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0001422183
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7 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private 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
June 21, 2017 Filed Jun 22, 2017 22:36 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 5,580 $8.91 $49,712.22
Disclosure

SEC source: 0001387131-17-003374 · forman-form4_062117.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: 51,237

F1 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust in multiple transactions at prices ranging from $8.90 to $8.95, 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. 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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June 21, 2017 Filed Jun 22, 2017 18:40 UTC PurchaseCommon Stock 5,580 $8.91 $49,712.22
Disclosure

SEC source: 0001387131-17-003375 · adelman-form4_062117.xml · nonDerivative · entry 1

Adelman David J. · CIK 0001438262 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Franklin Square Holdings, L.P.

Disclosed balance after: 908,380

F1 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by Franklin Square Holdings, L.P. in multiple transactions at prices ranging from $8.90 to $8.95, 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. The reporting person disclaims beneficial ownership of any shares held by Franklin Square Holdings, L.P. 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.

F2 · balance_after: Includes shares received through stock distributions and shares received on account of reinvested distributions.

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May 19, 2017 Filed May 22, 2017 20:31 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 1,200 $8.94 $10,732.56
Disclosure

SEC source: 0001387131-17-002948 · forman-form4_051917.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Franklin Square Holdings, L.P.

Disclosed balance after: 902,800

F2 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by Franklin Square Holdings, L.P. in multiple transactions at prices ranging from $8.90 to $8.95, 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. The reporting person disclaims beneficial ownership of any shares held by Franklin Square Holdings, L.P. 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.

F3 · balance_after: Includes shares received through stock distributions and shares received on account of reinvested distributions.

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May 19, 2017 Filed May 22, 2017 20:31 UTC
Forman Michael C.Director · Chief Executive Officer
PurchaseCommon Stock 1,200 $8.94 $10,730.04
Disclosure

SEC source: 0001387131-17-002948 · forman-form4_051917.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: 45,657

F1 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust in multiple transactions at prices ranging from $8.90 to $8.95, 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. 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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May 19, 2017 Filed May 22, 2017 16:36 UTC PurchaseCommon Stock 1,200 $8.94 $10,732.56
Disclosure

SEC source: 0001387131-17-002950 · adelman-form4_051917.xml · nonDerivative · entry 1

Adelman David J. · CIK 0001438262 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Franklin Square Holdings, L.P.

Disclosed balance after: 902,800

F1 · kind: The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by Franklin Square Holdings, L.P. in multiple transactions at prices ranging from $8.90 to $8.95, 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. The reporting person disclaims beneficial ownership of any shares held by Franklin Square Holdings, L.P. 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.

F2 · balance_after: Includes shares received through stock distributions and shares received on account of reinvested distributions.

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April 13, 2017 Filed Apr 14, 2017 21:20 UTC PurchaseCommon Stock 1,050 $9.50 $9,975.00
Disclosure

SEC source: 0001387131-17-002088 · chandler-form4_041317.xml · nonDerivative · entry 4

Chandler Gregory P · CIK 0001337134 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse in 401(k) account

Disclosed balance after: 1,533

F1 · kind: The shares were acquired under the GCVC Consulting 401(k) plan pursuant to a Rule 10b5-1 trading plan.

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March 21, 2017 Filed Mar 21, 2017 21:28 UTC PurchaseCommon Stock 2,040 $9.80 $19,992.00
Disclosure

SEC source: 0001387131-17-001532 · chandler-form4_032117.xml · nonDerivative · entry 1

Chandler Gregory P · CIK 0001337134 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · In 401(k) account

Disclosed balance after: 14,473

F1 · kind: The shares were acquired under the GCVC Consulting 401(k) plan pursuant to a Rule 10b5-1 trading plan.

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March 14, 2017 Filed Mar 15, 2017 22:47 UTC
FRANK BARRYDirector
PurchaseCommon Stock 1,152 $9.84 $11,329.92
Disclosure

SEC source: 0001387131-17-001394 · barry-form4_031417.xml · nonDerivative · entry 1

FRANK BARRY · CIK 0001193681 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 45,811

F1 · balance_after: Includes shares received through stock distributions and shares received on account of reinvested distributions.

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December 23, 2016 Filed Feb 4, 2017 01:23 UTC
Forman Michael C.Director · Chief Executive Officer
GiftCommon Stock 458,016 $0.00 $0.00
Disclosure

SEC source: 0001387131-17-000531 · forman-form5_123116.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Bona fide gift by the Reporting Person to a gift to a charitable foundation created by the Reporting Person for no consideration.

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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.