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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

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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
March 31, 2021 Filed Apr 2, 2021 20:06 UTC GrantCommon Stock 306 $19.57 $5,988.42
Disclosure

SEC source: 0001420506-21-000379 · doc4_921.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,921

F1 · price: These shares were issued pursuant to the issuer's Third 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 $19.57 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 31, 2021.

Read SEC document
March 31, 2021 Filed Apr 2, 2021 20:05 UTC GrantCommon Stock 322 $19.57 $6,301.54
Disclosure

SEC source: 0001420506-21-000378 · doc4_920.xml · nonDerivative · entry 1

Girin Pascal E R · CIK 0001329811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,764

F1 · price: These shares were issued pursuant to the issuer's Third 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 $19.57 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 31, 2021.

Read SEC document
March 31, 2021 Filed Apr 2, 2021 20:03 UTC GrantCommon Stock 319 $19.57 $6,242.83
Disclosure

SEC source: 0001420506-21-000377 · doc4_919.xml · nonDerivative · entry 1

SPENCER JOHN N JR · CIK 0001270555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,361

F1 · price: These shares were issued pursuant to the issuer's Third 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 $19.57 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 31, 2021.

F2 · ownership.direct: Includes 23,219 shares held jointly with spouse and 510 shares held in an IRA.

Read SEC document
March 31, 2021 Filed Apr 2, 2021 20:02 UTC GrantCommon Stock 255 $19.57 $4,990.35
Disclosure

SEC source: 0001420506-21-000376 · doc4_917.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,561

F1 · price: These shares were issued pursuant to the issuer's Third 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 $19.57 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 31, 2021.

Read SEC document
March 31, 2021 Filed Apr 12, 2021 20:18 UTC GrantCommon Stock 738 $19.57 $14,442.66
Disclosure

SEC source: 0001420506-21-000402 · doc4_916.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,134

F1 · price: These shares were issued pursuant to the issuer's Third 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 $19.57 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 31, 2021.

Read SEC document
December 31, 2020 Filed Jan 4, 2021 18:36 UTC GrantCommon Stock 208 $15.00 $3,120.00
Disclosure

SEC source: 0001420506-21-000010 · doc4_894.xml · nonDerivative · entry 1

Jenkins Kimble L. · CIK 0001492392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,251

F1 · price: These shares were issued pursuant to the issuer's Third 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 $15.00 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 31, 2020.

Read SEC document
December 31, 2020 Filed Jan 4, 2021 23:37 UTC GrantCommon Stock 379 $15.00 $5,685.00
Disclosure

SEC source: 0001420506-21-000012 · doc4_896.xml · nonDerivative · entry 1

Girin Pascal E R · CIK 0001329811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,422

F1 · price: These shares were issued pursuant to the issuer's Third 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 $15.00 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 31, 2020.

Read SEC document
December 31, 2020 Filed Jan 4, 2021 23:37 UTC GrantCommon Stock 808 $15.00 $12,120.00
Disclosure

SEC source: 0001420506-21-000011 · doc4_895.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,396

F1 · price: These shares were issued pursuant to the issuer's Third 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 $15.00 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 31, 2020.

Read SEC document
December 31, 2020 Filed Jan 4, 2021 23:36 UTC GrantCommon Stock 399 $15.00 $5,985.00
Disclosure

SEC source: 0001420506-21-000009 · doc4_893.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,615

F1 · price: These shares were issued pursuant to the issuer's Third 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 $15.00 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 31, 2020.

Read SEC document
December 31, 2020 Filed Jan 4, 2021 23:35 UTC GrantCommon Stock 333 $15.00 $4,995.00
Disclosure

SEC source: 0001420506-21-000008 · doc4_892.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,306

F1 · price: These shares were issued pursuant to the issuer's Third 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 $15.00 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 31, 2020.

Read SEC document
December 31, 2020 Filed Jan 4, 2021 23:34 UTC GrantCommon Stock 208 $15.00 $3,120.00
Disclosure

SEC source: 0001420506-21-000007 · doc4_891.xml · nonDerivative · entry 1

SPENCER JOHN N JR · CIK 0001270555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,042

F1 · price: These shares were issued pursuant to the issuer's Third 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 $15.00 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 31, 2020.

