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Nasdaq · USD

CPSS

CONSUMER PORTFOLIO SERVICES, INC.

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Tapewire entity
1404
SEC CIK
0000889609
Parsed reports
447

Last 12 months

Inside the activity.

0 purchase rows · 8 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202501
Jan 202600
Feb 202600
Mar 202601
Apr 202600
May 202600
Jun 202601
Jul 202600
Aug 202604
Sep 202601
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
September 16, 2024 Filed Sep 17, 2024 22:22 UTC
Harton John PatrickSr. Vice President
SaleCommon Stock, No Par Value 10,000 $9.50 $95,000.00
Disclosure

SEC source: 0001683168-24-006465 · ownership.xml · nonDerivative · entry 1

Harton John Patrick · CIK 0001605827 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 255,604

F1 · price: The sales price is a weighted average price. The shares were sold in multiple transactions at prices ranging from $9.50 to $9.57, inclusive. The reporting person undertakes to provide upon request by the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 22:31 UTC
Crisp AprilSr. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 5,000 Not disclosed Strike: $2.47 Not disclosed
Disclosure

SEC source: 0001683168-24-006347 · ownership.xml · derivative · entry 4

Crisp April · CIK 0001983271 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock, No Par Value · 5,000 shares

Expires 2027-06-01

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

F3 · price: Issued in consideration of the named person's services to the issuer.

F2 · derivative.exercise_date: Represents original grant of stock options on June 1, 2020, which are fully vested and exercisable.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 22:31 UTC
Crisp AprilSr. Vice President
SaleCommon Stock, no par value 2,500 $9.50 $23,750.00
Disclosure

SEC source: 0001683168-24-006347 · ownership.xml · nonDerivative · entry 3

Crisp April · CIK 0001983271 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,212

F1 · kind: Represents an exercise of a stock option with a subsequent sale of the underlying shares of common stock.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 22:31 UTC
Crisp AprilSr. Vice President
SaleCommon Stock, no par value 2,500 $9.80 $24,500.00
Disclosure

SEC source: 0001683168-24-006347 · ownership.xml · nonDerivative · entry 2

Crisp April · CIK 0001983271 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,712

F1 · kind: Represents an exercise of a stock option with a subsequent sale of the underlying shares of common stock.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 22:31 UTC
Crisp AprilSr. Vice President
Exercise / conversionCommon Stock, no par value 5,000 $2.47 $12,350.00
Disclosure

SEC source: 0001683168-24-006347 · ownership.xml · nonDerivative · entry 1

Crisp April · CIK 0001983271 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,212

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

F1 · kind: Represents an exercise of a stock option with a subsequent sale of the underlying shares of common stock.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 21:05 UTC
BRADLEY CHARLES E JRDirector · CEO · 10% owner
SaleCommon Stock, no par value 70,000 $9.85 $689,500.00
Disclosure

SEC source: 0001683168-24-006340 · ownership.xml · nonDerivative · entry 1

BRADLEY CHARLES E JR · CIK 0001028860 · Director · CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,720,092

Read SEC document
September 06, 2024 Filed Sep 10, 2024 00:06 UTC
Harton John PatrickSr. Vice President
SaleCommon Stock, No Par Value 10,000 $9.00 $90,000.00
Disclosure

SEC source: 0001683168-24-006266 · ownership.xml · nonDerivative · entry 1

Harton John Patrick · CIK 0001605827 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 265,604

Read SEC document
June 14, 2024 Filed Jun 18, 2024 22:03 UTC
BRADLEY CHARLES E JRDirector · CEO · 10% owner
SaleCommon Stock, no par value 50,000 $8.98 $449,000.00
Disclosure

SEC source: 0001683168-24-004336 · ownership.xml · nonDerivative · entry 1

BRADLEY CHARLES E JR · CIK 0001028860 · Director · CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,790,092

Read SEC document
June 03, 2024 Filed Jun 4, 2024 20:09 UTC SaleCommon Stock, no par value 5,550 $8.29 $46,005.62
Disclosure

SEC source: 0001683168-24-003976 · ownership.xml · nonDerivative · entry 1

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 199,910

F1 · price: The price shown is the weighted average sale price for all transactions by the reporting person on June 03, 2024. All such sales were within a range of less than one dollar per share, $8.15 to $8.40. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
May 31, 2024 Filed May 31, 2024 22:54 UTC SaleCommon Stock, no par value 17,700 $8.34 $147,612.69
Disclosure

