Last 12 months
Inside the activity.
7 purchase rows · 1 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 2 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 4 | 1 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 1 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 30, 2022 Filed Mar 30, 2022 20:44 UTC |
Rogers-Windsor Ramona LynnDirector
|
PurchaseCommon Stock | 750 | $23.81 | $17,861.03 |
DisclosureSEC source: 0000017313-22-000025 · wf-form4_164867303249043.xml · nonDerivative · entry 1 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,229.9659 Read SEC document |
| March 29, 2022 Filed Mar 30, 2022 20:39 UTC |
Brooks David RDirector
|
PurchaseCommon Stock | 2,000 | $23.93 | $47,858.00 |
DisclosureSEC source: 0000017313-22-000022 · wf-form4_164867277105698.xml · nonDerivative · entry 1 Brooks David R · CIK 0001573461 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Read SEC document |
| February 17, 2022 Filed Feb 17, 2022 23:58 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 389 | $25.00 | $9,723.99 |
DisclosureSEC source: 0000017313-22-000016 · wf-form4_164514225898823.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,248 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $24.995 to $24.9996, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| December 29, 2021 Filed Jan 24, 2022 22:47 UTC |
Rogers-Windsor Ramona LynnDirector
|
PurchaseCommon Stock | 800 | $25.05 | $20,040.00 |
DisclosureSEC source: 0000017313-22-000004 · wf-form4_164306442140346.xml · nonDerivative · entry 4 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,479.9659 Read SEC document |
| December 20, 2021 Filed Dec 20, 2021 21:41 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 400 | $24.35 | $9,740.00 |
DisclosureSEC source: 0000017313-21-000203 · wf-form4_164003648037470.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,859 Read SEC document |
| November 15, 2021 Filed Nov 17, 2021 21:13 UTC |
DIEHL BOWEN SDirector · President and CEO
|
Tax withholdingCommon Stock | 11,833 | $27.38 | $323,987.54 |
DisclosureSEC source: 0000017313-21-000199 · wf-form4_163718359380589.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,897 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| November 15, 2021 Filed Nov 17, 2021 21:10 UTC |
Sarner Michael ScottChief Financial Officer
|
Tax withholdingCommon Stock | 9,974 | $27.38 | $273,088.12 |
DisclosureSEC source: 0000017313-21-000197 · wf-form4_163718340935225.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 277,317.704 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| November 15, 2021 Filed Nov 17, 2021 21:08 UTC |
Weinstein Joshua S.Senior Managing Director
|
Tax withholdingCommon Stock | 5,364 | $27.38 | $146,866.32 |
DisclosureSEC source: 0000017313-21-000195 · wf-form4_163718330679541.xml · nonDerivative · entry 1 Weinstein Joshua S. · CIK 0001858765 · Senior Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,565 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| November 09, 2021 Filed Nov 9, 2021 21:05 UTC |
Sarner Michael ScottChief Financial Officer
|
PurchaseCommon Stock | 3,354.704 | $26.83 | $90,000.00 |
DisclosureSEC source: 0000017313-21-000191 · wf-form4_163649192975842.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,291.704 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $26.77 to $26.8282, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| September 30, 2021 Filed Jan 24, 2022 22:47 UTC |
Rogers-Windsor Ramona LynnDirector
|
PurchaseCommon Stock | 800 | $25.55 | $20,438.64 |
DisclosureSEC source: 0000017313-22-000004 · wf-form4_164306442140346.xml · nonDerivative · entry 3 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,650 Read SEC document |
| September 28, 2021 Filed Sep 28, 2021 20:40 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 700 | $25.40 | $17,780.00 |
DisclosureSEC source: 0000017313-21-000152 · wf-form4_163286158478381.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,459 Read SEC document |
| September 09, 2021 Filed Sep 10, 2021 20:06 UTC |
Thomas William R IIIDirector
|
PurchaseCommon Stock | 2,000 | $27.72 | $55,437.00 |
DisclosureSEC source: 0000017313-21-000146 · wf-form4_163130435977740.xml · nonDerivative · entry 3 Thomas William R III · CIK 0001369011 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by reporting person's son Disclosed balance after: 6,000 F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.59 to $27.77, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| September 09, 2021 Filed Sep 10, 2021 20:06 UTC |
Thomas William R IIIDirector
|
PurchaseCommon Stock | 2,000 | $27.72 | $55,441.80 |
DisclosureSEC source: 0000017313-21-000146 · wf-form4_163130435977740.xml · nonDerivative · entry 2 Thomas William R III · CIK 0001369011 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by the reporting person's son Disclosed balance after: 6,000 F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.59 to $27.86, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| September 09, 2021 Filed Sep 10, 2021 20:06 UTC |
