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Nasdaq · USD

CLIR

ClearSign Technologies Corp

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7487
SEC CIK
0001434524
Parsed reports
234

Last 12 months

Inside the activity.

5 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202620
Apr 202620
May 202600
Jun 202600
Jul 202610
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
January 25, 2017 Filed Jan 26, 2017 20:23 UTC Amendment
Kendrick Donald WChief Technology Officer
OtherWarrant to Purchase Common Stock · Derivative 1,400 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001144204-17-004130 · v457716_4a.xml · derivative · entry 5

Kendrick Donald W · CIK 0001673849 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,400

Underlying: Common Stock · 1,400 shares

Expires 2019-01-25

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F2 · derivative.underlying: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $4.00 from the date of issuance through January 25, 2019.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 20:23 UTC Amendment
Kendrick Donald WChief Technology Officer
OtherCommon Stock/CLIR 2,600 $4.00 $10,400.00
Disclosure

SEC source: 0001144204-17-004130 · v457716_4a.xml · nonDerivative · entry 2

Kendrick Donald W · CIK 0001673849 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 15,600

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 20:23 UTC Amendment
Kendrick Donald WChief Technology Officer
OtherCommon Stock/CLIR 1,400 $4.00 $5,600.00
Disclosure

SEC source: 0001144204-17-004130 · v457716_4a.xml · nonDerivative · entry 1

Kendrick Donald W · CIK 0001673849 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,400

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:33 UTC
PIRNAT STEPHEN EDirector · Chief Executive Officer
OtherWarrant to Purchase Common Stock · Derivative 8,361 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001144204-17-004038 · v457573_4.xml · derivative · entry 3

PIRNAT STEPHEN E · CIK 0001547961 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,361

Underlying: Common Stock · 8,361 shares

Expires 2019-01-25

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F2 · derivative.underlying: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $4.00 from the date of issuance through January 25, 2019.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:33 UTC
PIRNAT STEPHEN EDirector · Chief Executive Officer
OtherCommon Stock/CLIR 8,361 $4.00 $33,444.00
Disclosure

SEC source: 0001144204-17-004038 · v457573_4.xml · nonDerivative · entry 1

PIRNAT STEPHEN E · CIK 0001547961 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,169

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:33 UTC
Ruiz RobertoChief Operating Officer
OtherWarrant to Purchase Common Stock · Derivative 760 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001144204-17-004041 · v457574_4.xml · derivative · entry 6

Ruiz Roberto · CIK 0001563443 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 760

Underlying: Common Stock · 760 shares

Expires 2019-01-25

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F2 · derivative.underlying: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $4.00 from the date of issuance through January 25, 2019.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:33 UTC
Ruiz RobertoChief Operating Officer
OtherWarrant to Purchase Common Stock · Derivative 1,080 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001144204-17-004041 · v457574_4.xml · derivative · entry 5

Ruiz Roberto · CIK 0001563443 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,080

Underlying: Common Stock · 1,080 shares

Expires 2019-01-25

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F2 · derivative.underlying: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $4.00 from the date of issuance through January 25, 2019.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:33 UTC
Ruiz RobertoChief Operating Officer
OtherCommon Stock/CLIR 760 $4.00 $3,040.00
Disclosure

SEC source: 0001144204-17-004041 · v457574_4.xml · nonDerivative · entry 2

Ruiz Roberto · CIK 0001563443 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 4,560

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:33 UTC
Ruiz RobertoChief Operating Officer
OtherCommon Stock/CLIR 1,080 $4.00 $4,320.00
Disclosure

SEC source: 0001144204-17-004041 · v457574_4.xml · nonDerivative · entry 1

Ruiz Roberto · CIK 0001563443 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,480

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:32 UTC OtherWarrant to Purchase Common Stock · Derivative 3,462 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001144204-17-004034 · v457572_4.xml · derivative · entry 3

Ott Jeffrey L · CIK 0001299046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,462

Underlying: Common Stock · 3,462 shares

Expires 2019-01-25

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F2 · derivative.underlying: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $4.00 from the date of issuance through January 25, 2019.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:32 UTC OtherCommon Stock/CLIR 3,462 $4.00 $13,848.00
Disclosure

