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Nasdaq · USD

CLPT

ClearPoint Neuro, Inc.

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2367
SEC CIK
0001285550
Parsed reports
435

Last 12 months

Inside the activity.

0 purchase rows · 9 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202602
Feb 202601
Mar 202600
Apr 202600
May 202602
Jun 202604
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 31, 2018 Filed Jan 2, 2019 22:10 UTC GrantCommon Stock 2,040 $1.47 $2,998.80
Disclosure

SEC source: 0001534424-19-000011 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,711

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $1.47 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 31, 2018.

Read SEC document
November 07, 2018 Filed Feb 27, 2019 21:05 UTC
BURNETT JOSEPHDirector · CEO and President
Tax withholdingCommon Stock 23,053 $2.00 $46,106.00
Disclosure

SEC source: 0001534424-19-000069 · ownership.xml · nonDerivative · entry 1

BURNETT JOSEPH MICHAEL · CIK 0001721010 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,485

F1 · shares: Represents the amount of shares delivered to satisfy applicable tax withholding obligations in connection with the vesting of shares of restricted stock.

Read SEC document
September 28, 2018 Filed Oct 1, 2018 16:41 UTC GrantCommon Stock 1,778 $1.76 $3,129.28
Disclosure

SEC source: 0001534424-18-000337 · ownership.xml · nonDerivative · entry 1

Jenkins Kimble L. · CIK 0001492392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,400

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $1.76 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 28, 2018.

Read SEC document
September 28, 2018 Filed Oct 1, 2018 20:46 UTC GrantCommon Stock 1,956 $1.76 $3,442.56
Disclosure

SEC source: 0001534424-18-000339 · ownership.xml · nonDerivative · entry 1

SPENCER JOHN N JR · CIK 0001270555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,721

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $1.76 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 28, 2018.

F2 · ownership.direct: Includes 14,579 shares held jointly with spouse and 510 shares held in an IRA.

Read SEC document
September 28, 2018 Filed Oct 1, 2018 20:44 UTC GrantCommon Stock 1,707 $1.76 $3,004.32
Disclosure

SEC source: 0001534424-18-000338 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,671

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $1.76 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 28, 2018.

Read SEC document
September 28, 2018 Filed Oct 1, 2018 20:39 UTC GrantCommon Stock 3,592 $1.76 $6,321.92
Disclosure

SEC source: 0001534424-18-000336 · ownership.xml · nonDerivative · entry 1

Girin Pascal E R · CIK 0001329811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,389

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $1.76 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 28, 2018.

Read SEC document
September 28, 2018 Filed Oct 1, 2018 20:37 UTC GrantCommon Stock 6,900 $1.76 $12,144.00
Disclosure

SEC source: 0001534424-18-000335 · ownership.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,926

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $1.76 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 28, 2018.

Read SEC document
September 25, 2018 Filed Sep 25, 2018 21:23 UTC
BURNETT JOSEPHDirector · President and CEO
PurchaseCommon Stock 25,000 $1.25 $31,250.00
Disclosure

SEC source: 0001534424-18-000318 · ownership.xml · nonDerivative · entry 1

BURNETT JOSEPH MICHAEL · CIK 0001721010 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,004

Read SEC document
August 24, 2018 Filed Aug 24, 2018 20:05 UTC
BURNETT JOSEPHDirector · President and CEO
PurchaseCommon Stock 7,500 $1.58 $11,850.00
Disclosure

SEC source: 0001534424-18-000288 · ownership.xml · nonDerivative · entry 2

BURNETT JOSEPH MICHAEL · CIK 0001721010 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,504

Read SEC document
August 22, 2018 Filed Aug 24, 2018 20:05 UTC
BURNETT JOSEPHDirector · President and CEO
PurchaseCommon Stock 4,637 $1.55 $7,187.35
Disclosure

SEC source: 0001534424-18-000288 · ownership.xml · nonDerivative · entry 1

BURNETT JOSEPH MICHAEL · CIK 0001721010 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,004

F1 · balance_after: This amount corrects a typographical error, which inadvertently overstated the reporting person's holdings, in the previously filed Form 4.