SEC source: 0001683168-24-003933 · ownership.xml · nonDerivative · entry 3

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 205,460

F3 · price: The price shown is the weighted average sale price for all transactions by the reporting person on May 31, 2024. All such sales were within a range of less than one dollar per share, $8.20 to $8.59. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
May 30, 2024 Filed May 31, 2024 22:54 UTC SaleCommon Stock, no par value 2,052 $8.05 $16,517.57
Disclosure

SEC source: 0001683168-24-003933 · ownership.xml · nonDerivative · entry 2

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 223,160

F2 · price: The price shown is the weighted average sale price for all transactions by the reporting person on May 30, 2024. All such sales were within a range of less than one dollar per share, $8.03 to $8.08. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
May 29, 2024 Filed May 31, 2024 22:54 UTC SaleCommon Stock, no par value 4,000 $7.95 $31,795.20
Disclosure

SEC source: 0001683168-24-003933 · ownership.xml · nonDerivative · entry 1

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,212

F1 · price: The price shown is the weighted average sale price for all transactions by the reporting person on May 29, 2024. All such sales were within a range of less than one dollar per share, $7.80 to $8.01. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
May 28, 2024 Filed May 28, 2024 23:48 UTC SaleCommon Stock, no par value 2,094 $7.93 $16,601.23
Disclosure

SEC source: 0001683168-24-003859 · ownership.xml · nonDerivative · entry 3

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 229,212

F2 · price: The price shown is the weighted average sale price for all transactions by the reporting person on May 28, 2024. All such sales were within a range of less than one dollar per share, $7.90 to $7.99. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
May 24, 2024 Filed May 28, 2024 23:48 UTC SaleCommon Stock, no par value 1,000 $8.16 $8,160.00
Disclosure

SEC source: 0001683168-24-003859 · ownership.xml · nonDerivative · entry 2

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,306

Read SEC document
May 23, 2024 Filed May 28, 2024 23:48 UTC SaleCommon Stock, no par value 2,586 $8.41 $21,746.71
Disclosure

SEC source: 0001683168-24-003859 · ownership.xml · nonDerivative · entry 1

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 232,306

F1 · price: The price shown is the weighted average sale price for all transactions by the reporting person on May 23, 2024. All such sales were within a range of less than one dollar per share, $8.39 to $8.41. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
May 17, 2024 Filed May 21, 2024 23:16 UTC
BRADLEY CHARLES E JRDirector · CEO · 10% owner
Exercise / conversionStock Option (right to buy) · Derivative 300,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003768 · ownership.xml · derivative · entry 3

BRADLEY CHARLES E JR · CIK 0001028860 · Director · CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, No Par Value · 300,000 shares

Expires 2024-05-17

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

F3 · price: Issued in consideration of the named person's services to the issuer.

F2 · derivative.exercise_date: Became exercisable in four equal installments on May 17, 2018, 2019, 2020 and 2021.

Read SEC document
May 17, 2024 Filed May 21, 2024 23:16 UTC
BRADLEY CHARLES E JRDirector · CEO · 10% owner
Tax withholdingCommon Stock, no par value 178,678 $8.60 $1,536,630.80
Disclosure

SEC source: 0001683168-24-003768 · ownership.xml · nonDerivative · entry 2

BRADLEY CHARLES E JR · CIK 0001028860 · Director · CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,840,092

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 121,322 shares of common stock on net exercise of option to purchase 300,000 shares of common stock. The reporting person forfeited 178,678 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 17, 2024 of $8.60 per share.

Read SEC document
May 17, 2024 Filed May 21, 2024 23:16 UTC
BRADLEY CHARLES E JRDirector · CEO · 10% owner
Exercise / conversionCommon Stock, no par value 300,000 $4.35 $1,305,000.00
Disclosure

SEC source: 0001683168-24-003768 · ownership.xml · nonDerivative · entry 1

BRADLEY CHARLES E JR · CIK 0001028860 · Director · CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,018,770

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

Read SEC document
May 17, 2024 Filed May 21, 2024 20:32 UTC
Robinson TeriExec. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 60,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003759 · ownership.xml · derivative · entry 5

Robinson Teri · CIK 0001397947 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, No Par Value · 60,000 shares

Expires 2024-05-17

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

F4 · price: Issued in consideration of the named person's services to the issuer.