SEC source: 0001144204-17-004034 · v457572_4.xml · nonDerivative · entry 1

Ott Jeffrey L · CIK 0001299046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,448

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:31 UTC
LEE ANDREW USee Remarks
OtherWarrant to Purchase Common Stock · Derivative 800 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001144204-17-004032 · v457569_4.xml · derivative · entry 6

LEE ANDREW U · CIK 0001243871 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 800

Underlying: Common Stock · 800 shares

Expires 2019-01-25

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F2 · derivative.underlying: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $4.00 from the date of issuance through January 25, 2019.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:31 UTC
LEE ANDREW USee Remarks
OtherWarrant to Purchase Common Stock · Derivative 1,000 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001144204-17-004032 · v457569_4.xml · derivative · entry 5

LEE ANDREW U · CIK 0001243871 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2019-01-25

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F2 · derivative.underlying: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $4.00 from the date of issuance through January 25, 2019.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:31 UTC
LEE ANDREW USee Remarks
OtherCommon Stock/CLIR 800 $4.00 $3,200.00
Disclosure

SEC source: 0001144204-17-004032 · v457569_4.xml · nonDerivative · entry 2

LEE ANDREW U · CIK 0001243871 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 4,800

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:31 UTC
LEE ANDREW USee Remarks
OtherCommon Stock/CLIR 1,000 $4.00 $4,000.00
Disclosure

SEC source: 0001144204-17-004032 · v457569_4.xml · nonDerivative · entry 1

LEE ANDREW U · CIK 0001243871 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:29 UTC OtherWarrant to Purchase Common Stock · Derivative 8,242 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001144204-17-004028 · v457563_4.xml · derivative · entry 3

ISAACSON SCOTT P · CIK 0001547301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,242

Underlying: Common Stock · 8,242 shares

Expires 2019-01-25

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F2 · derivative.underlying: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $4.00 from the date of issuance through January 25, 2019.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:29 UTC OtherCommon Stock/CLIR 8,242 $4.00 $32,968.00
Disclosure

SEC source: 0001144204-17-004028 · v457563_4.xml · nonDerivative · entry 1

ISAACSON SCOTT P · CIK 0001547301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,130

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:28 UTC
HARMON JAMES NChief Financial Officer
OtherWarrant to Purchase Common Stock · Derivative 27,668 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001144204-17-004026 · v457560_4.xml · derivative · entry 6

HARMON JAMES N · CIK 0001547381 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,668

Underlying: Common Stock · 27,668 shares

Expires 2019-01-25

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F2 · derivative.underlying: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $4.00 from the date of issuance through January 25, 2019.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:28 UTC
HARMON JAMES NChief Financial Officer
OtherWarrant to Purchase Common Stock · Derivative 3,200 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001144204-17-004026 · v457560_4.xml · derivative · entry 5

HARMON JAMES N · CIK 0001547381 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 3,200

Underlying: Common Stock · 3,200 shares

Expires 2019-01-25

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F2 · derivative.underlying: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $4.00 from the date of issuance through January 25, 2019.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:28 UTC
HARMON JAMES NChief Financial Officer
OtherCommon Stock/CLIR 27,668 $4.00 $110,672.00
Disclosure

SEC source: 0001144204-17-004026 · v457560_4.xml · nonDerivative · entry 2

HARMON JAMES N · CIK 0001547381 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,008

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:28 UTC
HARMON JAMES NChief Financial Officer
OtherCommon Stock/CLIR 3,200 $4.00 $12,800.00
Disclosure

SEC source: 0001144204-17-004026 · v457560_4.xml · nonDerivative · entry 1

HARMON JAMES N · CIK 0001547381 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 19,200

F1 · price: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:27 UTC
COLANNINO JOSEPHSenior VP of Engineering
OtherWarrant to Purchase Common Stock · Derivative 5,000 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001144204-17-004023 · v457558_4.xml · derivative · entry 7

