Tapewire

Nasdaq · USD

FWDI

Forward Industries, Inc.

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Tapewire entity
5540
SEC CIK
0000038264
Parsed reports
127

Last 12 months

Inside the activity.

3 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202520
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202610
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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
March 11, 2021 Filed Mar 12, 2021 21:06 UTC Exercise / conversionCommon Stock 20,000 $1.13 $22,600.00
Disclosure

SEC source: 0001683168-21-000915 · ownership.xml · nonDerivative · entry 1

ZIGLAR JAMES W · CIK 0001273598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

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.

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December 14, 2020 Filed Dec 16, 2020 21:01 UTC
Maiman MitchellPresident of Subsidiary
SaleCommon Stock 9,450 $1.70 $16,065.00
Disclosure

SEC source: 0001683168-20-004310 · ownership.xml · nonDerivative · entry 1

Maiman Mitchell · CIK 0001732109 · President of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,859

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $1.56 to $1.71, inclusive. The reporting person undertakes to provide to Forward Industries, Inc., any security holder of Forward Industries, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in the preceding sentence. The securities were sold under a 10b5-1 plan.

Read SEC document
November 16, 2020 Filed Nov 18, 2020 21:01 UTC
Maiman MitchellPresident of Subsidiary
SaleCommon Stock 9,450 $1.57 $14,814.77
Disclosure

SEC source: 0001683168-20-004006 · ownership.xml · nonDerivative · entry 1

Maiman Mitchell · CIK 0001732109 · President of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,309

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $1.56 to $1.58, inclusive. The reporting person undertakes to provide to Forward Industries, Inc., any security holder of Forward Industries, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in the preceding sentence. The securities were sold under a 10b5-1 plan.

Read SEC document
October 13, 2020 Filed Oct 13, 2020 20:01 UTC
Maiman MitchellPresident of Subsidiary
SaleCommon Stock 9,450 $1.56 $14,694.75
Disclosure

SEC source: 0001683168-20-003427 · ownership.xml · nonDerivative · entry 1

Maiman Mitchell · CIK 0001732109 · President of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,759

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $1.55 to $1.60, inclusive. The reporting person undertakes to provide to Forward Industries, Inc., any security holder of Forward Industries, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in the preceding sentence. The securities were sold under a 10b5-1 plan.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 21:19 UTC
Terence Bernard WiseDirector · Chief Executive Officer · 10% owner
GrantStock Options (Right to Buy) · Derivative 180,395 Not disclosed Strike: $1.40 Not disclosed
Disclosure

SEC source: 0001683168-20-003160 · ownership.xml · derivative · entry 1

Terence Bernard Wise · CIK 0001536431 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,395

Underlying: Common Stock · 180,395 shares

Expires 2025-09-14

F2 · price: Not applicable.

F1 · derivative.exercise_date: The five-year stock options are fully vested.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 20:01 UTC
Maiman MitchellPresident of Subsidiary
SaleCommon Stock 9,450 $1.42 $13,389.71
Disclosure

SEC source: 0001683168-20-003154 · ownership.xml · nonDerivative · entry 1

Maiman Mitchell · CIK 0001732109 · President of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,209

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $1.37 to $1.471, inclusive. The reporting person undertakes to provide to Forward Industries, Inc., any security holder of Forward Industries, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in footnote (1) to this Form 4. The securities were sold under a 10b5-1 plan.

Read SEC document
August 13, 2020 Filed Aug 17, 2020 20:01 UTC
Maiman MitchellPresident of Subsidiary
SaleCommon Stock 9,450 $1.37 $12,951.23
Disclosure

SEC source: 0001683168-20-002779 · ownership.xml · nonDerivative · entry 1

Maiman Mitchell · CIK 0001732109 · President of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,659

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $1.35 to $1.38, inclusive. The reporting person undertakes to provide to Forward Industries, Inc., any security holder of Forward Industries, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in footnote (1) to this Form 4. The securities were sold under a 10b5-1 plan.

Read SEC document
July 13, 2020 Filed Jul 15, 2020 20:04 UTC
Maiman MitchellPresident of Subsidiary
SaleCommon Stock 9,450 $1.28 $12,113.96
Disclosure

SEC source: 0001683168-20-002283 · ownership.xml · nonDerivative · entry 1

Maiman Mitchell · CIK 0001732109 · President of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,109

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $1.27 to $1.30, inclusive. The reporting person undertakes to provide to Forward Industries, Inc., any security holder of Forward Industries, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in footnote (1) to this Form 4. The securities were sold under a 10b5-1 plan.