Thomas William R IIIDirector
|
SaleCommon Stock | 4,000 | $27.70 | $110,781.60 |
DisclosureSEC source: 0000017313-21-000146 · wf-form4_163130435977740.xml · nonDerivative · entry 1 Thomas William R III · CIK 0001369011 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by the reporting person's daughter Disclosed balance after: 0 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.59 to $27.78, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| September 09, 2021 Filed Sep 10, 2021 20:04 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 568 | $27.75 | $15,764.27 |
DisclosureSEC source: 0000017313-21-000145 · wf-form4_163130426565225.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,759 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.7395 to $27.76, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 31, 2021 Filed Aug 31, 2021 20:30 UTC |
Morgan Thomas DuaneDirector
|
PurchaseCommon Stock | 381 | $26.39 | $10,054.59 |
DisclosureSEC source: 0000017313-21-000136 · wf-form4_163044183076980.xml · nonDerivative · entry 1 Morgan Thomas Duane · CIK 0001391130 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,776 Read SEC document |
| August 16, 2021 Filed Jan 24, 2022 22:47 UTC |
Rogers-Windsor Ramona LynnDirector
|
PurchaseCommon Stock | 200 | $26.40 | $5,280.00 |
DisclosureSEC source: 0000017313-22-000004 · wf-form4_164306442140346.xml · nonDerivative · entry 2 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 850 Read SEC document |
| June 30, 2021 Filed Jan 24, 2022 22:47 UTC |
Rogers-Windsor Ramona LynnDirector
|
PurchaseCommon Stock | 650 | $23.57 | $15,320.50 |
DisclosureSEC source: 0000017313-22-000004 · wf-form4_164306442140346.xml · nonDerivative · entry 1 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 650 Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 01:12 UTC |
DIEHL BOWEN SDirector · President and CEO
|
Tax withholdingCommon Stock | 5,886 | $27.65 | $162,747.90 |
DisclosureSEC source: 0000017313-21-000089 · wf-form4_162337395619053.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,512 F2 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 01:12 UTC |
DIEHL BOWEN SDirector · President and CEO
|
GrantCommon Stock | 45,668 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-21-000089 · wf-form4_162337395619053.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,398 F1 · kind: Shares issued under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 01:11 UTC |
Sarner Michael ScottChief Financial Officer
|
Tax withholdingCommon Stock | 3,444 | $27.65 | $95,226.60 |
DisclosureSEC source: 0000017313-21-000088 · wf-form4_162337388653671.xml · nonDerivative · entry 2 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 283,937 F2 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 01:11 UTC |
Sarner Michael ScottChief Financial Officer
|
GrantCommon Stock | 38,818 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-21-000088 · wf-form4_162337388653671.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,381 F1 · kind: Shares issued under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 01:10 UTC |
Weinstein Joshua S.Senior Managing Director
|
Tax withholdingCommon Stock | 1,965 | $27.65 | $54,332.25 |
DisclosureSEC source: 0000017313-21-000087 · wf-form4_162337382173469.xml · nonDerivative · entry 2 Weinstein Joshua S. · CIK 0001858765 · Senior Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,929 F2 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 01:10 UTC |
Weinstein Joshua S.Senior Managing Director
|
GrantCommon Stock | 33,109 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-21-000087 · wf-form4_162337382173469.xml · nonDerivative · entry 1 Weinstein Joshua S. · CIK 0001858765 · Senior Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,894 F1 · kind: Shares issued under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. Read SEC document |
| March 19, 2021 Filed Mar 19, 2021 20:29 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 1,000 | $21.45 | $21,450.00 |
DisclosureSEC source: 0000017313-21-000032 · wf-form4_161618573364189.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,191 Read SEC document |
| February 11, 2021 Filed Feb 11, 2021 22:57 UTC |
Brooks David RDirector
|
PurchaseCommon Stock | 1,500 | $20.57 | $30,850.95 |
DisclosureSEC source: 0000017313-21-000012 · wf-form4_161308423058837.xml · nonDerivative · entry 1 Brooks David R · CIK 0001573461 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $20.565 to $20.60, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| June 10, 2020 Filed Jun 11, 2020 20:25 UTC |
Sarner Michael ScottChief Financial Officer
|