F3 · derivative.exercise_date: Became exercisable in four equal installments on 5/17/2018, 5/17/2019, 5/17/2020, and 5/17/2021.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:32 UTC
Robinson TeriExec. Vice President
GiftCommon Stock, no par value 26,881 $0.00 $0.00
Disclosure

SEC source: 0001683168-24-003759 · ownership.xml · nonDerivative · entry 4

Robinson Teri · CIK 0001397947 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Indirect · Teri Lee Robinson Living Trust

Disclosed balance after: 456,302

F2 · ownership.direct: Previously characterized as direct ownership.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:32 UTC
Robinson TeriExec. Vice President
GiftCommon Stock, no par value 26,881 $0.00 $0.00
Disclosure

SEC source: 0001683168-24-003759 · ownership.xml · nonDerivative · entry 3

Robinson Teri · CIK 0001397947 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Read SEC document
May 17, 2024 Filed May 21, 2024 20:32 UTC
Robinson TeriExec. Vice President
Tax withholdingCommon Stock, no par value 33,119 $8.60 $284,823.40
Disclosure

SEC source: 0001683168-24-003759 · ownership.xml · nonDerivative · entry 2

Robinson Teri · CIK 0001397947 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,881

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 26,881 shares of common stock on net exercise of option to purchase 60,000 shares of common stock. The reporting person forfeited 33,119 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 17, 2024 of $8.60 per share.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:32 UTC
Robinson TeriExec. Vice President
Exercise / conversionCommon Stock, no par value 60,000 $4.35 $261,000.00
Disclosure

SEC source: 0001683168-24-003759 · ownership.xml · nonDerivative · entry 1

Robinson Teri · CIK 0001397947 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

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

Read SEC document
May 17, 2024 Filed May 21, 2024 20:31 UTC Exercise / conversionStock Option (right to buy) · Derivative 30,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003757 · ownership.xml · derivative · entry 3

Rayhill Brian · CIK 0001378986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, No Par Value · 30,000 shares

Expires 2024-05-17

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

F2 · price: Issued in consideration of the named person's services to the issuer.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:31 UTC Tax withholdingCommon Stock, no par value 15,175 $8.60 $130,505.00
Disclosure

SEC source: 0001683168-24-003757 · ownership.xml · nonDerivative · entry 2

Rayhill Brian · CIK 0001378986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 203,236

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 14,825 shares of common stock on net exercise of option to purchase 30,000 shares of common stock. The reporting person forfeited 15,175 shares of common stock underlying the option in payment of the exercise prices using the closing stock price on May 17, 2024 of $8.60 per share.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:31 UTC Exercise / conversionCommon Stock, no par value 30,000 $4.35 $130,500.00
Disclosure

SEC source: 0001683168-24-003757 · ownership.xml · nonDerivative · entry 1

Rayhill Brian · CIK 0001378986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 218,411

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

Read SEC document
May 17, 2024 Filed May 21, 2024 20:29 UTC
Ralston Catrina MarieSr. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 30,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003755 · ownership.xml · derivative · entry 3

Ralston Catrina Marie · CIK 0001960053 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, No Par Value · 30,000 shares

Expires 2024-05-17

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

F3 · price: Issued in consideration of the named person's services to the issuer.

F2 · derivative.exercise_date: Became exercisable in four equal installments on May 17, 2018, 2019, 2020 and 2021.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:29 UTC
Ralston Catrina MarieSr. Vice President
Tax withholdingCommon Stock, no par value 16,555 $8.60 $142,373.00
Disclosure

SEC source: 0001683168-24-003755 · ownership.xml · nonDerivative · entry 2

Ralston Catrina Marie · CIK 0001960053 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,157

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 13,445 shares of common stock on net exercise of option to purchase 30,000 shares of common stock. The reporting person forfeited 16,555 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 17, 2024 of $8.60 per share.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:29 UTC
Ralston Catrina MarieSr. Vice President
Exercise / conversionCommon Stock, no par value 30,000 $4.35 $130,500.00
Disclosure

SEC source: 0001683168-24-003755 · ownership.xml · nonDerivative · entry 1

Ralston Catrina Marie · CIK 0001960053 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,712

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

Read SEC document
May 17, 2024 Filed May 21, 2024 20:28 UTC Exercise / conversionStock Option (right to buy) · Derivative 90,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003753 · ownership.xml · derivative · entry 5

Lavin Michael T. · CIK 0001463930 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, No Par Value · 90,000 shares

Expires 2024-05-17

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

F3 · price: Issued in consideration of the named person's services to the issuer.

