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CPSS

CONSUMER PORTFOLIO SERVICES, INC.

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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
May 16, 2024 Filed May 20, 2024 21:39 UTC
Harton John PatrickSr. Vice President
Exercise / conversionCommon Stock, no par value 60,000 $4.35 $261,000.00
Disclosure

SEC source: 0001683168-24-003706 · ownership.xml · nonDerivative · entry 1

Harton John Patrick · CIK 0001605827 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 310,197

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 15, 2024 Filed May 17, 2024 21:52 UTC
TERRY CHRISExec. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 60,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003639 · ownership.xml · derivative · entry 3

TERRY CHRIS · CIK 0001244792 · 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 15, 2024 Filed May 17, 2024 21:52 UTC
TERRY CHRISExec. Vice President
Tax withholdingCommon Stock, no par value 34,322 $8.24 $282,813.28
Disclosure

SEC source: 0001683168-24-003639 · ownership.xml · nonDerivative · entry 2

TERRY CHRIS · CIK 0001244792 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,656

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 25,678 shares of common stock on net exercise of option to purchase 60,000 shares of common stock. The reporting person forfeited 34,322 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 15, 2024 of $8.24 per share.

Read SEC document
May 15, 2024 Filed May 17, 2024 21:52 UTC
TERRY CHRISExec. Vice President
Exercise / conversionCommon Stock, no par value 60,000 $4.35 $261,000.00
Disclosure

SEC source: 0001683168-24-003639 · ownership.xml · nonDerivative · entry 1

TERRY CHRIS · CIK 0001244792 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 247,978

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 15, 2024 Filed May 17, 2024 21:52 UTC
Straten LaurieExec. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 60,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003638 · ownership.xml · derivative · entry 3

Straten Laurie · CIK 0001576501 · 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 15, 2024 Filed May 17, 2024 21:52 UTC
Straten LaurieExec. Vice President
Tax withholdingCommon Stock, no par value 34,322 $8.24 $282,813.28
Disclosure

SEC source: 0001683168-24-003638 · ownership.xml · nonDerivative · entry 2

Straten Laurie · CIK 0001576501 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 206,040

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 25,678 shares of common stock on net exercise of option to purchase 60,000 shares of common stock. The reporting person forfeited 34,322 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 15, 2024 of $8.24 per share.

Read SEC document
May 15, 2024 Filed May 17, 2024 21:52 UTC
Straten LaurieExec. Vice President
Exercise / conversionCommon Stock, no par value 60,000 $4.35 $261,000.00
Disclosure

SEC source: 0001683168-24-003638 · ownership.xml · nonDerivative · entry 1

Straten Laurie · CIK 0001576501 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 240,362

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 15, 2024 Filed May 17, 2024 21:51 UTC
Ryan SusanSr. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 15,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003637 · ownership.xml · derivative · entry 3

Ryan Susan · CIK 0001983468 · 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 30,000 Became exercisable in four equal installments on May 17, 2018, 2019, 2020 and 2021.

Read SEC document
May 15, 2024 Filed May 17, 2024 21:51 UTC
Ryan SusanSr. Vice President
Tax withholdingCommon Stock, no par value 7,919 $8.24 $65,252.56
Disclosure

SEC source: 0001683168-24-003637 · ownership.xml · nonDerivative · entry 2

Ryan Susan · CIK 0001983468 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,273

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 7,081 shares of common stock on net exercise of option to purchase 15,000 shares of common stock. The reporting person forfeited 7,919 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on May 15, 2024 of $8.24 per share.

Read SEC document
May 15, 2024 Filed May 17, 2024 21:51 UTC
Ryan SusanSr. Vice President
Exercise / conversionCommon Stock, no par value 15,000 $4.35 $65,250.00
Disclosure

SEC source: 0001683168-24-003637 · ownership.xml · nonDerivative · entry 1

Ryan Susan · CIK 0001983468 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,192

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 15, 2024 Filed May 17, 2024 21:51 UTC
Baumeister Michele LSr. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 60,000 Not disclosed Strike: $4.35 Not disclosed
Disclosure

SEC source: 0001683168-24-003636 · ownership.xml · derivative · entry 3

Baumeister Michele L · CIK 0001983425 · 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.

