Cheryl · CIK 0001264406 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 566,602

F1 · kind: Payment of tax by withholding shares on vesting the second 1/3 of restricted stock that was granted on May 26, 2016.

Read SEC document
May 26, 2018 Filed May 30, 2018 15:53 UTC
Hill John PChief Operating Officer
Tax withholdingCommon Stock 4,155 $11.10 $46,120.50
Disclosure

SEC source: 0000796505-18-000014 · primary_doc.xml · nonDerivative · entry 1

Hill John P · CIK 0001449386 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,067

F1 · kind: Payment of tax by withholding shares on vesting the second 1/3 of restricted stock that was granted on May 26, 2016.

Read SEC document
May 26, 2018 Filed May 30, 2018 15:49 UTC
HERZOG DANIEL RChief Financial Officer
Tax withholdingCommon Stock 2,175 $11.10 $24,142.50
Disclosure

SEC source: 0000796505-18-000013 · primary_doc.xml · nonDerivative · entry 1

HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,103

F1 · kind: Payment of tax by withholding shares on vesting the second 1/3 of restricted stock that was granted on May 26, 2016.

Read SEC document
May 14, 2018 Filed May 15, 2018 15:08 UTC PurchaseCommon Stock 1,000 $11.35 $11,350.00
Disclosure

SEC source: 0000796505-18-000012 · primary_doc.xml · nonDerivative · entry 1

Harding Roger G · CIK 0001680157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,856

Read SEC document
May 04, 2018 Filed May 4, 2018 20:31 UTC
ROTH RONALD GDirector · 10% owner · Chairman of the Board
PurchaseCommon Stock 1,935 $12.25 $23,703.75
Disclosure

SEC source: 0000796505-18-000011 · primary_doc.xml · nonDerivative · entry 3

ROTH RONALD G · CIK 0001257956 · Director · 10% owner · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,330,331

Read SEC document
May 03, 2018 Filed May 4, 2018 20:31 UTC
ROTH RONALD GDirector · 10% owner · Chairman of the Board
PurchaseCommon Stock 2,654 $12.19 $32,352.26
Disclosure

SEC source: 0000796505-18-000011 · primary_doc.xml · nonDerivative · entry 2

ROTH RONALD G · CIK 0001257956 · Director · 10% owner · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,228,396

F1 · price: The price in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.15 to $12.20.

Read SEC document
May 02, 2018 Filed May 4, 2018 20:31 UTC
ROTH RONALD GDirector · 10% owner · Chairman of the Board
PurchaseCommon Stock 411 $12.10 $4,973.10
Disclosure

SEC source: 0000796505-18-000011 · primary_doc.xml · nonDerivative · entry 1

ROTH RONALD G · CIK 0001257956 · Director · 10% owner · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,225,742

Read SEC document
February 23, 2018 Filed Feb 27, 2018 16:49 UTC
ROTH RONALD GDirector · 10% owner · Chairman of the Board
GrantCommon Stock 847 $0.00 $0.00
Disclosure

SEC source: 0000796505-18-000010 · primary_doc.xml · nonDerivative · entry 1

ROTH RONALD G · CIK 0001257956 · Director · 10% owner · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,225,331

F1 · shares: Restrictions on Restricted Stock lapse the first business day prior to the 2019 Annual Meeting of Shareholders.

Read SEC document
February 23, 2018 Filed Feb 27, 2018 16:44 UTC GrantCommon Stock 847 $0.00 $0.00
Disclosure

SEC source: 0000796505-18-000009 · primary_doc.xml · nonDerivative · entry 1

HAYSSEN CHARLES N · CIK 0001285734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,616

F1 · shares: Restrictions on Restricted Stock lapse the first business day prior to the 2019 Annual Meeting of Shareholders.

Read SEC document
February 23, 2018 Filed Feb 27, 2018 16:40 UTC GrantCommon Stock 847 $0.00 $0.00
Disclosure

SEC source: 0000796505-18-000008 · primary_doc.xml · nonDerivative · entry 1

Harding Roger G · CIK 0001680157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,856

F1 · shares: Restrictions on Restricted Stock lapse the first business day prior to the 2019 Annual Meeting of Shareholders.

Read SEC document
February 23, 2018 Filed Feb 27, 2018 16:37 UTC GrantCommon Stock 847 $0.00 $0.00
Disclosure

SEC source: 0000796505-18-000007 · primary_doc.xml · nonDerivative · entry 1

Hayward Donald R. · CIK 0001410825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,326

F1 · shares: Restrictions on Restricted Stock lapse the first business day prior to the 2019 Annual Meeting of Shareholders.