Read SEC document
June 29, 2018 Filed Jul 3, 2018 16:08 UTC GrantCommon Stock 1,434 $2.18 $3,126.12
Disclosure

SEC source: 0001534424-18-000240 · jenkins.xml · nonDerivative · entry 1

Jenkins Kimble L. · CIK 0001492392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,622

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $2.18 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 29, 2018.

Read SEC document
June 29, 2018 Filed Jul 3, 2018 20:10 UTC GrantCommon Stock 1,578 $2.18 $3,440.04
Disclosure

SEC source: 0001534424-18-000242 · spencer.xml · nonDerivative · entry 1

SPENCER JOHN N JR · CIK 0001270555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,765

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $2.18 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 29, 2018.

F2 · ownership.direct: Includes 12,623 shares held jointly with spouse and 510 shares held in an IRA.

Read SEC document
June 29, 2018 Filed Jul 3, 2018 20:09 UTC GrantCommon Stock 1,377 $2.18 $3,001.86
Disclosure

SEC source: 0001534424-18-000241 · richards.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,964

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $2.18 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 29, 2018.

Read SEC document
June 29, 2018 Filed Jul 3, 2018 20:06 UTC GrantCommon Stock 2,668 $2.18 $5,816.24
Disclosure

SEC source: 0001534424-18-000239 · girin.xml · nonDerivative · entry 1

Girin Pascal E R · CIK 0001329811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,797

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $2.18 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 29, 2018.

Read SEC document
June 29, 2018 Filed Jul 3, 2018 20:05 UTC GrantCommon Stock 5,394 $2.18 $11,758.92
Disclosure

SEC source: 0001534424-18-000238 · fletcher.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,026

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $2.18 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 29, 2018.

Read SEC document
June 08, 2018 Filed Jun 11, 2018 08:50 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $2.18 $0.00
Disclosure

SEC source: 0001534424-18-000208 · jenkins.xml · derivative · entry 1

Jenkins Kimble L. · CIK 0001492392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-08

F1 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2019 annual meeting of stockholders.

Read SEC document
June 08, 2018 Filed Jun 11, 2018 12:55 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $2.18 $0.00
Disclosure

SEC source: 0001534424-18-000210 · spencer.xml · derivative · entry 1

SPENCER JOHN N JR · CIK 0001270555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-08

F1 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2019 annual meeting of stockholders.

Read SEC document
June 08, 2018 Filed Jun 11, 2018 12:53 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $2.18 $0.00
Disclosure

SEC source: 0001534424-18-000209 · richards.xml · derivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-08

F1 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2019 annual meeting of stockholders.

Read SEC document
June 08, 2018 Filed Jun 11, 2018 12:48 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $2.18 $0.00
Disclosure

SEC source: 0001534424-18-000207 · girin.xml · derivative · entry 1

Girin Pascal E R · CIK 0001329811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-08

F1 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2019 annual meeting of stockholders.

Read SEC document
June 08, 2018 Filed Jun 11, 2018 12:46 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $2.18 $0.00
Disclosure

SEC source: 0001534424-18-000206 · fletcher.xml · derivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-08

F1 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2019 annual meeting of stockholders.

Read SEC document
May 22, 2018 Filed May 23, 2018 20:05 UTC
BURNETT JOSEPHDirector · President and CEO
GrantCommon Stock 18,867 $0.00 $0.00
Disclosure

SEC source: 0001534424-18-000173 · burnett.xml · nonDerivative · entry 2

BURNETT JOSEPH MICHAEL · CIK 0001721010 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 576,367

F1 · price: The Reporting Person received the final $50,000 portion of his signing bonus in the form of the Company's common stock based on the closing price as of May 22, 2018. The shares were granted under the Company's Second Amended and Restated 2013 Incentive Compensation Plan.