Read SEC document
May 15, 2024 Filed May 17, 2024 21:51 UTC
Baumeister Michele LSr. Vice President
Tax withholdingCommon Stock, no par value 34,184 $8.24 $281,676.16
Disclosure

SEC source: 0001683168-24-003636 · ownership.xml · nonDerivative · entry 2

Baumeister Michele L · CIK 0001983425 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,343

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 25,816 shares of common stock on net exercise of option to purchase 60,000 shares of common stock. The reporting person forfeited 34,184 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 15, 2024 of $8.24 per share.

Read SEC document
May 15, 2024 Filed May 17, 2024 21:51 UTC
Baumeister Michele LSr. Vice President
Exercise / conversionCommon Stock, no par value 60,000 $4.35 $261,000.00
Disclosure

SEC source: 0001683168-24-003636 · ownership.xml · nonDerivative · entry 1

Baumeister Michele L · CIK 0001983425 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,527

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
December 15, 2023 Filed Dec 20, 2023 00:04 UTC SaleCommon Stock, no par value 8,000 $9.26 $74,066.40
Disclosure

SEC source: 0001683168-23-008975 · ownership.xml · nonDerivative · entry 1

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 220,067

F1 · price: The price shown is the weighted average sale price for all transactions by the reporting person on 12/15/2023. All such sales were within a range of less than one dollar per share, $9.10 to $9.54. 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
October 27, 2023 Filed Oct 30, 2023 19:40 UTC Exercise / conversionStock Option (right to buy) · Derivative 70,000 Not disclosed Strike: $4.53 Not disclosed
Disclosure

SEC source: 0001683168-23-007494 · 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 · 70,000 shares

Expires 2023-10-28

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
October 27, 2023 Filed Oct 30, 2023 19:40 UTC Tax withholdingCommon Stock, no par value 33,770 $9.39 $317,100.30
Disclosure

SEC source: 0001683168-23-007494 · ownership.xml · nonDerivative · entry 2

Rayhill Brian · CIK 0001378986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 188,411

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 36,230 shares of common stock on net exercise of option to purchase 70,000 shares of common stock. The reporting person forfeited 33,770 shares of common stock underlying the option in payment of the exercise price using the closing stock price on October 27, 2023 of $9.39 per share.

Read SEC document
October 27, 2023 Filed Oct 30, 2023 19:40 UTC Exercise / conversionCommon Stock, no par value 70,000 $4.53 $317,100.00
Disclosure

SEC source: 0001683168-23-007494 · ownership.xml · nonDerivative · entry 1

Rayhill Brian · CIK 0001378986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 222,181

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
October 16, 2023 Filed Oct 18, 2023 20:46 UTC Exercise / conversionStock Option (right to buy) · Derivative 20,000 Not disclosed Strike: $4.53 Not disclosed
Disclosure

SEC source: 0001683168-23-007250 · 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 · 20,000 shares

Expires 2023-10-28

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
October 16, 2023 Filed Oct 18, 2023 20:46 UTC Tax withholdingCommon Stock, no par value 9,891 $9.16 $90,601.56
Disclosure

SEC source: 0001683168-23-007250 · ownership.xml · nonDerivative · entry 2

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,067

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 10,109 shares of common stock on net exercise of option to purchase 20,000 shares of common stock. The reporting person forfeited 9,891 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on October 16, 2023 of $9.16 per share.

Read SEC document
October 16, 2023 Filed Oct 18, 2023 20:46 UTC Exercise / conversionCommon Stock, no par value 20,000 $4.53 $90,600.00
Disclosure

SEC source: 0001683168-23-007250 · ownership.xml · nonDerivative · entry 1

WOOD DANIEL S · CIK 0001246388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 237,958

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 11, 2023 Filed May 15, 2023 22:59 UTC
TERRY CHRISExec. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 60,000 Not disclosed Strike: $3.48 Not disclosed
Disclosure

SEC source: 0001683168-23-003432 · ownership.xml · derivative · entry 3

TERRY CHRIS · CIK 0001244792 · 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 2023-05-12

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 cumulative increments of 15,000 shares on May 12, 2017, 2018, 2019 and 2020.