F2 · derivative.exercise_date: Became exercisable in four equal installments on May 12, 2018, 2019, 2020 and 2021.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:28 UTC GiftCommon Stock, no par value 34,334 $0.00 $0.00
Disclosure

SEC source: 0001683168-24-003753 · ownership.xml · nonDerivative · entry 4

Lavin Michael T. · CIK 0001463930 · President

10b5-1 filing: No plan indicated

Ownership: Indirect · MTRB LAVIN LIVING TRUST

Disclosed balance after: 353,879

Read SEC document
May 17, 2024 Filed May 21, 2024 20:28 UTC GiftCommon Stock, no par value 34,334 $0.00 $0.00
Disclosure

SEC source: 0001683168-24-003753 · ownership.xml · nonDerivative · entry 3

Lavin Michael T. · CIK 0001463930 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Read SEC document
May 17, 2024 Filed May 21, 2024 20:28 UTC Tax withholdingCommon Stock, no par value 55,666 $8.60 $478,727.60
Disclosure

SEC source: 0001683168-24-003753 · ownership.xml · nonDerivative · entry 2

Lavin Michael T. · CIK 0001463930 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,334

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 34,334 shares of common stock on net exercise of option to purchase 90,000 shares of common stock. The reporting person forfeited 55,666 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 17, 2024 of $8.60 per share.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:28 UTC Exercise / conversionCommon Stock, no par value 90,000 $4.35 $391,500.00
Disclosure

SEC source: 0001683168-24-003753 · ownership.xml · nonDerivative · entry 1

Lavin Michael T. · CIK 0001463930 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,000

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

Read SEC document
May 17, 2024 Filed May 21, 2024 20:27 UTC
Bharwani DeneshExec. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 60,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003751 · ownership.xml · derivative · entry 3

Bharwani Denesh · CIK 0001672094 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, No Par Value · 60,000 shares

Expires 2024-05-17

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

F3 · price: Issued in consideration of the named person's services to the issuer.

F2 · derivative.exercise_date: Became exercisable in four equal installments on May 17, 2018, 2019, 2020, and 2021.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:27 UTC
Bharwani DeneshExec. Vice President
Tax withholdingCommon Stock, no par value 38,283 $8.60 $329,233.80
Disclosure

SEC source: 0001683168-24-003751 · ownership.xml · nonDerivative · entry 2

Bharwani Denesh · CIK 0001672094 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 324,355

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 21,717 shares of common stock on net exercise of option to purchase 60,000 shares of common stock. The reporting person forfeited 38,283 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 17, 2023 of $8.60 per share.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:27 UTC
Bharwani DeneshExec. Vice President
Exercise / conversionCommon Stock, no par value 60,000 $4.35 $261,000.00
Disclosure

SEC source: 0001683168-24-003751 · ownership.xml · nonDerivative · entry 1

Bharwani Denesh · CIK 0001672094 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 362,638

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

Read SEC document
May 17, 2024 Filed May 21, 2024 20:27 UTC Exercise / conversionStock Option (right to buy) · Derivative 30,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003749 · ownership.xml · derivative · entry 3

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, No Par Value · 30,000 shares

Expires 2024-05-17

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

F2 · price: Issued in consideration of the named person's services to the issuer.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:27 UTC Tax withholdingCommon Stock, no par value 15,175 $8.60 $130,505.00
Disclosure

SEC source: 0001683168-24-003749 · ownership.xml · nonDerivative · entry 2

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 234,892

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 14,825 shares of common stock on net exercise of option to purchase 30,000 shares of common stock. The reporting person forfeited 15,175 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on May 17, 2024 of $8.60 per share.

Read SEC document
May 17, 2024 Filed May 21, 2024 20:27 UTC Exercise / conversionCommon Stock, no par value 30,000 $4.35 $130,500.00
Disclosure

SEC source: 0001683168-24-003749 · ownership.xml · nonDerivative · entry 1

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,067

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

Read SEC document
May 17, 2024 Filed May 21, 2024 20:26 UTC
Washer GregDirector
Exercise / conversionStock Option (right to buy) · Derivative 30,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003747 · ownership.xml · derivative · entry 3

Washer Greg · CIK 0001405318 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, No Par Value · 30,000 shares

Expires 2024-05-17

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

F2 · price: Issued in consideration of the named person's services to the issuer.