Read SEC document
May 21, 2018 Filed May 23, 2018 20:05 UTC
BURNETT JOSEPHDirector · President and CEO
PurchaseCommon Stock 7,500 $2.39 $17,902.50
Disclosure

SEC source: 0001534424-18-000173 · burnett.xml · nonDerivative · entry 1

BURNETT JOSEPH MICHAEL · CIK 0001721010 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 557,500

Read SEC document
March 30, 2018 Filed Apr 2, 2018 16:55 UTC GrantCommon Stock 997 $3.13 $3,120.61
Disclosure

SEC source: 0001534424-18-000112 · jenkins.xml · nonDerivative · entry 1

Jenkins Kimble L. · CIK 0001492392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,188

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $3.13 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 29, 2018.

Read SEC document
March 30, 2018 Filed Apr 2, 2018 20:58 UTC
Sainz MariaDirector
GrantCommon Stock 918 $3.13 $2,873.34
Disclosure

SEC source: 0001534424-18-000114 · sainz.xml · nonDerivative · entry 1

Sainz Maria · CIK 0001437768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 918

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $3.13 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 29, 2018.

Read SEC document
March 30, 2018 Filed Apr 2, 2018 21:00 UTC GrantCommon Stock 1,097 $3.13 $3,433.61
Disclosure

SEC source: 0001534424-18-000115 · spencer.xml · nonDerivative · entry 1

SPENCER JOHN N JR · CIK 0001270555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,187

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $3.13 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 29, 2018.

F2 · ownership.direct: Includes 11,045 shares held jointly with spouse and 510 shares held in an IRA.

Read SEC document
March 30, 2018 Filed Apr 2, 2018 20:57 UTC GrantCommon Stock 958 $3.13 $2,998.54
Disclosure

SEC source: 0001534424-18-000113 · richards.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,587

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $3.13 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 29, 2018.

Read SEC document
March 30, 2018 Filed Apr 2, 2018 20:53 UTC GrantCommon Stock 1,696 $3.13 $5,308.48
Disclosure

SEC source: 0001534424-18-000111 · girin.xml · nonDerivative · entry 1

Girin Pascal E R · CIK 0001329811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,129

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $3.13 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 29, 2018.

Read SEC document
March 30, 2018 Filed Apr 2, 2018 20:51 UTC GrantCommon Stock 3,632 $3.13 $11,368.16
Disclosure

SEC source: 0001534424-18-000110 · fletcher.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,632

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $3.13 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 29, 2018.

Read SEC document
December 29, 2017 Filed Jan 26, 2018 16:09 UTC GrantCommon Stock 1,273 $2.75 $3,500.75
Disclosure

SEC source: 0001534424-18-000030 · jenkins.xml · nonDerivative · entry 1

Jenkins Kimble L. · CIK 0001492392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,191

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $2.75 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 29, 2017.

Read SEC document
December 29, 2017 Filed Jan 26, 2018 21:07 UTC GrantCommon Stock 1,940 $2.75 $5,335.00
Disclosure

SEC source: 0001534424-18-000029 · spencer.xml · nonDerivative · entry 1

SPENCER JOHN N JR · CIK 0001270555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,090

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $2.75 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 29, 2017.

F2 · ownership.direct: Includes 9,948 shares held jointly with spouse and 510 shares held in an IRA.

Read SEC document
December 29, 2017 Filed Jan 26, 2018 21:05 UTC GrantCommon Stock 2,273 $2.75 $6,250.75
Disclosure

SEC source: 0001534424-18-000028 · girin.xml · nonDerivative · entry 1

Girin Pascal E R · CIK 0001329811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,433

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $2.75 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 29, 2017.

Read SEC document
December 12, 2017 Filed Dec 14, 2017 16:21 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001534424-17-000500 · jenkins.xml · derivative · entry 1

Jenkins Kimble L. · CIK 0001492392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-12-12

F1 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2018 annual meeting of stockholders.

Read SEC document
December 12, 2017 Filed Dec 14, 2017 21:24 UTC
Sainz MariaDirector
GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001534424-17-000502 · sainz.xml · derivative · entry 1

Sainz Maria · CIK 0001437768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-12-12

F1 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2018 annual meeting of stockholders.