Read SEC document
May 11, 2023 Filed May 15, 2023 22:59 UTC
TERRY CHRISExec. Vice President
Tax withholdingCommon Stock, no par value 24,115 $10.91 $263,094.65
Disclosure

SEC source: 0001683168-23-003432 · ownership.xml · nonDerivative · entry 2

TERRY CHRIS · CIK 0001244792 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 187,978

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 35,885 shares of common stock on net exercise of option to purchase 60,000 shares of common stock. The reporting person forfeited 24,115 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 11, 2023 of $10.91 per share.

Read SEC document
May 11, 2023 Filed May 15, 2023 22:59 UTC
TERRY CHRISExec. Vice President
Exercise / conversionCommon Stock, no par value 60,000 $3.48 $208,800.00
Disclosure

SEC source: 0001683168-23-003432 · ownership.xml · nonDerivative · entry 1

TERRY CHRIS · CIK 0001244792 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 212,093

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 11, 2023 Filed May 15, 2023 22:57 UTC
BRADLEY CHARLES E JRDirector · CEO · 10% owner
Exercise / conversionStock Option (right to buy) · Derivative 300,000 Not disclosed Strike: $3.48 Not disclosed
Disclosure

SEC source: 0001683168-23-003430 · ownership.xml · derivative · entry 4

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 2023-05-12

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 cumulative increments of 75,000 shares on May 12, 2017, 2018, 2019 and 2020.

Read SEC document
May 11, 2023 Filed May 15, 2023 22:57 UTC
BRADLEY CHARLES E JRDirector · CEO · 10% owner
Tax withholdingCommon Stock, no par value 97,361 $10.91 $1,062,208.51
Disclosure

SEC source: 0001683168-23-003430 · ownership.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,718,770

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 145,169 shares of common stock on net exercise of option to purchase 242,530 shares of common stock. The reporting person forfeited 97,361 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 11, 2023 of $10.91 per share.

Read SEC document
May 11, 2023 Filed May 15, 2023 22:57 UTC
BRADLEY CHARLES E JRDirector · CEO · 10% owner
Exercise / conversionCommon Stock, no par value 242,530 $3.48 $844,004.40
Disclosure

SEC source: 0001683168-23-003430 · 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: 3,816,131

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 11, 2023 Filed May 15, 2023 22:57 UTC
BRADLEY CHARLES E JRDirector · CEO · 10% owner
Exercise / conversionCommon Stock, no par value 57,470 $3.48 $199,995.60
Disclosure

SEC source: 0001683168-23-003430 · 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: 3,573,601

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 11, 2023 Filed May 15, 2023 22:43 UTC
Ralston Catrina MarieSr. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 35,632 Not disclosed Strike: $3.48 Not disclosed
Disclosure

SEC source: 0001683168-23-003428 · 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 · 35,632 shares

Expires 2023-05-12

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 cumulative increments of 5,632 shares on May 12, 2018, 15,000 shares on May 12, 2019 and 15,000 shares on May 12, 2020.

Read SEC document
May 11, 2023 Filed May 15, 2023 22:43 UTC
Ralston Catrina MarieSr. Vice President
Tax withholdingCommon Stock, no par value 11,366 $10.91 $124,003.06
Disclosure

SEC source: 0001683168-23-003428 · ownership.xml · nonDerivative · entry 2

Ralston Catrina Marie · CIK 0001960053 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,712

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 24,266 shares of common stock on net exercise of option to purchase 35,632 shares of common stock. The reporting person forfeited 11,366 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on May 11, 2023 of $10.91 per share.

Read SEC document
May 11, 2023 Filed May 15, 2023 22:43 UTC
Ralston Catrina MarieSr. Vice President
Exercise / conversionCommon Stock, no par value 35,632 $3.48 $123,999.36
Disclosure

SEC source: 0001683168-23-003428 · ownership.xml · nonDerivative · entry 1

Ralston Catrina Marie · CIK 0001960053 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,078

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 09, 2023 Filed May 10, 2023 23:09 UTC Exercise / conversionStock Option (right to buy) · Derivative 90,000 Not disclosed Strike: $3.48 Not disclosed
Disclosure

SEC source: 0001683168-23-003146 · ownership.xml · derivative · entry 6

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 2023-05-12

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 cumulative increments of 22,500 shares on May 12, 2017, 2018, 2019, and 2020.