Read SEC document
July 02, 2020 Filed Jul 7, 2020 20:01 UTC
Severino Paul JeanCOO of Subsidiary
SaleCommon Stock 7,087 $1.32 $9,354.84
Disclosure

SEC source: 0001683168-20-002200 · ownership.xml · nonDerivative · entry 1

Severino Paul Jean · CIK 0001732362 · COO of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,502

F1 · shares: The securities were sold under a 10b5-1 plan.

Read SEC document
June 15, 2020 Filed Jun 17, 2020 20:01 UTC
Maiman MitchellPresident of Subsidiary
SaleCommon Stock 9,450 $1.20 $11,379.69
Disclosure

SEC source: 0001683168-20-001979 · ownership.xml · nonDerivative · entry 1

Maiman Mitchell · CIK 0001732109 · President of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,559

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $1.20 to $1.25, inclusive. The reporting person undertakes to provide to Forward Industries, Inc., any security holder of Forward Industries, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in footnote (1) to this Form 4. The securities were sold under a 10b5-1 plan.

Read SEC document
June 08, 2020 Filed Jun 9, 2020 20:01 UTC
Severino Paul JeanCOO of Subsidiary
SaleCommon Stock 172 $1.25 $215.00
Disclosure

SEC source: 0001683168-20-001914 · ownership.xml · nonDerivative · entry 2

Severino Paul Jean · CIK 0001732362 · COO of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,589

F1 · shares: The securities were sold under a 10b5-1 plan.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:01 UTC
Severino Paul JeanCOO of Subsidiary
SaleCommon Stock 15,571 $1.25 $19,463.75
Disclosure

SEC source: 0001683168-20-001914 · ownership.xml · nonDerivative · entry 1

Severino Paul Jean · CIK 0001732362 · COO of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,761

F1 · shares: The securities were sold under a 10b5-1 plan.

Read SEC document
June 03, 2020 Filed Jun 4, 2020 20:01 UTC
Severino Paul JeanCOO of Subsidiary
SaleCommon Stock 9,566 $1.25 $11,957.50
Disclosure

SEC source: 0001683168-20-001860 · ownership.xml · nonDerivative · entry 2

Severino Paul Jean · CIK 0001732362 · COO of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,332

F1 · shares: The securities were sold under a 10b5-1 plan.

Read SEC document
June 02, 2020 Filed Jun 4, 2020 20:01 UTC
Severino Paul JeanCOO of Subsidiary
SaleCommon Stock 8,195 $1.25 $10,243.75
Disclosure

SEC source: 0001683168-20-001860 · ownership.xml · nonDerivative · entry 1

Severino Paul Jean · CIK 0001732362 · COO of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,898

F1 · shares: The securities were sold under a 10b5-1 plan.

Read SEC document
May 28, 2020 Filed Jun 1, 2020 20:00 UTC
Severino Paul JeanCOO of Subsidiary
SaleCommon Stock 15 $1.25 $18.75
Disclosure

SEC source: 0001683168-20-001804 · ownership.xml · nonDerivative · entry 1

Severino Paul Jean · CIK 0001732362 · COO of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,093

F1 · shares: The securities were sold under a 10b5-1 plan.

Read SEC document
May 26, 2020 Filed May 27, 2020 20:00 UTC
Severino Paul JeanCOO of Subsidiary
SaleCommon Stock 1,875 $1.25 $2,343.75
Disclosure

SEC source: 0001683168-20-001752 · ownership.xml · nonDerivative · entry 2

Severino Paul Jean · CIK 0001732362 · COO of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,108

F1 · shares: The securities were sold under a 10b5-1 plan.

Read SEC document
May 22, 2020 Filed May 27, 2020 20:00 UTC
Severino Paul JeanCOO of Subsidiary
SaleCommon Stock 38,597 $1.25 $48,246.25
Disclosure

SEC source: 0001683168-20-001752 · ownership.xml · nonDerivative · entry 1

Severino Paul Jean · CIK 0001732362 · COO of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,983

F1 · shares: The securities were sold under a 10b5-1 plan.

F2 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $1.25 to $1.30, inclusive. The reporting person undertakes to provide to Forward Industries, Inc., any security holder of Forward Industries, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in this footnote.