COLANNINO JOSEPH · CIK 0001547582 · Senior VP of Engineering

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 10,155

Underlying: Common Stock · 5,000 shares

Expires 2019-01-25

F2 · price: The common stock and the warrants were acquired pursuant to a best efforts public offering through the Issuer's placement agent of all units remainingfollowing the expiration of the subscription period under the Rights Offering. Each unit consisted of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F4 · derivative.underlying: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $4.00 from the date of issuance through January 25, 2019.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:27 UTC
COLANNINO JOSEPHSenior VP of Engineering
OtherWarrant to Purchase Common Stock · Derivative 5,155 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001144204-17-004023 · v457558_4.xml · derivative · entry 6

COLANNINO JOSEPH · CIK 0001547582 · Senior VP of Engineering

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 5,155

Underlying: Common Stock · 5,155 shares

Expires 2019-01-25

F1 · price: The common stock and the warrants were acquired pursuant to the exercise of subscription rights (the "Rights Offering") previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F4 · derivative.underlying: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $4.00 from the date of issuance through January 25, 2019.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:27 UTC
COLANNINO JOSEPHSenior VP of Engineering
OtherCommon Stock/CLIR 5,000 $4.00 $20,000.00
Disclosure

SEC source: 0001144204-17-004023 · v457558_4.xml · nonDerivative · entry 3

COLANNINO JOSEPH · CIK 0001547582 · Senior VP of Engineering

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 35,930

F2 · price: The common stock and the warrants were acquired pursuant to a best efforts public offering through the Issuer's placement agent of all units remainingfollowing the expiration of the subscription period under the Rights Offering. Each unit consisted of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
January 25, 2017 Filed Jan 26, 2017 21:27 UTC
COLANNINO JOSEPHSenior VP of Engineering
OtherCommon Stock/CLIR 5,155 $4.00 $20,620.00
Disclosure

SEC source: 0001144204-17-004023 · v457558_4.xml · nonDerivative · entry 2

COLANNINO JOSEPH · CIK 0001547582 · Senior VP of Engineering

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 30,930

F1 · price: The common stock and the warrants were acquired pursuant to the exercise of subscription rights (the "Rights Offering") previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
December 31, 2016 Filed Jan 3, 2017 07:10 UTC
BELL LON EDirector
GrantCommon Stock 3,676 $3.40 $12,498.40
Disclosure

SEC source: 0001144204-17-000026 · v456041_4.xml · nonDerivative · entry 1

BELL LON E · CIK 0000941593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,358

F1 · shares: On March 9, 2016 the Issuer's board of directors approved annual compensation for the Issuer's independent directors. The reporting person is an independent director. As partial compensation for services provided to the Issuer during 2016, each independent director was granted 3,676 shares of common stock per quarter, having a per share value of $3.40, the closing price of the Issuer's common stock on the date of grant. The shares of common stock were issued from the Company's 2011 Equity Incentive Plan and held in escrow until the shares are earned. The shares are earned on a quarterly basis and are released to the independent directors on the last day of each fiscal quarter

F1 · price: On March 9, 2016 the Issuer's board of directors approved annual compensation for the Issuer's independent directors. The reporting person is an independent director. As partial compensation for services provided to the Issuer during 2016, each independent director was granted 3,676 shares of common stock per quarter, having a per share value of $3.40, the closing price of the Issuer's common stock on the date of grant. The shares of common stock were issued from the Company's 2011 Equity Incentive Plan and held in escrow until the shares are earned. The shares are earned on a quarterly basis and are released to the independent directors on the last day of each fiscal quarter

Read SEC document
December 31, 2016 Filed Jan 3, 2017 12:06 UTC GrantCommon Stock 3,676 $3.40 $12,498.40
Disclosure

SEC source: 0001144204-17-000023 · v456040_4.xml · nonDerivative · entry 1

ISAACSON SCOTT P · CIK 0001547301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,888

F1 · shares: On March 9, 2016 the Issuer's board of directors approved annual compensation for the Issuer's independent directors. The reporting person is an independent director. As partial compensation for services provided to the Issuer during 2016, each independent director was granted 3,676 shares of common stock per quarter, having a per share value of $3.40, the closing price of the Issuer's common stock on the date of grant. The shares of common stock were issued from the Company's 2011 Equity Incentive Plan and held in escrow until the shares are earned. The shares are earned on a quarterly basis and are released to the independent directors on the last day of each fiscal quarter.