Read SEC document
May 09, 2023 Filed May 10, 2023 23:09 UTC GiftCommon Stock, no par value 64,056 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-003146 · ownership.xml · nonDerivative · entry 5

Lavin Michael T. · CIK 0001463930 · President

10b5-1 filing: No plan indicated

Ownership: Indirect · MTRB LAVIN LIVING TRUST

Disclosed balance after: 319,545

Read SEC document
May 09, 2023 Filed May 10, 2023 23:09 UTC GiftCommon Stock, no par value 64,056 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-003146 · ownership.xml · nonDerivative · entry 4

Lavin Michael T. · CIK 0001463930 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Read SEC document
May 09, 2023 Filed May 10, 2023 23:09 UTC Exercise / conversionCommon Stock, no par value 45,000 $3.48 $156,600.00
Disclosure

SEC source: 0001683168-23-003146 · ownership.xml · nonDerivative · entry 3

Lavin Michael T. · CIK 0001463930 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,056

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 09, 2023 Filed May 10, 2023 23:09 UTC Tax withholdingCommon Stock, no par value 25,944 $10.80 $280,195.20
Disclosure

SEC source: 0001683168-23-003146 · ownership.xml · nonDerivative · entry 2

Lavin Michael T. · CIK 0001463930 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,056

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 19,056 shares of common stock on net exercise of option to purchase 45,000 shares of common stock. The reporting person forfeited 25,944 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 9, 2023 of $10.80 per share.

Read SEC document
May 09, 2023 Filed May 10, 2023 23:09 UTC Exercise / conversionCommon Stock, no par value 45,000 $3.48 $156,600.00
Disclosure

SEC source: 0001683168-23-003146 · ownership.xml · nonDerivative · entry 1

Lavin Michael T. · CIK 0001463930 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

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 03, 2023 Filed May 5, 2023 19:39 UTC
Straten LaurieExec. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 60,000 Not disclosed Strike: $3.48 Not disclosed
Disclosure

SEC source: 0001683168-23-002968 · ownership.xml · derivative · entry 6

Straten Laurie · CIK 0001576501 · 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 2023-05-12

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.

F5 · derivative.exercise_date: Became exercisable in cumulative increments of 15,000 shares on May 12, 2017, 2018, 2019, and 2020.

Read SEC document
May 03, 2023 Filed May 5, 2023 19:39 UTC
Straten LaurieExec. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 90,000 Not disclosed Strike: $7.97 Not disclosed
Disclosure

SEC source: 0001683168-23-002968 · ownership.xml · derivative · entry 5

Straten Laurie · CIK 0001576501 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

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

Expires 2023-05-07

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 cumulative increments of 18,000 shares on May 7, 2014, 2015, 2016, 2017, and 2018.

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May 03, 2023 Filed May 5, 2023 19:39 UTC
Straten LaurieExec. Vice President
Tax withholdingCommon Stock, no par value 20,674 $10.10 $208,807.40
Disclosure

SEC source: 0001683168-23-002968 · ownership.xml · nonDerivative · entry 4

Straten Laurie · CIK 0001576501 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,362

F2 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 39,326 shares of common stock on net exercise of option to purchase 60,000 shares of common stock. The reporting person forfeited 20,674 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on May 3, 2023 of $10.10 per share.

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May 03, 2023 Filed May 5, 2023 19:39 UTC
Straten LaurieExec. Vice President
Exercise / conversionCommon Stock, no par value 60,000 $3.48 $208,800.00
Disclosure

SEC source: 0001683168-23-002968 · ownership.xml · nonDerivative · entry 3

Straten Laurie · CIK 0001576501 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 201,036

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 03, 2023 Filed May 5, 2023 19:39 UTC
Straten LaurieExec. Vice President
Tax withholdingCommon Stock, no par value 71,020 $10.10 $717,302.00
Disclosure

SEC source: 0001683168-23-002968 · ownership.xml · nonDerivative · entry 2

Straten Laurie · CIK 0001576501 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,036

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 18,980 shares of common stock on net exercise of option to purchase 90,000 shares of common stock. The reporting person forfeited 71,020 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on May 3, 2023 of $10.10 per share.