Read SEC document
May 13, 2020 Filed May 15, 2020 20:00 UTC
Maiman MitchellPresident of Subsidiary
SaleCommon Stock 9,459 $1.05 $9,957.49
Disclosure

SEC source: 0001683168-20-001614 · ownership.xml · nonDerivative · entry 1

Maiman Mitchell · CIK 0001732109 · President of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,009

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $1.03 to $1.09, inclusive. The reporting person undertakes to provide to Forward Industries, Inc., any security holder of Forward Industries, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in footnote (1) to this Form 4. The securities were sold under a 10b5-1 plan.

Read SEC document
April 13, 2020 Filed Apr 14, 2020 20:30 UTC
Maiman MitchellPresident of Subsidiary
SaleCommon Stock 9,450 $1.07 $10,092.60
Disclosure

SEC source: 0001683168-20-001180 · ownership.xml · nonDerivative · entry 1

Maiman Mitchell · CIK 0001732109 · President of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,468

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $1.06 to $1.13, inclusive. The reporting person undertakes to provide to Forward Industries, Inc., any security holder of Forward Industries, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in footnote (1) to this Form 4. The securities were sold under a 10b5-1 plan.

Read SEC document
February 11, 2020 Filed Feb 13, 2020 23:31 UTC GrantStock Options (Right to Buy) · Derivative 68,419 Not disclosed Strike: $1.13 Not disclosed
Disclosure

SEC source: 0001683168-20-000487 · ownership.xml · derivative · entry 1

ZIGLAR JAMES W · CIK 0001273598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,419

Underlying: Common Stock · 68,419 shares

Expires 2025-02-11

F2 · price: Not applicable.

F1 · derivative.exercise_date: The stock options shall vest 12 months from the Transaction Date, subject to continued service as a director on the vesting date.

Read SEC document
February 11, 2020 Filed Feb 13, 2020 23:30 UTC GrantStock Options (Right to Buy) · Derivative 68,419 Not disclosed Strike: $1.13 Not disclosed
Disclosure

SEC source: 0001683168-20-000486 · ownership.xml · derivative · entry 1

Morgan Howard J · CIK 0001543871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,419

Underlying: Common Stock · 68,419 shares

Expires 2025-02-11

F2 · price: Not applicable.

F1 · derivative.exercise_date: The stock options shall vest 12 months from the Transaction Date, subject to continued service as a director on the vesting date.

Read SEC document
February 11, 2020 Filed Feb 13, 2020 23:29 UTC
Shah SangitaDirector
GrantStock Options (Right to Buy) · Derivative 42,762 Not disclosed Strike: $1.13 Not disclosed
Disclosure

SEC source: 0001683168-20-000485 · ownership.xml · derivative · entry 2

Shah Sangita · CIK 0001634019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,762

Underlying: Common Stock · 42,762 shares

Expires 2025-02-11

F2 · price: Not applicable.

F3 · derivative.exercise_date: The stock options shall vest 12 months from the Transaction Date, subject to continued service as the lead director on the vesting date.

Read SEC document
February 11, 2020 Filed Feb 13, 2020 23:29 UTC
Shah SangitaDirector
GrantStock Options (Right to Buy) · Derivative 68,419 Not disclosed Strike: $1.13 Not disclosed
Disclosure

SEC source: 0001683168-20-000485 · ownership.xml · derivative · entry 1

Shah Sangita · CIK 0001634019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,419

Underlying: Common Stock · 68,419 shares

Expires 2025-02-11

F2 · price: Not applicable.

F1 · derivative.exercise_date: The stock options shall vest 12 months from the Transaction Date, subject to continued service as a director on the vesting date.

Read SEC document
January 13, 2020 Filed Jan 15, 2020 21:01 UTC
Severino Paul JeanCOO of Subsidiary
SaleCommon Stock 3,338 $1.25 $4,172.50
Disclosure

SEC source: 0001683168-20-000144 · ownership.xml · nonDerivative · entry 1

Severino Paul Jean · CIK 0001732362 · COO of Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,580

F1 · security: The reporting person sold the shares pursuant to a 10B5-1 Plan.

