Last 12 months
Inside the activity.
6 purchase rows · 67 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 28 |
| Dec 2025 | 5 | 22 |
| Jan 2026 | 0 | 9 |
| Feb 2026 | 1 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 1 |
| Jun 2026 | 0 | 6 |
| Jul 2026 | 0 | 1 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 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 |
|---|---|---|---|---|---|---|
| September 05, 2019 Filed Sep 9, 2019 19:00 UTC |
AMELIO GILBERT FDirector
|
SaleCommon Stock | 30,000 | $3.30 | $99,000.00 |
DisclosureSEC source: 0000899243-19-023110 · doc4.xml · nonDerivative · entry 1 AMELIO GILBERT F · CIK 0001183247 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,614 F1 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. The shares were sold in multiple transactions at prices ranging from $3.30 to $3.31 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold by the Reporting Person at each separate price on each date of sale. Read SEC document |
| August 02, 2019 Filed Oct 15, 2019 10:56 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLCGeneral partner
CZIRR JAMES CManaging Member of GP
|
OtherCommon Stock | 38,690 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-19-015454 · ownership.xml · nonDerivative · entry 1 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · General partner CZIRR JAMES C · CIK 0001260641 · Managing Member of GP Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,402,790 F3 · price: Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security pursuant to applicable law. F1 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| July 15, 2019 Filed Jul 25, 2019 10:03 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLCGeneral partner
CZIRR JAMES CManaging Member of GP
|
OtherCommon Stock | 306 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-19-011073 · ownership.xml · nonDerivative · entry 1 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · General partner CZIRR JAMES C · CIK 0001260641 · Managing Member of GP Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,441,480 F1 · kind: Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security pursuant to applicable law. F1 · price: Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security pursuant to applicable law. F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| June 04, 2019 Filed Jun 5, 2019 20:32 UTC |
Shlevin Harold H.Chief Executive Officer
|
Exercise / conversionStock option (right to buy) · Derivative | 8,706 | $0.00 Strike: $1.37 | $0.00 |
DisclosureSEC source: 0001179022-19-000039 · edgar.xml · derivative · entry 2 Shlevin Harold H. · CIK 0001557082 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,294 Underlying: Common Stock · 8,706 shares Expires 2026-01-20 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. F1 · derivative.exercise_date: The options were originally issued on January 20, 2016 in a grant of 38,000 options which vested 25% upon grant and then approximately 792 options vested per month through January 2019. Read SEC document |
| June 04, 2019 Filed Jun 5, 2019 20:32 UTC |
Shlevin Harold H.Chief Executive Officer
|
Exercise / conversionCommon Stock | 8,706 | $1.37 | $11,927.22 |
DisclosureSEC source: 0001179022-19-000039 · edgar.xml · nonDerivative · entry 1 Shlevin Harold H. · CIK 0001557082 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,706 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 22:10 UTC Amendment |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock Purchase Warrant (right to buy) · Derivative | 25,700 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0001179022-19-000038 · edgar.xml · derivative · entry 6 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ed Uihlein Family Foundation Disclosed balance after: 25,700 Underlying: Common Stock · 1,927 shares Expires 2026-05-31 F2 · shares: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F3 · derivative.exercise_date: This Form 4 is being amended to correct certain dates contained in column 3 and column 6 of Table II. There are no amendments to Table I. F3 · derivative.expiration_date: This Form 4 is being amended to correct certain dates contained in column 3 and column 6 of Table II. There are no amendments to Table I. F2 · balance_after: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F1 · ownership.nature: The reporting person is president and director of Ed Uihlein Family Foundation, a not-for-profit corporation. The reporting person has no pecuniary interest in the shares, however, he shares voting and dispositive power over the shares and, therefore, remains the beneficial owner of the shares solely for the purposes of Section 13(d) of the Securities Exchange Act of 1934. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 22:10 UTC Amendment |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock Purchase Warrant (right to buy) · Derivative | 15,576,322 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0001179022-19-000038 · edgar.xml · derivative · entry 5 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,576,322 Underlying: Common Stock · 1,168,253 shares Expires 2026-05-31 F3 · date: This Form 4 is being amended to correct certain dates contained in column 3 and column 6 of Table II. There are no amendments to Table I. F2 · shares: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F2 · balance_after: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 22:10 UTC Amendment |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock | 7,710 | $4.28 | $32,998.80 |