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May 03, 2023 Filed May 5, 2023 19:39 UTC
Straten LaurieExec. Vice President
Exercise / conversionCommon Stock, no par value 90,000 $7.97 $717,300.00
Disclosure

SEC source: 0001683168-23-002968 · ownership.xml · nonDerivative · entry 1

Straten Laurie · CIK 0001576501 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 212,056

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 02, 2023 Filed May 5, 2023 01:30 UTC
Harton John PatrickSr. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 60,000 Not disclosed Strike: $3.48 Not disclosed
Disclosure

SEC source: 0001683168-23-002952 · ownership.xml · derivative · entry 6

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 2023-05-12

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.

F5 · derivative.exercise_date: Became exercisable in cumulative increments of 15,000 shares on May 12, 2017, 2018, 2019, and 2020.

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May 02, 2023 Filed May 5, 2023 01:30 UTC
Harton John PatrickSr. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 30,000 Not disclosed Strike: $7.97 Not disclosed
Disclosure

SEC source: 0001683168-23-002952 · ownership.xml · derivative · entry 5

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 · 30,000 shares

Expires 2023-05-07

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 cumulative increments of 6,000 shares on May 7, 2014, 2015, 2016, 2017, and 2018.

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May 02, 2023 Filed May 5, 2023 01:30 UTC
Harton John PatrickSr. Vice President
Tax withholdingCommon Stock, no par value 26,637 $10.62 $282,884.94
Disclosure

SEC source: 0001683168-23-002952 · ownership.xml · nonDerivative · entry 4

Harton John Patrick · CIK 0001605827 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,197

F2 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 33,363 shares of common stock on net exercise of option to purchase 60,000 shares of common stock. The reporting person forfeited 26,637 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 2, 2023 of $10.62 per share.

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May 02, 2023 Filed May 5, 2023 01:30 UTC
Harton John PatrickSr. Vice President
Exercise / conversionCommon Stock, no par value 60,000 $3.48 $208,800.00
Disclosure

SEC source: 0001683168-23-002952 · ownership.xml · nonDerivative · entry 3

Harton John Patrick · CIK 0001605827 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 276,834

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 02, 2023 Filed May 5, 2023 01:30 UTC
Harton John PatrickSr. Vice President
Tax withholdingCommon Stock, no par value 22,550 $10.62 $239,481.00
Disclosure

SEC source: 0001683168-23-002952 · ownership.xml · nonDerivative · entry 2

Harton John Patrick · CIK 0001605827 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,834

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 7,450 shares of common stock on net exercise of option to purchase 30,000 shares of common stock. The reporting person forfeited 22,550 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 2, 2023 of $10.62 per share.

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May 02, 2023 Filed May 5, 2023 01:30 UTC
Harton John PatrickSr. Vice President
Exercise / conversionCommon Stock, no par value 30,000 $7.97 $239,100.00
Disclosure

SEC source: 0001683168-23-002952 · ownership.xml · nonDerivative · entry 1

Harton John Patrick · CIK 0001605827 · Sr. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 239,384

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 02, 2023 Filed May 5, 2023 01:29 UTC
TERRY CHRISExec. Vice President
Exercise / conversionStock Option (right to buy) · Derivative 60,000 Not disclosed Strike: $7.97 Not disclosed
Disclosure

SEC source: 0001683168-23-002950 · ownership.xml · derivative · entry 3

TERRY CHRIS · CIK 0001244792 · 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 2023-05-07

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 cumulative increments of 12,000 shares on May 7, 2014, 2015, 2016, 2017, and 2018.

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May 02, 2023 Filed May 5, 2023 01:29 UTC
TERRY CHRISExec. Vice President
Tax withholdingCommon Stock, no par value 48,512 $10.62 $515,197.44
Disclosure

SEC source: 0001683168-23-002950 · ownership.xml · nonDerivative · entry 2

TERRY CHRIS · CIK 0001244792 · Exec. Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 152,093

F1 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 11,488 shares of common stock on net exercise of option to purchase 60,000 shares of common stock. The reporting person forfeited 48,512 shares of common stock underlying the option in payment of the exercise price and tax liability, using the closing stock price on May 2, 2023 of $10.62 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.