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FS KKR Capital Corp

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SEC CIK
0001422183
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216

Last 12 months

Inside the activity.

7 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Dec 202510
Jan 202600
Feb 202620
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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
June 02, 2020 Filed Jun 3, 2020 20:13 UTC
Gerson BrianCo-President
SaleCommon Stock 50,000 $3.73 $186,620.00
Disclosure

SEC source: 0001387131-20-005456 · gerson-form4_060120.xml · nonDerivative · entry 2

Gerson Brian · CIK 0001577159 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales were effected in multiple transactions at prices ranging from (i) $3.75 to $3.761, inclusive, on June 1, 2020 and (ii) $3.72 and $3.745, inclusive, on June 2, 2020. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction.

F2 · kind: The reported transaction involves a disposition of 100,000 shares of the issuer by the reporting person to facilitate a re-investment of proceeds from such disposition into the equity interests of an investment fund that will invest from time to time in shares of the issuer, as previously disclosed by the issuer on May 27, 2020 and June 3, 2020. The reporting person does not exercise investment or voting control over the fund.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 16:47 UTC
Pietrzak DanielCo-President and CIO
SaleCommon Stock 29,648 $3.75 $111,147.39
Disclosure

SEC source: 0001387131-20-005432 · ownership.xml · nonDerivative · entry 2

Pietrzak Daniel · CIK 0001718199 · Co-President and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · kind: The sales were effected in multiple transactions at prices ranging from (i) $3.69 to $3.72, inclusive, on May 29, 2020 and (ii) $3.741 and $3.755, inclusive, on June 1, 2020. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction.

F2 · kind: The reported transaction involves a disposition of 95,328 shares of the issuer by the reporting person to facilitate a re-investment of the proceeds from such disposition into the equity interests of an investment fund that will invest from time to time in shares of the issuer, as previously disclosed by the issuer on May 27, 2020. The reporting person does not exercise investment or voting control over the fund.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 20:45 UTC SaleCommon Stock 12,500 $3.74 $46,767.50
Disclosure

SEC source: 0001387131-20-005430 · ownership.xml · nonDerivative · entry 2

Builione Todd C. · CIK 0001703716 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

F2 · kind: The reported transaction involves a disposition of 47,828 shares of the issuer by the reporting person to facilitate a re-investment of the proceeds from such disposition into the equity interests of an investment fund that will invest from time to time in shares of the issuer, as previously disclosed by the issuer on May 27, 2020. The reporting person does not exercise investment or voting control over the fund.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 20:13 UTC
Gerson BrianCo-President
SaleCommon Stock 50,000 $3.75 $187,690.00
Disclosure

SEC source: 0001387131-20-005456 · gerson-form4_060120.xml · nonDerivative · entry 1

Gerson Brian · CIK 0001577159 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · kind: The sales were effected in multiple transactions at prices ranging from (i) $3.75 to $3.761, inclusive, on June 1, 2020 and (ii) $3.72 and $3.745, inclusive, on June 2, 2020. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction.

F2 · kind: The reported transaction involves a disposition of 100,000 shares of the issuer by the reporting person to facilitate a re-investment of proceeds from such disposition into the equity interests of an investment fund that will invest from time to time in shares of the issuer, as previously disclosed by the issuer on May 27, 2020 and June 3, 2020. The reporting person does not exercise investment or voting control over the fund.

Read SEC document
May 29, 2020 Filed Jun 2, 2020 16:47 UTC
Pietrzak DanielCo-President and CIO
SaleCommon Stock 65,680 $3.70 $243,140.79
Disclosure

SEC source: 0001387131-20-005432 · ownership.xml · nonDerivative · entry 1

Pietrzak Daniel · CIK 0001718199 · Co-President and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,648

F1 · kind: The sales were effected in multiple transactions at prices ranging from (i) $3.69 to $3.72, inclusive, on May 29, 2020 and (ii) $3.741 and $3.755, inclusive, on June 1, 2020. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction.