GrantCommon Stock | 55,527 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-20-000063 · wf-form4_159190708813180.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,563 F1 · shares: Represents a restricted stock award of 55,527 shares. Read SEC document |
| June 10, 2020 Filed Jun 11, 2020 20:23 UTC |
DIEHL BOWEN SDirector · President and CEO
|
GrantCommon Stock | 66,631 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-20-000062 · wf-form4_159190702221075.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,577 F1 · shares: Represents a restricted stock award of 66,631 shares. Read SEC document |
| March 20, 2020 Filed Mar 20, 2020 20:08 UTC |
Sarner Michael ScottChief Financial Officer
|
PurchaseCommon Stock | 21,500 | $9.40 | $202,100.00 |
DisclosureSEC source: 0000017313-20-000036 · wf-form4_158473491848001.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,036 Read SEC document |
| March 20, 2020 Filed Mar 23, 2020 20:05 UTC |
DIEHL BOWEN SDirector · President and CEO
|
PurchaseCommon Stock | 20,000 | $9.46 | $189,200.00 |
DisclosureSEC source: 0000017313-20-000038 · wf-form4_158499390771928.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By PHC Investments, LLC Disclosed balance after: 308,353 F1 · ownership.nature: In connection with the vesting of the restricted stock awards directly held by the reporting person, the reporting person transferred such shares to PHC Investments, LLC. PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse. Read SEC document |
| March 18, 2020 Filed Mar 18, 2020 20:14 UTC |
Brooks David RDirector
|
PurchaseCommon Stock | 4,000 | $8.90 | $35,596.00 |
DisclosureSEC source: 0000017313-20-000029 · wf-form4_158456245081584.xml · nonDerivative · entry 1 Brooks David R · CIK 0001573461 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,500 Read SEC document |
| March 18, 2020 Filed Mar 19, 2020 21:55 UTC |
FURST JACK DDirector
|
PurchaseCommon Stock | 15,500 | $8.84 | $136,964.20 |
DisclosureSEC source: 0000017313-20-000034 · wf-form4_158465487886317.xml · nonDerivative · entry 2 FURST JACK D · CIK 0001062103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,004 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.6011 to $8.983, inclusive. The reporting person undertakes to provide to Capital Southwest Corporation, any security holder of Capital Southwest Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| March 18, 2020 Filed Mar 19, 2020 21:55 UTC |
FURST JACK DDirector
|
PurchaseCommon Stock | 39,000 | $8.84 | $344,619.60 |
DisclosureSEC source: 0000017313-20-000034 · wf-form4_158465487886317.xml · nonDerivative · entry 1 FURST JACK D · CIK 0001062103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · FMAB Partners, LP Disclosed balance after: 39,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.6011 to $8.983, inclusive. The reporting person undertakes to provide to Capital Southwest Corporation, any security holder of Capital Southwest Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: These securities are held by FMAB Partners, LP, a limited partnership controlled by the reporting person provided that the reporting person holds 50% of the membership interest in the sole general partner of FMAB Partners, LP. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document |
| March 17, 2020 Filed Mar 17, 2020 21:50 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 950 | $10.33 | $9,814.83 |
DisclosureSEC source: 0000017313-20-000027 · wf-form4_158448182656381.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,191 Read SEC document |
| March 02, 2020 Filed Mar 2, 2020 21:09 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 537 | $18.61 | $9,993.57 |
DisclosureSEC source: 0000017313-20-000025 · wf-form4_158318335049653.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,241 Read SEC document |
| February 28, 2020 Filed Feb 28, 2020 21:07 UTC |
Sarner Michael ScottChief Financial Officer
|
PurchaseCommon Stock | 4,150 | $18.15 | $75,318.35 |
DisclosureSEC source: 0000017313-20-000023 · wf-form4_158292400715835.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,536 Read SEC document |
| February 24, 2020 Filed Feb 25, 2020 00:34 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 1,000 | $20.35 | $20,351.40 |
DisclosureSEC source: 0000017313-20-000017 · wf-form4_158259083235475.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,704 Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 21:14 UTC |
DIEHL BOWEN SDirector · President and CEO
|
GrantCommon Stock | 22,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-19-000107 · wf-form4_157411164215215.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,923 F1 · shares: Represents a restricted stock award of 22,500 shares. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 21:11 UTC |
Sarner Michael ScottChief Financial Officer