F2 · ownership.direct: Includes 22,900 shares held jointly with spouse and 510 shares held in an IRA.

Read SEC document
November 07, 2020 Filed Nov 9, 2020 21:13 UTC
BURNETT JOSEPHDirector · CEO and President
Tax withholdingCommon Stock 14,286 $6.65 $95,001.90
Disclosure

SEC source: 0001420506-20-001168 · doc4_881.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,845

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
November 07, 2020 Filed Jan 5, 2021 21:04 UTC Amendment
BURNETT JOSEPHDirector · CEO and President
Tax withholdingCommon Stock 5,765 $6.65 $38,337.25
Disclosure

SEC source: 0001420506-21-000014 · doc4a_900.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,366

F1 · shares: This amendment on Form 4/A to the original Form 4 filed on November 7, 2020 is made solely to correct the amount of shares delivered to satisfy applicable tax withholding obligations in connection with the vesting of shares of restricted

Read SEC document
September 30, 2020 Filed Oct 1, 2020 18:10 UTC GrantCommon Stock 547 $5.71 $3,123.37
Disclosure

SEC source: 0001420506-20-001037 · doc4_857.xml · nonDerivative · entry 1

Jenkins Kimble L. · CIK 0001492392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,043

F1 · price: These shares were issued pursuant to the issuer's Third 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 $5.71 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 30, 2020.

Read SEC document
September 30, 2020 Filed Oct 1, 2020 22:11 UTC GrantCommon Stock 876 $5.71 $5,001.96
Disclosure

SEC source: 0001420506-20-001039 · doc4_859.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,973

F1 · price: These shares were issued pursuant to the issuer's Third 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 $5.71 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 30, 2020.

Read SEC document
September 30, 2020 Filed Oct 1, 2020 22:09 UTC GrantCommon Stock 547 $5.71 $3,123.37
Disclosure

SEC source: 0001420506-20-001035 · doc4_861.xml · nonDerivative · entry 1

SPENCER JOHN N JR · CIK 0001270555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,834

F1 · price: These shares were issued pursuant to the issuer's Third 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 $5.71 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 30, 2020.

F2 · ownership.direct: Includes 22,692 shares held jointly with spouse and 510 shares held in an IRA.

Read SEC document
September 30, 2020 Filed Oct 1, 2020 22:09 UTC GrantCommon Stock 1,051 $5.71 $6,001.21
Disclosure

SEC source: 0001420506-20-001034 · doc4_860.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,216

F1 · price: These shares were issued pursuant to the issuer's Third 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 $5.71 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 30, 2020.

Read SEC document
September 30, 2020 Filed Oct 1, 2020 22:07 UTC GrantCommon Stock 996 $5.71 $5,687.16
Disclosure

SEC source: 0001420506-20-001031 · doc4_856.xml · nonDerivative · entry 1

Girin Pascal E R · CIK 0001329811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,063

F1 · price: These shares were issued pursuant to the issuer's Third 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 $5.71 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 30, 2020.

Read SEC document
September 30, 2020 Filed Oct 1, 2020 22:07 UTC GrantCommon Stock 2,124 $5.71 $12,128.04
Disclosure

SEC source: 0001420506-20-001030 · doc4_853.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,588

F1 · price: These shares were issued pursuant to the issuer's Third 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 $5.71 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 30, 2020.

Read SEC document
September 30, 2020 Filed Oct 1, 2020 22:06 UTC GrantCommon Stock 2,124 $5.71 $12,128.04
Disclosure

SEC source: 0001420506-20-001027 · doc4_853.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,588

F1 · price: These shares were issued pursuant to the issuer's Third 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 $5.71 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 30, 2020.

Read SEC document
September 29, 2020 Filed Sep 30, 2020 20:06 UTC
D'Alessandro DaniloVice President, Finance
GrantStock Options (right to buy) · Derivative 75,000 $0.00 Strike: $5.80 $0.00
Disclosure

SEC source: 0001420506-20-001025 · doc4_851.xml · derivative · entry 2

D'Alessandro Danilo · CIK 0001825163 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2030-09-29

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; (ii) one-third of the total shares on the second anniversary of the grant date; and (iii) one-third of the total shares on the third anniversary of the grant date.