F2 · kind: The reported transaction involves a disposition of 95,328 shares of the issuer by the reporting person to facilitate a re-investment of the proceeds from such disposition into the equity interests of an investment fund that will invest from time to time in shares of the issuer, as previously disclosed by the issuer on May 27, 2020. The reporting person does not exercise investment or voting control over the fund.

Read SEC document
May 29, 2020 Filed Jun 2, 2020 20:49 UTC
Forman Michael C.Director · Chief Executive Officer
SaleCommon Stock 445,359 $3.64 $1,620,126.97
Disclosure

SEC source: 0001387131-20-005434 · ownership.xml · nonDerivative · entry 1

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

F1 · kind: The sales were effected in multiple transactions at prices ranging from $3.635 to $3.65, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

F5 · kind: The reported transaction involves a disposition of 445,359 shares of the issuer by The 2011 Forman Investment Trust to facilitate a re-investment of proceeds from such disposition into the equity interests of an investment fund that will invest from time to time in shares of the issuer, as previously disclosed by the issuer on May 27, 2020. Neither the reporting person nor The 2011 Forman Investment Trust exercises investment or voting control over the fund.

F6 · shares: Total number of shares reported as sold by The 2011 Forman Investment Trust include 44,457 shares that were previously reported as acquired by The 2011 Forman Investment Trust on December 4, 2014, but were not subsequently included in the aggregate number of shares beneficially owned by The 2011 Forman Investment Trust.

Read SEC document
May 29, 2020 Filed Jun 2, 2020 20:45 UTC SaleCommon Stock 35,328 $3.73 $131,787.57
Disclosure

SEC source: 0001387131-20-005430 · ownership.xml · nonDerivative · entry 1

Builione Todd C. · CIK 0001703716 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

F1 · kind: The sales were effected in multiple transactions at prices ranging from $3.73 to $3.735, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction.

F2 · kind: The reported transaction involves a disposition of 47,828 shares of the issuer by the reporting person to facilitate a re-investment of the proceeds from such disposition into the equity interests of an investment fund that will invest from time to time in shares of the issuer, as previously disclosed by the issuer on May 27, 2020. The reporting person does not exercise investment or voting control over the fund.

Read SEC document
May 14, 2020 Filed May 15, 2020 20:17 UTC PurchaseCommon Stock 5,000 $3.15 $15,750.00
Disclosure

SEC source: 0001387131-20-004901 · ownership.xml · nonDerivative · entry 1

Goldstein Richard I · CIK 0001420969 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 57,100

Read SEC document
May 12, 2020 Filed May 13, 2020 21:08 UTC PurchaseCommon Stock 5,000 $3.29 $16,425.00
Disclosure

SEC source: 0001387131-20-004707 · ownership.xml · nonDerivative · entry 1

Goldstein Richard I · CIK 0001420969 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 52,100

Read SEC document
May 08, 2020 Filed May 11, 2020 20:46 UTC PurchaseCommon Stock 4,000 $3.25 $13,000.00
Disclosure

SEC source: 0001387131-20-004614 · ford-form4_050820.xml · nonDerivative · entry 1

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,500

Read SEC document
March 16, 2020 Filed Mar 16, 2020 20:34 UTC
Gerson BrianCo-President
PurchaseCommon Stock 10,000 $3.44 $34,400.00
Disclosure

SEC source: 0001387131-20-002894 · ownership.xml · nonDerivative · entry 1

Gerson Brian · CIK 0001577159 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Read SEC document
March 16, 2020 Filed Mar 17, 2020 16:44 UTC
Pietrzak DanielCo-President and CIO
PurchaseCommon Stock 10,000 $3.28 $32,754.00
Disclosure

SEC source: 0001387131-20-002958 · ownership.xml · nonDerivative · entry 1

Pietrzak Daniel · CIK 0001718199 · Co-President and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,328

F1 · kind: The purchases were effected in multiple transactions at prices ranging from $3.275 to $3.2755, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction.