F1 · price: On March 9, 2016 the Issuer's board of directors approved annual compensation for the Issuer's independent directors. The reporting person is an independent director. As partial compensation for services provided to the Issuer during 2016, each independent director was granted 3,676 shares of common stock per quarter, having a per share value of $3.40, the closing price of the Issuer's common stock on the date of grant. The shares of common stock were issued from the Company's 2011 Equity Incentive Plan and held in escrow until the shares are earned. The shares are earned on a quarterly basis and are released to the independent directors on the last day of each fiscal quarter.

Read SEC document
December 31, 2016 Filed Jan 3, 2017 12:04 UTC GrantCommon Stock 3,676 $3.40 $12,498.40
Disclosure

SEC source: 0001144204-17-000021 · v456039_4.xml · nonDerivative · entry 1

Ott Jeffrey L · CIK 0001299046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,986

F1 · shares: On March 9, 2016 the Issuer's board of directors approved annual compensation for the Issuer's independent directors. The reporting person is an independent director. As partial compensation for services provided to the Issuer during 2016, each independent director was granted 3,676 shares of common stock per quarter, having a per share value of $3.40, the closing price of the Issuer's common stock on the date of grant. The shares of common stock were issued from the Company's 2011 Equity Incentive Plan and held in escrow until the shares are earned. The shares are earned on a quarterly basis and are released to the independent directors on the last day of each fiscal quarter.

F1 · price: On March 9, 2016 the Issuer's board of directors approved annual compensation for the Issuer's independent directors. The reporting person is an independent director. As partial compensation for services provided to the Issuer during 2016, each independent director was granted 3,676 shares of common stock per quarter, having a per share value of $3.40, the closing price of the Issuer's common stock on the date of grant. The shares of common stock were issued from the Company's 2011 Equity Incentive Plan and held in escrow until the shares are earned. The shares are earned on a quarterly basis and are released to the independent directors on the last day of each fiscal quarter.

Read SEC document
December 27, 2016 Filed Jan 26, 2017 16:26 UTC
BELL LON EDirector
OtherSubscription Rights (Right to Purchase) · Derivative 35,336 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004022 · v457556_4.xml · derivative · entry 2

BELL LON E · CIK 0000941593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: See Footnote · 35,336 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

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December 27, 2016 Filed Jan 26, 2017 16:30 UTC OtherSubscription Rights (Right to Purchase) · Derivative 2,600 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004030 · v457565_4.xml · derivative · entry 4

Kendrick Donald W · CIK 0001673849 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 0

Underlying: See Footnote · 2,600 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
December 27, 2016 Filed Jan 26, 2017 16:30 UTC OtherSubscription Rights (Right to Purchase) · Derivative 1,400 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004030 · v457565_4.xml · derivative · entry 3

Kendrick Donald W · CIK 0001673849 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: See Footnote · 1,400 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

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December 27, 2016 Filed Jan 26, 2017 20:23 UTC Amendment
Kendrick Donald WChief Technology Officer
OtherSubscription Rights (Right to Purchase) · Derivative 2,600 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004130 · v457716_4a.xml · derivative · entry 4

Kendrick Donald W · CIK 0001673849 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 0

Underlying: See Footnote · 2,600 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

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December 27, 2016 Filed Jan 26, 2017 20:23 UTC Amendment
Kendrick Donald WChief Technology Officer
OtherSubscription Rights (Right to Purchase) · Derivative 1,400 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004130 · v457716_4a.xml · derivative · entry 3

Kendrick Donald W · CIK 0001673849 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: See Footnote · 1,400 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

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December 27, 2016 Filed Jan 26, 2017 21:33 UTC
PIRNAT STEPHEN EDirector · Chief Executive Officer
OtherSubscription Rights (Right to Purchase) · Derivative 8,361 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004038 · v457573_4.xml · derivative · entry 2