DisclosureSEC source: 0001179022-19-000038 · edgar.xml · nonDerivative · entry 3 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ed Uihlein Family Foundation Disclosed balance after: 27,710 F1 · ownership.nature: The reporting person is president and director of Ed Uihlein Family Foundation, a not-for-profit corporation. The reporting person has no pecuniary interest in the shares, however, he shares voting and dispositive power over the shares and, therefore, remains the beneficial owner of the shares solely for the purposes of Section 13(d) of the Securities Exchange Act of 1934. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 22:10 UTC Amendment |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock | 4,672,896 | $4.28 | $19,999,994.88 |
DisclosureSEC source: 0001179022-19-000038 · edgar.xml · nonDerivative · entry 2 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,801,385 Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:45 UTC |
CALLICUTT JACK WChief Financial Officer
|
PurchaseCommon Stock Purchase Warrant (right to buy) · Derivative | 7,847 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0001179022-19-000037 · edgar.xml · derivative · entry 2 CALLICUTT JACK W · CIK 0001266773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,847 Underlying: Common Stock · 585 shares Expires 2026-05-31 F1 · shares: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F1 · balance_after: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:45 UTC |
CALLICUTT JACK WChief Financial Officer
|
PurchaseCommon Stock | 2,354 | $4.28 | $10,075.12 |
DisclosureSEC source: 0001179022-19-000037 · edgar.xml · nonDerivative · entry 1 CALLICUTT JACK W · CIK 0001266773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,614 Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:42 UTC |
ELDRED KARYDirector
|
PurchaseCommon Stock Purchase Warrant (right to buy) · Derivative | 10,110 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0001179022-19-000036 · edgar.xml · derivative · entry 4 ELDRED KARY · CIK 0001543425 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,110 Underlying: Common stock · 758 shares Expires 2026-05-31 F3 · shares: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F3 · balance_after: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:42 UTC |
ELDRED KARYDirector
|
PurchaseCommon Stock | 3,033 | $4.28 | $12,981.24 |
DisclosureSEC source: 0001179022-19-000036 · edgar.xml · nonDerivative · entry 1 ELDRED KARY · CIK 0001543425 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,415 Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:31 UTC |
FREEMAN KEVIN DDirector
|
PurchaseCommon Stock Purchase Warrant (right to buy) · Derivative | 25,700 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0001179022-19-000035 · edgar.xml · derivative · entry 5 FREEMAN KEVIN D · CIK 0001522478 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By a limited liability company wholly-owned by Freeman Global Holdings, LLC Disclosed balance after: 25,700 Underlying: Common Stock · 1,928 shares Expires 2026-05-31 F2 · shares: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F2 · balance_after: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F1 · ownership.nature: Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:31 UTC |
FREEMAN KEVIN DDirector
|
PurchaseCommon Stock Purchase Warrant (right to buy) · Derivative | 4,753 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0001179022-19-000035 · edgar.xml · derivative · entry 4 FREEMAN KEVIN D · CIK 0001522478 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,753 Underlying: Common Stock · 356 shares Expires 2026-05-31 F2 · shares: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F2 · balance_after: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:31 UTC |
FREEMAN KEVIN DDirector
|
PurchaseCommon Stock | 1,426 | $4.28 | $6,103.28 |
DisclosureSEC source: 0001179022-19-000035 · edgar.xml · nonDerivative · entry 2 FREEMAN KEVIN D · CIK 0001522478 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,469 Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:31 UTC |
FREEMAN KEVIN DDirector
|
PurchaseCommon Stock | 7,710 | $4.28 | $32,998.80 |
DisclosureSEC source: 0001179022-19-000035 · edgar.xml · nonDerivative · entry 1 FREEMAN KEVIN D · CIK 0001522478 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By a limited liability company wholly-owned by Freeman Global Holdings, LLC Disclosed balance after: 9,710 F1 · ownership.nature: Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:29 UTC |