Read SEC document
March 09, 2020 Filed Mar 10, 2020 17:33 UTC
Pietrzak DanielCo-President and CIO
PurchaseCommon Stock 10,000 $4.20 $42,000.00
Disclosure

SEC source: 0001387131-20-002746 · pietrzak-form4_030920.xml · nonDerivative · entry 1

Pietrzak Daniel · CIK 0001718199 · Co-President and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,328

Read SEC document
March 09, 2020 Filed Mar 10, 2020 21:34 UTC
Gerson BrianCo-President
PurchaseCommon Stock 10,000 $4.35 $43,450.00
Disclosure

SEC source: 0001387131-20-002748 · gerson-form4_030920.xml · nonDerivative · entry 1

Gerson Brian · CIK 0001577159 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Read SEC document
March 09, 2020 Filed Mar 11, 2020 20:39 UTC PurchaseCommon Stock 25,000 $4.67 $116,750.00
Disclosure

SEC source: 0001387131-20-002766 · builione-form4_030920.xml · nonDerivative · entry 1

Builione Todd C. · CIK 0001703716 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,328

Read SEC document
March 04, 2020 Filed Mar 4, 2020 21:57 UTC PurchaseCommon Stock 3,560 $5.63 $20,042.80
Disclosure

SEC source: 0001387131-20-002547 · ownership.xml · nonDerivative · entry 1

Sandler Elizabeth · CIK 0001793025 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,560

Read SEC document
March 04, 2020 Filed Mar 5, 2020 21:49 UTC PurchaseCommon Stock 18,083 $5.59 $101,071.31
Disclosure

SEC source: 0001387131-20-002602 · ownership.xml · nonDerivative · entry 1

IMASOGIE OSAGIE O · CIK 0001275878 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,658

F1 · kind: The purchases were effected in multiple transactions at prices ranging from $5.585 to $5.60, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction.

Read SEC document
March 02, 2020 Filed Mar 2, 2020 22:58 UTC PurchaseCommon Stock 5,000 $5.45 $27,250.00
Disclosure

SEC source: 0001387131-20-002406 · goldstein-form4_030220.xml · nonDerivative · entry 1

Goldstein Richard I · CIK 0001420969 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 47,100

Read SEC document
March 02, 2020 Filed Mar 4, 2020 06:02 UTC
Pietrzak DanielCo-President and CIO
PurchaseCommon Stock 10,000 $5.51 $55,125.00
Disclosure

SEC source: 0001387131-20-002485 · ownership.xml · nonDerivative · entry 1

Pietrzak Daniel · CIK 0001718199 · Co-President and CIO

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 30,000

F1 · kind: The purchases were effected in multiple transactions at prices ranging from $5.4889 to $5.515, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:30 UTC
Gerson BrianCo-President
PurchaseCommon Stock 10,000 $5.52 $55,200.00
Disclosure

SEC source: 0001387131-20-002552 · ownership.xml · nonDerivative · entry 1

Gerson Brian · CIK 0001577159 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Read SEC document
February 27, 2020 Filed Feb 28, 2020 21:25 UTC PurchaseCommon Stock 10,000 $5.75 $57,500.00
Disclosure

SEC source: 0001387131-20-002350 · kropp-form4_022720.xml · nonDerivative · entry 1

KROPP JAMES H · CIK 0001227451 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 24,965

F1 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan by the reporting person. The purchases were effected in multiple transactions at prices ranging from $5.745 to $5.75, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction.

Read SEC document
November 22, 2019 Filed Nov 25, 2019 21:26 UTC PurchaseCommon Stock 4,000 $6.09 $24,348.80
Disclosure

SEC source: 0001387131-19-009025 · adams-form4_112219.xml · nonDerivative · entry 1

Adams Barbara · CIK 0001539893 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 4,000

Read SEC document
November 20, 2019 Filed Nov 20, 2019 22:18 UTC PurchaseCommon Stock 16,575 $6.04 $100,113.00
Disclosure

SEC source: 0001387131-19-008923 · imasogie-form4_112019.xml · nonDerivative · entry 1

IMASOGIE OSAGIE O · CIK 0001275878 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,575

Read SEC document
November 20, 2019 Filed Nov 21, 2019 21:31 UTC
Gerson BrianCo-President
PurchaseCommon Stock 10,000 $6.01 $60,100.00
Disclosure

SEC source: 0001387131-19-008944 · gerson-form4_112019.xml · nonDerivative · entry 1