PIRNAT STEPHEN E · CIK 0001547961 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: See Footnote · 8,361 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
December 27, 2016 Filed Jan 26, 2017 21:33 UTC
Ruiz RobertoChief Operating Officer
OtherSubscription Rights (Right to Purchase) · Derivative 760 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004041 · v457574_4.xml · derivative · entry 4

Ruiz Roberto · CIK 0001563443 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 0

Underlying: See Footnote · 760 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

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December 27, 2016 Filed Jan 26, 2017 21:33 UTC
Ruiz RobertoChief Operating Officer
OtherSubscription Rights (Right to Purchase) · Derivative 1,080 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004041 · v457574_4.xml · derivative · entry 3

Ruiz Roberto · CIK 0001563443 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: See Footnote · 1,080 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
December 27, 2016 Filed Jan 26, 2017 21:32 UTC OtherSubscription Rights (Right to Purchase) · Derivative 3,462 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004034 · v457572_4.xml · derivative · entry 2

Ott Jeffrey L · CIK 0001299046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: See Footnote · 3,462 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
December 27, 2016 Filed Jan 26, 2017 21:31 UTC
LEE ANDREW USee Remarks
OtherSubscription Rights (Right to Purchase) · Derivative 800 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004032 · v457569_4.xml · derivative · entry 4

LEE ANDREW U · CIK 0001243871 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 0

Underlying: See Footnote · 800 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
December 27, 2016 Filed Jan 26, 2017 21:31 UTC
LEE ANDREW USee Remarks
OtherSubscription Rights (Right to Purchase) · Derivative 1,000 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004032 · v457569_4.xml · derivative · entry 3

LEE ANDREW U · CIK 0001243871 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: See Footnote · 1,000 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
December 27, 2016 Filed Jan 26, 2017 21:29 UTC OtherSubscription Rights (Right to Purchase) · Derivative 8,242 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004028 · v457563_4.xml · derivative · entry 2

ISAACSON SCOTT P · CIK 0001547301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: See Footnote · 8,242 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
December 27, 2016 Filed Jan 26, 2017 21:28 UTC
HARMON JAMES NChief Financial Officer
OtherSubscription Rights (Right to Purchase) · Derivative 27,668 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004026 · v457560_4.xml · derivative · entry 4

HARMON JAMES N · CIK 0001547381 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: See Footnote · 27,668 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
December 27, 2016 Filed Jan 26, 2017 21:28 UTC
HARMON JAMES NChief Financial Officer
OtherSubscription Rights (Right to Purchase) · Derivative 3,200 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004026 · v457560_4.xml · derivative · entry 3

HARMON JAMES N · CIK 0001547381 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 0

Underlying: See Footnote · 3,200 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
December 27, 2016 Filed Jan 26, 2017 21:27 UTC
COLANNINO JOSEPHSenior VP of Engineering
OtherSubscription Rights (Right to Purchase) · Derivative 5,155 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004023 · v457558_4.xml · derivative · entry 5

COLANNINO JOSEPH · CIK 0001547582 · Senior VP of Engineering

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 0

Underlying: See Footnote · 5,155 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants were acquired pursuant to the exercise of subscription rights (the "Rights Offering") previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

Read SEC document
December 27, 2016 Filed Jan 26, 2017 21:27 UTC
COLANNINO JOSEPHSenior VP of Engineering
OtherSubscription Rights (Right to Purchase) · Derivative 1,967 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001144204-17-004023 · v457558_4.xml · derivative · entry 4

COLANNINO JOSEPH · CIK 0001547582 · Senior VP of Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: See Footnote · 1,967 shares

Expires 2017-01-13

F1 · derivative.underlying: The common stock and the warrants were acquired pursuant to the exercise of subscription rights (the "Rights Offering") previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 0.2 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and one warrant to purchase one share of common stock. The subscription price per unit was $4.00.

F3 · balance_after: These Subscription Rights expired without exercise.