Read SEC document
September 29, 2020 Filed Sep 30, 2020 20:06 UTC
D'Alessandro DaniloVice President, Finance
GrantCommon Stock 30,000 $0.00 $0.00
Disclosure

SEC source: 0001420506-20-001025 · doc4_851.xml · nonDerivative · entry 1

D'Alessandro Danilo · CIK 0001825163 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

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; (ii) one-third of the total shares on the second anniversary of the grant date; and (iii) one-third of the total shares on the third anniversary of the grant date.

Read SEC document
September 29, 2020 Filed Oct 21, 2020 20:10 UTC
D'Alessandro DaniloVice President, Finance
Tax withholdingCommon Stock 1,762 $5.80 $10,219.60
Disclosure

SEC source: 0001420506-20-001079 · doc4_872.xml · nonDerivative · entry 2

D'Alessandro Danilo · CIK 0001825163 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,548

F2 · price: Represents the amount of shares delivered to satisfy applicable tax withholding obligations.

Read SEC document
September 29, 2020 Filed Oct 21, 2020 20:10 UTC
D'Alessandro DaniloVice President, Finance
GrantCommon Stock 4,310 $0.00 $0.00
Disclosure

SEC source: 0001420506-20-001079 · doc4_872.xml · nonDerivative · entry 1

D'Alessandro Danilo · CIK 0001825163 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,310

F1 · price: The Reporting Person received $25,000 of his signing bonus in the form of the Issuer's common stock based on the closing price as of September 29, 2020. The shares were granted under the Issuer's Third Amended and Restated 2013 Incentive Compensation Plan.

Read SEC document
August 15, 2020 Filed Aug 18, 2020 20:26 UTC
BURNETT JOSEPHDirector · CEO and President
Tax withholdingCommon Stock 2,491 $4.10 $10,213.10
Disclosure

SEC source: 0001420506-20-000996 · doc4_841.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,131

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
August 07, 2020 Filed Aug 10, 2020 20:09 UTC
BURNETT JOSEPHDirector · CEO and President
Tax withholdingCommon Stock 5,763 $4.00 $23,052.00
Disclosure

SEC source: 0001420506-20-000853 · doc4_840.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,622

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
July 09, 2020 Filed Jul 13, 2020 16:08 UTC
Piferi Peter G.Chief Operating Officer
GrantStock Options (right to buy) · Derivative 15,706 $0.00 Strike: $3.24 $0.00
Disclosure

SEC source: 0001420506-20-000715 · doc4_830.xml · derivative · entry 2

Piferi Peter G. · CIK 0001492401 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,706

Underlying: Common Stock · 15,706 shares

Expires 2030-07-09

F2 · derivative.exercise_date: The shares subject to this option vest as follows: (i) 20% of the total shares on the first anniversary of the grant date; (ii) 40% of the total shares on the second anniversary of the grant date; and (iii) 40% of the total shares on the third anniversary of the grant date.

Read SEC document
July 09, 2020 Filed Jul 13, 2020 16:08 UTC
Piferi Peter G.Chief Operating Officer
GrantCommon Stock 9,259 $0.00 $0.00
Disclosure

SEC source: 0001420506-20-000715 · doc4_830.xml · nonDerivative · entry 1

Piferi Peter G. · CIK 0001492401 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,630

F1 · shares: The shares are restricted stock and vest as follows: (i) 20% of the total shares on the first anniversary of the grant date; (ii) 40% of the total shares on the second anniversary of the grant date; and (iii) 40% of the total shares on the third anniversary of the grant date.