Gerson Brian · CIK 0001577159 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Read SEC document
November 19, 2019 Filed Nov 19, 2019 21:20 UTC PurchaseCommon Stock 7,000 $5.99 $41,930.00
Disclosure

SEC source: 0001387131-19-008870 · ford-form4_111919.xml · nonDerivative · entry 1

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,500

Read SEC document
November 18, 2019 Filed Nov 19, 2019 16:32 UTC
Pietrzak DanielCo-President & CIO
PurchaseCommon Stock 8,340 $5.93 $49,443.69
Disclosure

SEC source: 0001387131-19-008872 · pietrzak-form4_111519.xml · nonDerivative · entry 2

Pietrzak Daniel · CIK 0001718199 · Co-President & CIO

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 20,000

Read SEC document
November 15, 2019 Filed Nov 19, 2019 16:32 UTC
Pietrzak DanielCo-President & CIO
PurchaseCommon Stock 1,660 $5.90 $9,789.35
Disclosure

SEC source: 0001387131-19-008872 · pietrzak-form4_111519.xml · nonDerivative · entry 1

Pietrzak Daniel · CIK 0001718199 · Co-President & CIO

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 11,660

Read SEC document
November 12, 2019 Filed Nov 12, 2019 21:24 UTC PurchaseCommon Stock 5,000 $5.96 $29,800.00
Disclosure

SEC source: 0001387131-19-008559 · ownership.xml · nonDerivative · entry 1

Goldstein Richard I · CIK 0001420969 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 42,100

Read SEC document
September 09, 2019 Filed Sep 9, 2019 23:13 UTC PurchaseCommon Stock 42,100 $5.95 $250,490.79
Disclosure

SEC source: 0001387131-19-006836 · ownership.xml · nonDerivative · entry 1

HAGAN MICHAEL J · CIK 0001236294 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,100

F1 · kind: The purchases were effected in multiple transactions at prices ranging from $5.945 to $5.95, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction.

Read SEC document
August 14, 2019 Filed Aug 15, 2019 16:59 UTC
Pietrzak DanielChief Investment Officer
PurchaseCommon Stock 10,000 $5.65 $56,500.00
Disclosure

SEC source: 0001387131-19-006195 · pietrzak-form4_081419.xml · nonDerivative · entry 1

Pietrzak Daniel · CIK 0001718199 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 10,000

Read SEC document
August 12, 2019 Filed Aug 12, 2019 20:48 UTC PurchaseCommon Stock 5,000 $5.76 $28,775.00
Disclosure

SEC source: 0001387131-19-006011 · ownership.xml · nonDerivative · entry 1

Goldstein Richard I · CIK 0001420969 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 37,100

Read SEC document
June 07, 2019 Filed Jun 7, 2019 20:24 UTC PurchaseCommon Stock 3,300 $6.00 $19,799.67
Disclosure

SEC source: 0001387131-19-004305 · rgoldstein.xml · nonDerivative · entry 1

Goldstein Richard I · CIK 0001420969 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 32,100

Read SEC document
June 07, 2019 Filed Jun 10, 2019 21:49 UTC PurchaseCommon Stock 2,500 $6.00 $15,000.00
Disclosure

SEC source: 0001387131-19-004345 · ford-form4_060719.xml · nonDerivative · entry 1

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Read SEC document
June 05, 2019 Filed Jun 5, 2019 20:18 UTC PurchaseCommon Stock 5,000 $5.99 $29,940.00
Disclosure

SEC source: 0001387131-19-004218 · goldstein-form4_060519.xml · nonDerivative · entry 1

Goldstein Richard I · CIK 0001420969 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 28,800

Read SEC document
June 05, 2019 Filed Jun 6, 2019 13:16 UTC
Sypherd StephenGeneral Counsel
PurchaseCommon Stock 16,807 $5.95 $100,001.65
Disclosure

SEC source: 0001387131-19-004230 · ownership.xml · nonDerivative · entry 1

Sypherd Stephen · CIK 0001567999 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,985

Read SEC document
June 05, 2019 Filed Jun 7, 2019 16:25 UTC
Pietrzak DanielChief Investment Officer
PurchaseCommon Stock 10,000 $5.94 $59,400.00
Disclosure