Read SEC document
December 12, 2017 Filed Dec 14, 2017 21:23 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001534424-17-000501 · richards.xml · derivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-12-12

F1 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2018 annual meeting of stockholders.

Read SEC document
December 12, 2017 Filed Dec 14, 2017 21:19 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001534424-17-000499 · girin.xml · derivative · entry 1

Girin Pascal E R · CIK 0001329811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-12-12

F1 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2018 annual meeting of stockholders.

Read SEC document
December 12, 2017 Filed Dec 14, 2017 21:26 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001534424-17-000503 · spencer.xml · derivative · entry 1

SPENCER JOHN N JR · CIK 0001270555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-12-12

F1 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2018 annual meeting of stockholders.

Read SEC document
December 12, 2017 Filed Dec 14, 2017 21:17 UTC GrantStock Options (right to buy) · Derivative 13,875 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001534424-17-000498 · fletcher.xml · derivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,875

Underlying: Common Stock · 13,875 shares

Expires 2027-12-12

F1 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2018 annual meeting of stockholders.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 21:37 UTC
BURNETT JOSEPHDirector · President and CEO
GrantStock Options (right to buy) · Derivative 350,000 $0.00 Strike: $2.50 $0.00
Disclosure

SEC source: 0001534424-17-000461 · burnett.xml · derivative · entry 2

BURNETT JOSEPH MICHAEL · CIK 0001721010 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2027-11-07

F2 · derivative.exercise_date: The shares subject to this option vest as follows: (i) one-third of the total shares on the first anniversary of the grant date; and (ii) the remaining two-thirds of the total shares ratably on a quarterly basis over the 2-year period immediately following the first anniversary of the grant date.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 21:37 UTC
BURNETT JOSEPHDirector · President and CEO
GrantCommon Stock 200,000 $0.00 $0.00
Disclosure

SEC source: 0001534424-17-000461 · burnett.xml · nonDerivative · entry 1

BURNETT JOSEPH MICHAEL · CIK 0001721010 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

F1 · price: The shares are restricted stock and vest as follows: (i) one-third of the total shares on the first anniversary of the grant date; and (ii) the remaining two-thirds of the total shares ratably on a quarterly basis over the 2-year period immediately following the first anniversary of the grant date.

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November 07, 2017 Filed Nov 7, 2017 21:33 UTC
Grillo Francis PDirector · CHIEF EXECUTIVE OFFICER
GrantCommon Stock 87,500 $0.00 $0.00
Disclosure

SEC source: 0001534424-17-000459 · grillo.xml · nonDerivative · entry 1

Grillo Francis P · CIK 0001619282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,724

F1 · shares: Shares issued pursuant to that certain Transition, Separation and Consulting Agreement, dated October 6, 2017, by and between the Reporting Person and the Issuer, which was previously disclosed in the Current Report on Form 8-K filed with the Securities and Exchange Commission on October 10, 2017.

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October 04, 2017 Filed Oct 5, 2017 16:05 UTC GrantStock Options (right to buy) · Derivative 300,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001534424-17-000413 · jenkins.xml · derivative · entry 2

Jenkins Kimble L. · CIK 0001492392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2027-10-04

F2 · derivative.exercise_date: The shares subject to this option will vest in full on the first anniversary of the grant date, October 4, 2018.

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October 04, 2017 Filed Oct 5, 2017 16:05 UTC GrantCommon Stock 1,280 $2.47 $3,161.60
Disclosure

SEC source: 0001534424-17-000413 · jenkins.xml · nonDerivative · entry 1

Jenkins Kimble L. · CIK 0001492392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,918

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $2.47 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 29, 2017.

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October 04, 2017 Filed Oct 5, 2017 16:17 UTC
Piferi Peter G.Chief Operating Officer
GrantStock Options (right to buy) · Derivative 20,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001534424-17-000418 · piferi.xml · derivative · entry 2

Piferi Peter G. · CIK 0001492401 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-10-04

F2 · derivative.exercise_date: The shares subject to this option vest as follows: (i) one-third of the total shares on the first anniversary of the grant date; and (ii) the remaining two-thirds of the total shares ratably on a monthly basis over the 24-month period immediately following the first anniversary of the grant date.