Read SEC document
July 09, 2020 Filed Jul 13, 2020 20:08 UTC
HURWITZ HAROLD AChief Financial Officer
GrantStock Options (right to buy) · Derivative 15,706 $0.00 Strike: $3.24 $0.00
Disclosure

SEC source: 0001420506-20-000714 · doc4_829.xml · derivative · entry 2

HURWITZ HAROLD A · CIK 0001241273 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,706

Underlying: Common Stock · 15,706 shares

Expires 2030-07-09

F2 · derivative.exercise_date: The shares subject to this option vest as follows: (i) 20% of the total shares on the first anniversary of the grant date; (ii) 40% of the total shares on the second anniversary of the grant date; and (iii) 40% of the total shares on the third anniversary of the grant date.

Read SEC document
July 09, 2020 Filed Jul 13, 2020 20:08 UTC
HURWITZ HAROLD AChief Financial Officer
GrantCommon Stock 9,259 $0.00 $0.00
Disclosure

SEC source: 0001420506-20-000714 · doc4_829.xml · nonDerivative · entry 1

HURWITZ HAROLD A · CIK 0001241273 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,331

F1 · shares: The shares are restricted stock and vest as follows: (i) 20% of the total shares on the first anniversary of the grant date; (ii) 40% of the total shares on the second anniversary of the grant date; and (iii) 40% of the total shares on the third anniversary of the grant date.

Read SEC document
July 09, 2020 Filed Jul 13, 2020 20:07 UTC
BURNETT JOSEPHDirector · CEO and President
GrantStock Options (right to buy) · Derivative 52,356 $0.00 Strike: $3.24 $0.00
Disclosure

SEC source: 0001420506-20-000713 · doc4_828.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,356

Underlying: Common Stock · 52,356 shares

Expires 2030-07-09

F2 · derivative.exercise_date: The shares subject to this option vest as follows: (i) 20% of the total shares on the first anniversary of the grant date; (ii) 40% of the total shares on the second anniversary of the grant date; and (iii) 40% of the total shares on the third anniversary of the grant date.

Read SEC document
July 09, 2020 Filed Jul 13, 2020 20:07 UTC
BURNETT JOSEPHDirector · CEO and President
GrantCommon Stock 30,864 $0.00 $0.00
Disclosure

SEC source: 0001420506-20-000713 · doc4_828.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,385

F1 · shares: The shares are restricted stock and vest as follows: (i) 20% of the total shares on the first anniversary of the grant date; (ii) 40% of the total shares on the second anniversary of the grant date; and (iii) 40% of the total shares on the third anniversary of the grant date.

Read SEC document
June 30, 2020 Filed Jul 2, 2020 13:31 UTC GrantCommon Stock 879 $3.55 $3,120.45
Disclosure

SEC source: 0001171520-20-000285 · doc4_814.xml · nonDerivative · entry 1

Jenkins Kimble L. · CIK 0001492392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,496

F1 · price: These shares were issued pursuant to the issuer's Third 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 $3.55 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 30, 2020.

Read SEC document
June 30, 2020 Filed Jul 2, 2020 17:32 UTC GrantCommon Stock 1,406 $3.55 $4,991.30
Disclosure

SEC source: 0001171520-20-000289 · doc4_820.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,097

F1 · price: These shares were issued pursuant to the issuer's Third 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 $3.55 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 30, 2020.

Read SEC document
June 30, 2020 Filed Jul 2, 2020 17:32 UTC GrantCommon Stock 1,570 $3.55 $5,573.50
Disclosure

SEC source: 0001171520-20-000288 · doc4_816.xml · nonDerivative · entry 1

Girin Pascal E R · CIK 0001329811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,067

F1 · price: These shares were issued pursuant to the issuer's Third 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 $3.55 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 30, 2020.

Read SEC document
June 30, 2020 Filed Jul 2, 2020 17:31 UTC GrantCommon Stock 1,687 $3.55 $5,988.85
Disclosure

SEC source: 0001171520-20-000287 · doc4_815.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,165

F1 · price: These shares were issued pursuant to the issuer's Third 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 $3.55 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 30, 2020.

Read SEC document
June 30, 2020 Filed Jul 2, 2020 17:30 UTC GrantCommon Stock 3,411 $3.55 $12,109.05
Disclosure

SEC source: 0001171520-20-000283 · doc4_813.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,464

F1 · price: These shares were issued pursuant to the issuer's Third 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 $3.55 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 30, 2020.