|
GrantCommon Stock | 19,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-19-000105 · wf-form4_157411149703668.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,386 F1 · shares: Represents a restricted stock award of 19,000 shares. Read SEC document |
| August 30, 2019 Filed Sep 3, 2019 20:31 UTC |
Brooks David RDirector
|
PurchaseCommon Stock | 2,500 | $21.37 | $53,422.50 |
DisclosureSEC source: 0000017313-19-000073 · wf-form4_156754267216867.xml · nonDerivative · entry 1 Brooks David R · CIK 0001573461 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,500 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $21.32 to $21.40, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 28, 2019 Filed Aug 30, 2019 20:26 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 910 | $21.85 | $19,887.96 |
DisclosureSEC source: 0000017313-19-000071 · wf-form4_156719678789089.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,704 Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:24 UTC |
DIEHL BOWEN SDirector · President and CEO
|
Exercise / conversionNon-qualified Stock Option · Derivative | 3,123 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0000017313-19-000014 · wf-form4_155423666456239.xml · derivative · entry 5 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,123 shares Expires 2024-03-17 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 · derivative.exercise_date: The options, representing a right to purchase a total of 15,616 shares, became exercisable in five equal annual installments beginning on March 17, 2015. After this exercise, there are no remaining non-qualified stock options outstanding. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:24 UTC |
DIEHL BOWEN SDirector · President and CEO
|
Exercise / conversionIncentive Stock Option · Derivative | 2,852 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0000017313-19-000014 · wf-form4_155423666456239.xml · derivative · entry 4 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,852 shares Expires 2024-03-17 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 · derivative.exercise_date: The options, representing a right to purchase a total of 14,261 shares, became exercisable in five equal annual installments beginning on March 17, 2015. After this exercise, there are no remaining incentive stock options outstanding. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:24 UTC |
DIEHL BOWEN SDirector · President and CEO
|
Exercise / conversionCommon Stock | 3,123 | $11.00 | $34,353.00 |
DisclosureSEC source: 0000017313-19-000014 · wf-form4_155423666456239.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,398 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 |
| March 29, 2019 Filed Apr 2, 2019 20:24 UTC |
DIEHL BOWEN SDirector · President and CEO
|
Exercise / conversionCommon Stock | 2,852 | $11.00 | $31,372.00 |
DisclosureSEC source: 0000017313-19-000014 · wf-form4_155423666456239.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,275 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 |
| December 26, 2018 Filed Dec 27, 2018 21:32 UTC |
FURST JACK DDirector
|
PurchaseCommon Stock | 3,504 | $18.78 | $65,805.12 |
DisclosureSEC source: 0000017313-18-000076 · wf-form4_154594633736156.xml · nonDerivative · entry 2 FURST JACK D · CIK 0001062103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,504 F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $18.61 to $19.00, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 21:32 UTC |
FURST JACK DDirector
|
PurchaseCommon Stock | 2,900 | $18.16 | $52,664.00 |
DisclosureSEC source: 0000017313-18-000076 · wf-form4_154594633736156.xml · nonDerivative · entry 1 FURST JACK D · CIK 0001062103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $18.09 to $18.20, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| November 15, 2018 Filed Nov 16, 2018 21:15 UTC |
Sarner Michael ScottChief Financial Officer
|
GrantCommon Stock | 43,400 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-18-000065 · wf-form4_154240294155216.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,386 F1 · shares: Represents a restricted stock award of 43,400 shares. Read SEC document |
| November 15, 2018 Filed Nov 16, 2018 21:14 UTC |
DIEHL BOWEN SDirector · President and CEO
|
GrantCommon Stock | 51,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-18-000064 · wf-form4_154240283697853.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,655 F1 · shares: Represents a restricted stock award of 51,000 shares. Read SEC document |
| November 12, 2018 Filed Nov 14, 2018 21:10 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 1,000 | $19.53 | $19,527.10 |
DisclosureSEC source: 0000017313-18-000061 · wf-form4_154222975297535.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,794 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.