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May 17, 2024 Filed May 21, 2024 20:26 UTC
Washer GregDirector
Exercise / conversionCommon Stock, no par value 30,000 $4.35 $130,500.00
Disclosure

SEC source: 0001683168-24-003747 · ownership.xml · nonDerivative · entry 1

Washer Greg · CIK 0001405318 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315,981

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

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May 17, 2024 Filed May 21, 2024 20:25 UTC
Schween StevenSr. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 30,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003745 · ownership.xml · derivative · entry 3

Schween Steven · CIK 0001959212 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, No Par Value · 30,000 shares

Expires 2024-05-17

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

F3 · price: Issued in consideration of the named person's services to the issuer.

F2 · derivative.exercise_date: Became exercisable in four equal installments on May 17, 2018, 2019, 2020 and 2021.

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May 17, 2024 Filed May 21, 2024 20:25 UTC
Schween StevenSr. Vice President
Tax withholdingCommon Stock, no par value 16,077 $8.60 $138,262.20
Disclosure

SEC source: 0001683168-24-003745 · ownership.xml · nonDerivative · entry 2

Schween Steven · CIK 0001959212 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,198

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 13,923 shares of common stock on net exercise of option to purchase 30,000 shares of common stock. The reporting person forfeited 16,077 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on May 17, 2024 of $8.60 per share.

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May 17, 2024 Filed May 21, 2024 20:25 UTC
Schween StevenSr. Vice President
Exercise / conversionCommon Stock, no par value 30,000 $4.35 $130,500.00
Disclosure

SEC source: 0001683168-24-003745 · ownership.xml · nonDerivative · entry 1

Schween Steven · CIK 0001959212 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,275

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

Read SEC document
May 17, 2024 Filed May 21, 2024 18:27 UTC
Gonel Charles E.Sr. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 15,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003735 · ownership.xml · derivative · entry 3

Gonel Charles E. · CIK 0001983475 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, No Par Value · 15,000 shares

Expires 2024-05-17

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

F3 · price: Issued in consideration of the named person's services to the issuer.

F2 · derivative.exercise_date: Initial grant of 15,000 became exercisable in four equal installments on May 17, 2018, 2019, 2020 and 2021.

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May 17, 2024 Filed May 21, 2024 18:27 UTC
Gonel Charles E.Sr. Vice President
Tax withholdingCommon Stock, no par value 7,587 $8.60 $65,248.20
Disclosure

SEC source: 0001683168-24-003735 · ownership.xml · nonDerivative · entry 2

Gonel Charles E. · CIK 0001983475 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,424

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 7,413 shares of common stock on net exercise of option to purchase 15,000 shares of common stock. The reporting person forfeited 7,587 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on May 17, 2024 of $8.60 per share.

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May 17, 2024 Filed May 21, 2024 18:27 UTC
Gonel Charles E.Sr. Vice President
Exercise / conversionCommon Stock, no par value 15,000 $4.35 $65,250.00
Disclosure

SEC source: 0001683168-24-003735 · ownership.xml · nonDerivative · entry 1

Gonel Charles E. · CIK 0001983475 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,011

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

Read SEC document
May 16, 2024 Filed May 20, 2024 21:39 UTC
Harton John PatrickSr. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 60,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003706 · ownership.xml · derivative · entry 3

Harton John Patrick · CIK 0001605827 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, No Par Value · 60,000 shares

Expires 2024-05-17

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

F3 · price: Issued in consideration of the named person's services to the issuer.

F2 · derivative.exercise_date: Became exercisable in four equal installments on May 17, 2018, 2019, 2020 and 2021.

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May 16, 2024 Filed May 20, 2024 21:39 UTC
Harton John PatrickSr. Vice President
Tax withholdingCommon Stock, no par value 34,593 $8.54 $295,424.22
Disclosure

SEC source: 0001683168-24-003706 · ownership.xml · nonDerivative · entry 2

Harton John Patrick · CIK 0001605827 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 275,604

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 25,407 shares of common stock on net exercise of option to purchase 60,000 shares of common stock. The reporting person forfeited 34,593 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 16, 2024 of $8.54 per share.

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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.