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September 30, 2016 Filed Oct 31, 2016 20:03 UTC
BELL LON EDirector
GrantCommon Stock 3,676 $3.40 $12,498.40
Disclosure

SEC source: 0001144204-16-130651 · v451807_4.xml · nonDerivative · entry 1

BELL LON E · CIK 0000941593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,682

F1 · shares: On March 9, 2016 the Issuer's board of directors approved annual compensation for the Issuer's independent directors. The reporting person is an independent director. As partial compensation for services provided to the Issuer during 2016, each independent director was granted 3,676 shares of common stock per quarter, having a per share value of $3.40, the closing price of the Issuer's common stock on the date of grant. The shares of common stock were issued from the Company's 2011 Equity Incentive Plan and held in escrow until the shares are earned. The shares are earned on a quarterly basis and are released to the independent directors on the last day of each fiscal quarter.

F1 · price: On March 9, 2016 the Issuer's board of directors approved annual compensation for the Issuer's independent directors. The reporting person is an independent director. As partial compensation for services provided to the Issuer during 2016, each independent director was granted 3,676 shares of common stock per quarter, having a per share value of $3.40, the closing price of the Issuer's common stock on the date of grant. The shares of common stock were issued from the Company's 2011 Equity Incentive Plan and held in escrow until the shares are earned. The shares are earned on a quarterly basis and are released to the independent directors on the last day of each fiscal quarter.

Read SEC document
September 30, 2016 Filed Nov 1, 2016 00:09 UTC GrantCommon Stock 3,676 $3.40 $12,498.40
Disclosure

SEC source: 0001144204-16-130654 · v451809_4.xml · nonDerivative · entry 1

Ott Jeffrey L · CIK 0001299046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,310

F1 · shares: On March 9, 2016 the Issuer's board of directors approved annual compensation for the Issuer's independent directors. The reporting person is an independent director. As partial compensation for services provided to the Issuer during 2016, each independent director was granted 3,676 shares of common stock per quarter, having a per share value of $3.40, the closing price of the Issuer's common stock on the date of grant. The shares of common stock were issued from the Company's 2011 Equity Incentive Plan and held in escrow until the shares are earned. The shares are earned on a quarterly basis and are released to the independent directors on the last day of each fiscal quarter.

F1 · price: On March 9, 2016 the Issuer's board of directors approved annual compensation for the Issuer's independent directors. The reporting person is an independent director. As partial compensation for services provided to the Issuer during 2016, each independent director was granted 3,676 shares of common stock per quarter, having a per share value of $3.40, the closing price of the Issuer's common stock on the date of grant. The shares of common stock were issued from the Company's 2011 Equity Incentive Plan and held in escrow until the shares are earned. The shares are earned on a quarterly basis and are released to the independent directors on the last day of each fiscal quarter.

Read SEC document
September 30, 2016 Filed Nov 1, 2016 00:09 UTC GrantCommon Stock 3,676 $3.40 $12,498.40
Disclosure

SEC source: 0001144204-16-130653 · v451808_4.xml · nonDerivative · entry 1

ISAACSON SCOTT P · CIK 0001547301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,212

F1 · shares: On March 9, 2016 the Issuer's board of directors approved annual compensation for the Issuer's independent directors. The reporting person is an independent director. As partial compensation for services provided to the Issuer during 2016, each independent director was granted 3,676 shares of common stock per quarter, having a per share value of $3.40, the closing price of the Issuer's common stock on the date of grant. The shares of common stock were issued from the Company's 2011 Equity Incentive Plan and held in escrow until the shares are earned. The shares are earned on a quarterly basis and are released to the independent directors on the last day of each fiscal quarter.

F1 · price: On March 9, 2016 the Issuer's board of directors approved annual compensation for the Issuer's independent directors. The reporting person is an independent director. As partial compensation for services provided to the Issuer during 2016, each independent director was granted 3,676 shares of common stock per quarter, having a per share value of $3.40, the closing price of the Issuer's common stock on the date of grant. The shares of common stock were issued from the Company's 2011 Equity Incentive Plan and held in escrow until the shares are earned. The shares are earned on a quarterly basis and are released to the independent directors on the last day of each fiscal quarter.

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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.