Read SEC document
June 30, 2020 Filed Jul 2, 2020 16:56 UTC GrantCommon Stock 879 $3.55 $3,120.45
Disclosure

SEC source: 0001171520-20-000282 · doc4_821.xml · nonDerivative · entry 1

SPENCER JOHN N JR · CIK 0001270555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,287

F1 · price: These shares were issued pursuant to the issuer's Third 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 $3.55 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 30, 2020.

F2 · ownership.direct: Includes 22,145 shares held jointly with spouse and 510 shares held in an IRA.

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June 03, 2020 Filed Jun 17, 2020 16:14 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $4.13 $0.00
Disclosure

SEC source: 0001420506-20-000695 · doc4_808.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 2030-06-03

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 2021 annual meeting of stockholders.

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June 03, 2020 Filed Jun 17, 2020 20:17 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $4.13 $0.00
Disclosure

SEC source: 0001420506-20-000699 · doc4_811.xml · derivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-06-03

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 2021 annual meeting of stockholders.

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June 03, 2020 Filed Jun 17, 2020 20:16 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $4.13 $0.00
Disclosure

SEC source: 0001420506-20-000697 · doc4_807.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 2030-06-03

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 2021 annual meeting of stockholders.

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June 03, 2020 Filed Jun 17, 2020 20:12 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $4.13 $0.00
Disclosure

SEC source: 0001420506-20-000693 · doc4_809.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 2030-06-03

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 2021 annual meeting of stockholders.

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June 03, 2020 Filed Jun 17, 2020 20:10 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $4.13 $0.00
Disclosure

SEC source: 0001420506-20-000691 · doc4_812.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 2030-06-03

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 2021 annual meeting of stockholders.

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June 03, 2020 Filed Jun 17, 2020 20:07 UTC GrantStock Options (right to buy) · Derivative 15,000 $0.00 Strike: $4.13 $0.00
Disclosure

SEC source: 0001420506-20-000689 · doc4_810.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 2030-06-03

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 2021 annual meeting of stockholders.

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May 07, 2020 Filed May 8, 2020 23:00 UTC
BURNETT JOSEPHDirector · CEO and President
Tax withholdingCommon Stock 6,627 $3.69 $24,453.63
Disclosure

SEC source: 0001420506-20-000473 · doc4_801.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,521

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

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March 31, 2020 Filed Apr 2, 2020 16:07 UTC GrantCommon Stock 875 $3.57 $3,123.75
Disclosure

SEC source: 0001420506-20-000351 · doc4_793.xml · nonDerivative · entry 1

Jenkins Kimble L. · CIK 0001492392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,617

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 $3.57 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 31, 2020.

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March 31, 2020 Filed Apr 2, 2020 20:12 UTC GrantCommon Stock 1,505 $3.57 $5,372.85
Disclosure

SEC source: 0001420506-20-000361 · doc4_794.xml · nonDerivative · entry 1

Girin Pascal E R · CIK 0001329811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,497

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 $3.57 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 31, 2020.

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March 31, 2020 Filed Apr 2, 2020 20:11 UTC GrantCommon Stock 3,396 $3.57 $12,123.72
Disclosure

SEC source: 0001420506-20-000359 · doc4_795.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,053

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 $4.96 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 31, 2019.

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March 31, 2020 Filed Apr 2, 2020 20:10 UTC GrantCommon Stock 1,400 $3.57 $4,998.00
Disclosure

SEC source: 0001420506-20-000357 · doc4_797.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,691

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 $3.57 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 31, 2020.

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March 31, 2020 Filed Apr 2, 2020 20:10 UTC GrantCommon Stock 875 $3.57 $3,123.75
Disclosure

SEC source: 0001420506-20-000356 · doc4_798.xml · nonDerivative · entry 1

SPENCER JOHN N JR · CIK 0001270555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,408

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 $3.57 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 31, 2020.

F2 · ownership.direct: Includes 21,266 shares held jointly with spouse and 510 shares held in an IRA.

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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.