Read SEC document
February 23, 2018 Filed Feb 27, 2018 16:33 UTC GrantCommon Stock 847 $0.00 $0.00
Disclosure

SEC source: 0000796505-18-000006 · primary_doc.xml · nonDerivative · entry 1

Goepel Patrick · CIK 0001472118 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,379

F1 · shares: Restrictions on Restricted Stock lapse the first business day prior to the 2019 Annual Meeting of Shareholders.

F2 · balance_after: Includes 21,370 shares held jointly with spouse.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 17:00 UTC Exercise / conversionDirector Non-Qualified Stock Option (Right to Buy) · Derivative 2,400 $0.00 Strike: $5.91 $0.00
Disclosure

SEC source: 0000796505-18-000005 · primary_doc.xml · derivative · entry 2

HAYSSEN CHARLES N · CIK 0001285734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,400 shares

Expires 2018-02-24

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
February 20, 2018 Filed Feb 21, 2018 17:00 UTC Exercise / conversionCommon Stock 2,400 $5.91 $14,184.00
Disclosure

SEC source: 0000796505-18-000005 · primary_doc.xml · nonDerivative · entry 1

HAYSSEN CHARLES N · CIK 0001285734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,769

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
February 05, 2018 Filed Feb 6, 2018 17:20 UTC PurchaseCommon Stock 1,000 $12.65 $12,650.00
Disclosure

SEC source: 0000796505-18-000004 · primary_doc.xml · nonDerivative · entry 1

Harding Roger G · CIK 0001680157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,009

Read SEC document
December 31, 2017 Filed Jan 3, 2018 19:54 UTC
Beranek CherylDirector · Chief Executive Officer
GrantCommon Stock (ESPP) 500 $10.41 $5,205.00
Disclosure

SEC source: 0000796505-18-000003 · primary_doc.xml · nonDerivative · entry 1

Beranek Cheryl · CIK 0001264406 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 570,757

F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for period July 1-December 31, 2017. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on December 31, 2017.

Read SEC document
December 31, 2017 Filed Jan 3, 2018 19:50 UTC
Hill John PChief Operating Officer
GrantCommon Stock (ESPP) 779 $10.41 $8,109.39
Disclosure

SEC source: 0000796505-18-000002 · primary_doc.xml · nonDerivative · entry 1

Hill John P · CIK 0001449386 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,222

F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for period July 1-December 31, 2017. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on December 31, 2017.

Read SEC document
December 31, 2017 Filed Jan 3, 2018 19:46 UTC
HERZOG DANIEL RChief Financial Officer
GrantCommon Stock (ESPP) 97 $10.41 $1,009.77
Disclosure

SEC source: 0000796505-18-000001 · primary_doc.xml · nonDerivative · entry 1

HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,278

F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for period July 1-December 31, 2017. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on December 31, 2017.

Read SEC document
October 03, 2017 Filed Oct 4, 2017 14:08 UTC
Beranek CherylDirector · Chief Executive Officer
GiftCommon Stock 700 $13.90 $9,730.00
Disclosure

SEC source: 0000796505-17-000029 · primary_doc.xml · nonDerivative · entry 1

Beranek Cheryl · CIK 0001264406 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 570,257

F1 · price: Closing price as of the date of gift.

Read SEC document
August 23, 2017 Filed Aug 24, 2017 20:55 UTC
Beranek CherylDirector · Chief Executive Officer
Tax withholdingCommon Stock 8,806 $11.58 $101,973.48
Disclosure

SEC source: 0000796505-17-000028 · primary_doc.xml · nonDerivative · entry 1

Beranek Cheryl · CIK 0001264406 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 570,957

F1 · kind: Payment of tax by withholding shares on vesting of fifth and final 20% of restricted stock that was granted on August 23, 2012.

Read SEC document
August 23, 2017 Filed Aug 24, 2017 20:51 UTC
Hill John PChief Operating Officer
Tax withholdingCommon Stock 8,806 $11.58 $101,973.48
Disclosure

SEC source: 0000796505-17-000027 · primary_doc.xml · nonDerivative · entry 1

Hill John P · CIK 0001449386 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,443

F1 · kind: Payment of tax by withholding shares on vesting of fifth and final 20% of restricted stock that was granted on August 23, 2012.

Read SEC document
August 23, 2017 Filed Aug 24, 2017 20:46 UTC
HERZOG DANIEL RChief Financial Officer
Tax withholdingCommon Stock 3,108 $11.58 $35,990.64
Disclosure

SEC source: 0000796505-17-000026 · primary_doc.xml · nonDerivative · entry 1

HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,181

F1 · kind: Payment of tax by withholding shares on vesting of fifth and final 20% of restricted stock that was granted on August 23, 2012.

F2 · balance_after: Since the last ownership report, shares beneficially owned by the reporting person reflects the exempt transfer under Section 16 of 1,067 shares pursuant to an agreement dated May 19, 2017.