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October 04, 2017 Filed Oct 5, 2017 16:17 UTC
Piferi Peter G.Chief Operating Officer
GrantCommon Stock 10,384 $0.00 $0.00
Disclosure

SEC source: 0001534424-17-000418 · piferi.xml · nonDerivative · entry 1

Piferi Peter G. · CIK 0001492401 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,211

F1 · price: The Reporting Person received a portion of his 2016 cash bonus in the form of the Company's common stock based on the closing sales price of the Company's common stock on October 4, 2017. The shares were granted under the Company's Second Amended and Restated 2013 Incentive Compensation Plan.

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October 04, 2017 Filed Oct 5, 2017 16:11 UTC
Maners Wendelin CVice President, Marketing
GrantStock Options (right to buy) · Derivative 20,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001534424-17-000415 · maners.xml · derivative · entry 3

Maners Wendelin C · CIK 0001490997 · Vice President, Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-10-04

F3 · derivative.exercise_date: The shares subject to this option vest as follows: (i) one-third of the total shares on the first anniversary of the grant date; and (ii) the remaining two-thirds of the total shares ratably on a monthly basis over the 24-month period immediately following the first anniversary of the grant date.

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October 04, 2017 Filed Oct 5, 2017 16:11 UTC
Maners Wendelin CVice President, Marketing
GrantStock Options (right to buy) · Derivative 1,875 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001534424-17-000415 · maners.xml · derivative · entry 2

Maners Wendelin C · CIK 0001490997 · Vice President, Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,875

Underlying: Common Stock · 1,875 shares

Expires 2027-10-04

F2 · derivative.exercise_date: The shares subject to this option vest ratably in three equal installments on December 1, 2017, December 1, 2018 and December 1, 2019.

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October 04, 2017 Filed Oct 5, 2017 16:11 UTC
Maners Wendelin CVice President, Marketing
GrantCommon Stock 8,503 $0.00 $0.00
Disclosure

SEC source: 0001534424-17-000415 · maners.xml · nonDerivative · entry 1

Maners Wendelin C · CIK 0001490997 · Vice President, Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,900

F1 · price: The Reporting Person received a portion of her 2016 cash bonus in the form of the Company's common stock based on the closing sales price of the Company's common stock on October 4, 2017. The shares were granted under the Company's Second Amended and Restated 2013 Incentive Compensation Plan.

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October 04, 2017 Filed Oct 5, 2017 16:18 UTC GrantCommon Stock 2,729 $2.47 $6,740.63
Disclosure

SEC source: 0001534424-17-000419 · koob.xml · nonDerivative · entry 1

KOOB CHARLES E · CIK 0001426480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,902

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $2.47 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 29, 2017.

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October 04, 2017 Filed Oct 5, 2017 20:22 UTC
Grillo Francis PDirector · CHIEF EXECUTIVE OFFICER
GrantCommon Stock 15,636 $0.00 $0.00
Disclosure

SEC source: 0001534424-17-000421 · grillo.xml · nonDerivative · entry 1

Grillo Francis P · CIK 0001619282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,224

F1 · price: The Reporting Person received a portion of his 2016 cash bonus in the form of the Company's common stock based on the closing sales price of the Company's common stock on October 4, 2017. The shares were granted under the Company's Second Amended and Restated 2013 Incentive Compensation Plan.

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October 04, 2017 Filed Oct 5, 2017 20:20 UTC
HURWITZ HAROLD AChief Financial Officer
GrantStock Options (right to buy) · Derivative 20,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001534424-17-000420 · hurwitz.xml · derivative · entry 3

HURWITZ HAROLD A · CIK 0001241273 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-10-04

F3 · derivative.exercise_date: The shares subject to this option vest as follows: (i) one-third of the total shares on the first anniversary of the grant date; and (ii) the remaining two-thirds of the total shares ratably on a monthly basis over the 24-month period immediately following the first anniversary of the grant date.

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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.