Read SEC document
February 05, 2019 Filed Feb 7, 2019 21:03 UTC GrantStock Options (Right to Buy) · Derivative 70,230 Not disclosed Strike: $1.54 Not disclosed
Disclosure

SEC source: 0001003297-19-000008 · primary_doc.xml · derivative · entry 2

Morgan Howard J · CIK 0001543871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,230

Underlying: Common Stock · 70,230 shares

Expires 2024-02-05

F2 · price: Not applicable.

F3 · derivative.exercise_date: The stock options are fully vested.

Read SEC document
February 05, 2019 Filed Feb 7, 2019 21:03 UTC GrantStock Options (Right to Buy) · Derivative 50,007 Not disclosed Strike: $1.54 Not disclosed
Disclosure

SEC source: 0001003297-19-000008 · primary_doc.xml · derivative · entry 1

Morgan Howard J · CIK 0001543871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,007

Underlying: Common Stock · 50,007 shares

Expires 2024-02-05

F2 · price: Not applicable.

F1 · derivative.exercise_date: The stock options shall vest 12 months from the Transaction Date, subject to continued service as a director on the vesting date.

Read SEC document
February 05, 2019 Filed Feb 7, 2019 21:16 UTC
Shah SangitaDirector
GrantStock Options (Right to Buy) · Derivative 70,230 Not disclosed Strike: $1.54 Not disclosed
Disclosure

SEC source: 0001003297-19-000010 · primary_doc.xml · derivative · entry 2

Shah Sangita · CIK 0001634019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,230

Underlying: Common Stock · 70,230 shares

Expires 2024-02-05

F2 · price: Not applicable.

F3 · derivative.exercise_date: The stock options are fully vested.

Read SEC document
February 05, 2019 Filed Feb 7, 2019 21:16 UTC
Shah SangitaDirector
GrantStock Options (Right to Buy) · Derivative 50,007 Not disclosed Strike: $1.54 Not disclosed
Disclosure

SEC source: 0001003297-19-000010 · primary_doc.xml · derivative · entry 1

Shah Sangita · CIK 0001634019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,007

Underlying: Common Stock · 50,007 shares

Expires 2024-02-05

F2 · price: Not applicable.

F1 · derivative.exercise_date: The stock options shall vest 12 months from the Transaction Date, subject to continued service as a director on the vesting date.

Read SEC document
February 05, 2019 Filed Feb 7, 2019 21:04 UTC GrantStock Options (Right to Buy) · Derivative 50,007 Not disclosed Strike: $1.54 Not disclosed
Disclosure

SEC source: 0001003297-19-000009 · primary_doc.xml · derivative · entry 1

ZIGLAR JAMES W · CIK 0001273598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,007

Underlying: Common Stock · 50,007 shares

Expires 2024-02-05

F2 · price: Not applicable.

F1 · derivative.exercise_date: The stock options shall vest 12 months from the Transaction Date, subject to continued service as a director on the vesting date.

Read SEC document
December 24, 2018 Filed Dec 27, 2018 22:59 UTC
Yu Jenny P.10% owner
PurchaseCommon Stock 3,001 $1.20 $3,601.20
Disclosure

SEC source: 0001003297-18-000187 · primary_doc.xml · nonDerivative · entry 1

Yu Jenny P. · CIK 0001574922 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,113,564

Read SEC document
April 25, 2018 Filed Apr 27, 2018 20:05 UTC
Shah SangitaDirector
GrantStock Options (Right to Buy) · Derivative 214,000 Not disclosed Strike: $1.44 Not disclosed
Disclosure

SEC source: 0001003297-18-000097 · primary_doc.xml · derivative · entry 1

Shah Sangita · CIK 0001634019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,000

Underlying: Common Stock · 214,000 shares

Expires 2023-04-25

F1 · price: Not applicable

Read SEC document
December 27, 2017 Filed Feb 14, 2018 21:28 UTC GrantCommon Stock 6,547 $1.27 $8,314.69
Disclosure

SEC source: 0001683168-18-000416 · frost_f4.xml · nonDerivative · entry 8

Frost James M · CIK 0001725666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,973

Read SEC document
December 22, 2017 Filed Feb 14, 2018 21:28 UTC GrantCommon Stock 6,725 $1.25 $8,392.80
Disclosure

SEC source: 0001683168-18-000416 · frost_f4.xml · nonDerivative · entry 7

Frost James M · CIK 0001725666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,426

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.245 to $1.25, inclusive.