SEC source: 0001387131-19-004307 · pietrzak-form4_060519.xml · nonDerivative · entry 1

Pietrzak Daniel · CIK 0001718199 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,328

Read SEC document
March 25, 2019 Filed Mar 26, 2019 20:58 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 12,113 $6.07 $73,477.46
Disclosure

SEC source: 0001387131-19-002154 · ownership.xml · nonDerivative · entry 1

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 400,902

F1 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.04 to $6.08, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
March 22, 2019 Filed Mar 22, 2019 21:46 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 24,600 $6.06 $149,026.80
Disclosure

SEC source: 0001387131-19-002100 · forman-form4_032119.xml · nonDerivative · entry 2

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 388,789

F2 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.02 to $6.09, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
March 21, 2019 Filed Mar 22, 2019 21:46 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 24,500 $6.10 $149,454.90
Disclosure

SEC source: 0001387131-19-002100 · forman-form4_032119.xml · nonDerivative · entry 1

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 364,189

F1 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.07 to $6.12, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
March 20, 2019 Filed Mar 20, 2019 21:41 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 24,460 $6.13 $149,934.91
Disclosure

SEC source: 0001387131-19-002062 · ownership.xml · nonDerivative · entry 2

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 339,689

F2 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.09 to $6.15, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
March 19, 2019 Filed Mar 20, 2019 21:41 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 16,020 $6.21 $99,477.79
Disclosure

SEC source: 0001387131-19-002062 · ownership.xml · nonDerivative · entry 1

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 315,229

F1 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.13 to $6.25, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
March 05, 2019 Filed Mar 6, 2019 21:41 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 7,382 $6.37 $47,033.67
Disclosure

SEC source: 0001387131-19-001764 · ownership.xml · nonDerivative · entry 2

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 299,209

F2 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.35 to $6.44, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
March 04, 2019 Filed Mar 6, 2019 21:41 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 7,700 $6.46 $49,733.53
Disclosure

SEC source: 0001387131-19-001764 · ownership.xml · nonDerivative · entry 1

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 291,827

F1 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.435 to $6.49, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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March 01, 2019 Filed Mar 1, 2019 23:06 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 7,735 $6.44 $49,804.12
Disclosure

SEC source: 0001387131-19-001661 · forman-form4_022819.xml · nonDerivative · entry 2

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 284,127

F2 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.3950 to $6.49, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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February 28, 2019 Filed Mar 1, 2019 23:06 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 7,680 $6.46 $49,640.45
Disclosure

SEC source: 0001387131-19-001661 · forman-form4_022819.xml · nonDerivative · entry 1

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 276,392

F1 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.41 to $6.49, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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February 27, 2019 Filed Feb 27, 2019 22:36 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 6,900 $6.49 $44,769.27
Disclosure

SEC source: 0001387131-19-001534 · forman-form4_022019.xml · nonDerivative · entry 3

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 268,712

F3 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.47 to $6.49, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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February 26, 2019 Filed Feb 27, 2019 22:36 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 1,700 $6.49 $11,033.00
Disclosure

SEC source: 0001387131-19-001534 · forman-form4_022019.xml · nonDerivative · entry 2

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 261,812

F2 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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February 25, 2019 Filed Feb 27, 2019 22:36 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 4,100 $6.49 $26,604.49
Disclosure

SEC source: 0001387131-19-001534 · forman-form4_022019.xml · nonDerivative · entry 1

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 260,112

F1 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.47 to $6.49, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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February 20, 2019 Filed Feb 21, 2019 22:37 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 500 $6.49 $3,245.00
Disclosure

SEC source: 0001387131-19-001394 · forman-form4_022019.xml · nonDerivative · entry 1

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 256,012

F1 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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February 19, 2019 Filed Feb 20, 2019 00:19 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 7,715 $6.45 $49,771.78
Disclosure

SEC source: 0001387131-19-001338 · ownership.xml · nonDerivative · entry 2

Forman Michael C. · CIK 0001438253 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 255,512

F2 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.40 to $6.48, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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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.