Read SEC document
August 21, 2017 Filed Aug 23, 2017 19:11 UTC
Beranek CherylDirector · Chief Executive Officer
Tax withholdingCommon Stock 2,201 $13.60 $29,933.60
Disclosure

SEC source: 0000796505-17-000025 · primary_doc.xml · nonDerivative · entry 1

Beranek Cheryl · CIK 0001264406 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 579,763

F1 · kind: Payment of tax by withholding shares on vesting the third 10% of restricted stock that was granted on August 21, 2014.

Read SEC document
August 21, 2017 Filed Aug 23, 2017 19:05 UTC
Hill John PChief Operating Officer
Tax withholdingCommon Stock 2,201 $13.60 $29,933.60
Disclosure

SEC source: 0000796505-17-000024 · primary_doc.xml · nonDerivative · entry 1

Hill John P · CIK 0001449386 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,249

F1 · kind: Payment of tax by withholding shares on vesting the third 10% of restricted stock that was granted on August 21, 2014.

Read SEC document
August 21, 2017 Filed Aug 23, 2017 19:00 UTC
HERZOG DANIEL RChief Financial Officer
Tax withholdingCommon Stock 777 $13.60 $10,567.20
Disclosure

SEC source: 0000796505-17-000023 · primary_doc.xml · nonDerivative · entry 1

HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,356

F1 · kind: Payment of tax by withholding shares on vesting the third 10% of restricted stock that was granted on August 21, 2014.

F2 · balance_after: Since the last ownership report, shares beneficially owned by the reporting person reflects the exempt transfer under Section 16 of 204 shares pursuant to an agreement dated May 19, 2017.

Read SEC document
August 09, 2017 Filed Aug 11, 2017 16:36 UTC PurchaseCommon Stock 1,000 $11.50 $11,500.00
Disclosure

SEC source: 0000796505-17-000022 · primary_doc.xml · nonDerivative · entry 1

Harding Roger G · CIK 0001680157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,009

Read SEC document
August 01, 2017 Filed Aug 2, 2017 20:19 UTC
ROTH RONALD GDirector · 10% owner · Chairman of the Board
PurchaseCommon Stock 5,000 $11.45 $57,250.00
Disclosure

SEC source: 0000796505-17-000021 · primary_doc.xml · nonDerivative · entry 1

ROTH RONALD G · CIK 0001257956 · Director · 10% owner · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,224,484

Read SEC document
June 30, 2017 Filed Jul 5, 2017 22:01 UTC
Beranek CherylDirector · Chief Executive Officer
GrantCommon Stock (ESPP) 463 $11.22 $5,194.86
Disclosure

SEC source: 0000796505-17-000020 · primary_doc.xml · nonDerivative · entry 1

Beranek Cheryl · CIK 0001264406 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 581,964

F1 · shares: Purchase of Common Stock through Employee Stock Purchase Plan for period January 1-June 30, 2017. In accordance with the ESPP, these shares were based on 85% of the closing price on June 30, 2017.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 21:57 UTC
Hill John PChief Operating Officer
GrantCommon Stock (ESPP) 718 $11.22 $8,055.96
Disclosure

SEC source: 0000796505-17-000019 · primary_doc.xml · nonDerivative · entry 1

Hill John P · CIK 0001449386 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,450

F1 · shares: Purchase of Common Stock through Employee Stock Purchase Plan for period January 1-June 30, 2017. In accordance with the ESPP, these shares were based on 85% of the closing price on June 30, 2017.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 21:53 UTC
HERZOG DANIEL RChief Financial Officer
GrantCommon Stock (ESPP) 89 $11.22 $998.58
Disclosure

SEC source: 0000796505-17-000018 · primary_doc.xml · nonDerivative · entry 1

HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,867

F1 · shares: Purchase of Common Stock through Employee Stock Purchase Plan for period January 1-June 30, 2017. In accordance with the ESPP, these shares were based on 85% of the closing price on June 30, 2017.

Read SEC document
May 26, 2017 Filed May 31, 2017 21:21 UTC
Beranek CherylDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,393 $13.88 $60,974.84
Disclosure

SEC source: 0000796505-17-000017 · primary_doc.xml · nonDerivative · entry 1

Beranek Cheryl · CIK 0001264406 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 581,501

F1 · kind: Payment of tax by withholding shares on vesting the first 1/3 of restricted stock that was granted on May 26, 2016.

Read SEC document
May 26, 2017 Filed May 31, 2017 21:16 UTC
Hill John PChief Operating Officer
Tax withholdingCommon Stock 4,390 $13.88 $60,933.20
Disclosure

SEC source: 0000796505-17-000016 · primary_doc.xml · nonDerivative · entry 1

Hill John P · CIK 0001449386 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,732

F1 · kind: Payment of tax by withholding shares on vesting the first 1/3 of restricted stock that was granted on May 26, 2016.