Read SEC document
December 21, 2017 Filed Feb 14, 2018 21:28 UTC GrantCommon Stock 10,000 $1.29 $12,850.00
Disclosure

SEC source: 0001683168-18-000416 · frost_f4.xml · nonDerivative · entry 6

Frost James M · CIK 0001725666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 437,701

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.28 to $1.29, inclusive.

Read SEC document
December 20, 2017 Filed Feb 14, 2018 21:28 UTC GrantCommon Stock 17 $1.21 $20.57
Disclosure

SEC source: 0001683168-18-000416 · frost_f4.xml · nonDerivative · entry 5

Frost James M · CIK 0001725666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 427,701

Read SEC document
December 19, 2017 Filed Feb 14, 2018 21:28 UTC GrantCommon Stock 582 $1.21 $704.22
Disclosure

SEC source: 0001683168-18-000416 · frost_f4.xml · nonDerivative · entry 4

Frost James M · CIK 0001725666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 427,684

Read SEC document
December 15, 2017 Filed Feb 14, 2018 21:28 UTC GrantCommon Stock 30,000 $1.34 $40,050.00
Disclosure

SEC source: 0001683168-18-000416 · frost_f4.xml · nonDerivative · entry 3

Frost James M · CIK 0001725666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 427,102

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.33 to $1.34, inclusive.

Read SEC document
December 14, 2017 Filed Feb 14, 2018 21:28 UTC GrantCommon Stock 863 $1.33 $1,147.79
Disclosure

SEC source: 0001683168-18-000416 · frost_f4.xml · nonDerivative · entry 2

Frost James M · CIK 0001725666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 397,102

Read SEC document
December 13, 2017 Filed Feb 14, 2018 21:28 UTC GrantCommon Stock 661 $1.34 $882.44
Disclosure

SEC source: 0001683168-18-000416 · frost_f4.xml · nonDerivative · entry 1

Frost James M · CIK 0001725666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 396,239

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.33 to $1.34, inclusive.

Read SEC document
June 10, 2017 Filed Jun 13, 2017 20:05 UTC GrantCommon Stock 35,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001003297-17-000187 · hrynkow.xml · nonDerivative · entry 1

Hrynkow Sharon · CIK 0001647104 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,317

F1 · price: Not applicable.

Read SEC document
June 10, 2017 Filed Jun 13, 2017 20:05 UTC GrantCommon Stock 35,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001003297-17-000186 · morgan.xml · nonDerivative · entry 1

Morgan Howard J · CIK 0001543871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

F1 · price: Not applicable.

Read SEC document
June 10, 2017 Filed Jun 13, 2017 20:03 UTC
Shah SangitaDirector
GrantCommon Stock 35,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001003297-17-000185 · shah.xml · nonDerivative · entry 1

Shah Sangita · CIK 0001634019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

F1 · price: Not applicable.

Read SEC document
June 10, 2017 Filed Jun 13, 2017 20:00 UTC
FINE N SCOTTDirector
GrantCommon Stock 35,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001003297-17-000184 · fine.xml · nonDerivative · entry 1

FINE N SCOTT · CIK 0001163556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

F1 · price: Not applicable.

Read SEC document
February 23, 2016 Filed Sep 30, 2016 20:16 UTC GrantCommon Stock 19,317 Not disclosed Not disclosed
Disclosure

SEC source: 0001003297-16-000841 · hrynkow.xml · nonDerivative · entry 1

Hrynkow Sharon · CIK 0001647104 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,317

F1 · price: Not applicable.

Read SEC document
February 23, 2016 Filed Sep 30, 2016 20:11 UTC GrantCommon Stock 35,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001003297-16-000839 · morgan.xml · nonDerivative · entry 1

Morgan Howard J · CIK 0001543871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

F1 · price: Not applicable.

Read SEC document
February 23, 2016 Filed Sep 30, 2016 20:03 UTC
Shah SangitaDirector
GrantCommon Stock 35,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001003297-16-000835 · shah.xml · nonDerivative · entry 1

Shah Sangita · CIK 0001634019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

F1 · price: Not applicable.

Read SEC document
February 23, 2016 Filed Sep 30, 2016 20:08 UTC
FINE N SCOTTDirector
GrantCommon Stock 35,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001003297-16-000837 · fine.xml · nonDerivative · entry 1

FINE N SCOTT · CIK 0001163556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

F1 · price: Not applicable.

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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.