Read SEC document
May 26, 2017 Filed May 31, 2017 21:12 UTC
HERZOG DANIEL RChief Financial Officer
Tax withholdingCommon Stock 2,061 $13.88 $28,606.68
Disclosure

SEC source: 0000796505-17-000015 · primary_doc.xml · nonDerivative · entry 1

HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,778

F1 · kind: Payment of tax by withholding shares on vesting the first 1/3 of restricted stock that was granted on May 26, 2016.

F2 · balance_after: Since the last ownership report, shares beneficially owned by the reporting person reflects the exempt transfer under Section 16 of 17,523 shares pursuant to an agreement dated May 19, 2017.

Read SEC document
May 12, 2017 Filed May 15, 2017 17:04 UTC
ROTH RONALD GDirector · Chairman of the Board
PurchaseCommon Stock 4,686 $14.15 $66,306.90
Disclosure

SEC source: 0000796505-17-000014 · primary_doc.xml · nonDerivative · entry 2

ROTH RONALD G · CIK 0001257956 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,219,484

Read SEC document
May 11, 2017 Filed May 15, 2017 17:04 UTC
ROTH RONALD GDirector · Chairman of the Board
PurchaseCommon Stock 314 $14.05 $4,411.70
Disclosure

SEC source: 0000796505-17-000014 · primary_doc.xml · nonDerivative · entry 1

ROTH RONALD G · CIK 0001257956 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,219,170

Read SEC document
May 09, 2017 Filed May 11, 2017 17:55 UTC PurchaseCommon Stock 1,200 $14.20 $17,040.00
Disclosure

SEC source: 0000796505-17-000013 · primary_doc.xml · nonDerivative · entry 1

Harding Roger G · CIK 0001680157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,009

Read SEC document
February 24, 2017 Filed Feb 27, 2017 22:39 UTC
ROTH RONALD GDirector · Chairman of the Board
GrantCommon Stock 759 $0.00 $0.00
Disclosure

SEC source: 0000796505-17-000012 · primary_doc.xml · nonDerivative · entry 1

ROTH RONALD G · CIK 0001257956 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,214,484

F1 · shares: Restrictions on Restricted Stock lapse the first business day prior to the 2018 Annual Meeting of Shareholders.

Read SEC document
February 24, 2017 Filed Feb 27, 2017 22:34 UTC GrantCommon Stock 759 $0.00 $0.00
Disclosure

SEC source: 0000796505-17-000011 · primary_doc.xml · nonDerivative · entry 1

HAYSSEN CHARLES N · CIK 0001285734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,369

F1 · shares: Restrictions on Restricted Stock lapse the first business day prior to the 2018 Annual Meeting of Shareholders.

Read SEC document
February 24, 2017 Filed Feb 27, 2017 22:29 UTC GrantCommon Stock 759 $0.00 $0.00
Disclosure

SEC source: 0000796505-17-000010 · primary_doc.xml · nonDerivative · entry 1

Harding Roger G · CIK 0001680157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,809

F1 · shares: Restrictions on Restricted Stock lapse the first business day prior to the 2018 Annual Meeting of Shareholders.

Read SEC document
February 24, 2017 Filed Feb 27, 2017 22:23 UTC GrantCommon Stock 759 $0.00 $0.00
Disclosure

SEC source: 0000796505-17-000009 · primary_doc.xml · nonDerivative · entry 1

Hayward Donald R. · CIK 0001410825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,479

F1 · shares: Restrictions on Restricted Stock lapse the first business day prior to the 2018 Annual Meeting of Shareholders.

Read SEC document
February 24, 2017 Filed Feb 27, 2017 22:17 UTC GrantCommon Stock 759 $0.00 $0.00
Disclosure

SEC source: 0000796505-17-000008 · primary_doc.xml · nonDerivative · entry 1

Goepel Patrick · CIK 0001472118 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,532

F1 · shares: Restrictions on Restricted Stock lapse the first business day prior to the 2018 Annual Meeting of Shareholders.

F2 · balance_after: Includes 21,370 shares held jointly with spouse.

Read SEC document
February 10, 2017 Filed Feb 13, 2017 14:52 UTC PurchaseCommon Stock 1,000 $15.75 $15,750.00
Disclosure

SEC source: 0000796505-17-000007 · primary_doc.xml · nonDerivative · entry 1

Harding Roger G · CIK 0001680157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,050

Read SEC document
February 07, 2017 Filed Feb 8, 2017 15:52 UTC PurchaseCommon Stock 1,000 $15.95 $15,950.00
Disclosure

SEC source: 0000796505-17-000006 · primary_doc.xml · nonDerivative · entry 1

Harding Roger G · CIK 0001680157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,050

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