LEWIS JOELDirector
|
PurchaseCommon Stock Purchase Warrant (right to buy) · Derivative | 42,831 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0001179022-19-000033 · edgar.xml · derivative · entry 2 LEWIS JOEL · CIK 0001725595 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,831 Underlying: Common Stock · 3,212 shares Expires 2026-05-31 F1 · shares: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F1 · balance_after: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:29 UTC |
LEWIS JOELDirector
|
PurchaseCommon Stock | 12,849 | $4.28 | $54,993.72 |
DisclosureSEC source: 0001179022-19-000033 · edgar.xml · nonDerivative · entry 1 LEWIS JOEL · CIK 0001725595 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,649 Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:29 UTC |
OMENN GILBERT SDirector
|
PurchaseCommon Stock Purchase Warrant (right to buy) · Derivative | 61,929 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0001179022-19-000034 · edgar.xml · derivative · entry 2 OMENN GILBERT S · CIK 0001184227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,929 Underlying: Common stock · 4,644 shares Expires 2026-05-31 F1 · shares: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F1 · balance_after: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:29 UTC |
OMENN GILBERT SDirector
|
PurchaseCommon Stock | 18,578 | $4.28 | $79,513.84 |
DisclosureSEC source: 0001179022-19-000034 · edgar.xml · nonDerivative · entry 1 OMENN GILBERT S · CIK 0001184227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,769 Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:28 UTC |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock Purchase Warrant (right to buy) · Derivative | 25,700 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0001179022-19-000032 · edgar.xml · derivative · entry 6 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ed Uihlein Family Foundation Disclosed balance after: 25,700 Underlying: Common Stock · 1,927 shares Expires 2026-06-03 F2 · shares: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F2 · balance_after: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F1 · ownership.nature: The reporting person is president and director of Ed Uihlein Family Foundation, a not-for-profit corporation. The reporting person has no pecuniary interest in the shares, however, he shares voting and dispositive power over the shares and, therefore, remains the beneficial owner of the shares solely for the purposes of Section 13(d) of the Securities Exchange Act of 1934. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:28 UTC |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock | 7,710 | $4.28 | $32,998.80 |
DisclosureSEC source: 0001179022-19-000032 · edgar.xml · nonDerivative · entry 3 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ed Uihlein Family Foundation Disclosed balance after: 27,710 F1 · ownership.nature: The reporting person is president and director of Ed Uihlein Family Foundation, a not-for-profit corporation. The reporting person has no pecuniary interest in the shares, however, he shares voting and dispositive power over the shares and, therefore, remains the beneficial owner of the shares solely for the purposes of Section 13(d) of the Securities Exchange Act of 1934. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 21:28 UTC |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock | 4,672,896 | $4.28 | $19,999,994.88 |
DisclosureSEC source: 0001179022-19-000032 · edgar.xml · nonDerivative · entry 2 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,801,385 Read SEC document |
| May 29, 2019 Filed Jun 3, 2019 22:10 UTC Amendment |
Uihlein Richard EDirector · 10% owner
|
Exercise / conversionCommon Stock Purchase Warrant (right to buy) · Derivative | 500,000 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001179022-19-000038 · edgar.xml · derivative · entry 4 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 966,204 Underlying: Common Stock · 500,000 shares Expires 2023-12-22 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 · date: This Form 4 is being amended to correct certain dates contained in column 3 and column 6 of Table II. There are no amendments to Table I. Read SEC document |
| May 29, 2019 Filed Jun 3, 2019 22:10 UTC Amendment |
Uihlein Richard EDirector · 10% owner
|
Exercise / conversionCommon Stock | 500,000 | $5.00 | $2,500,000.00 |
DisclosureSEC source: 0001179022-19-000038 · edgar.xml · nonDerivative · entry 1 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,128,489 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 29, 2019 Filed Jun 3, 2019 21:28 UTC |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock Purchase Warrant (right to buy) · Derivative | 15,576,322 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0001179022-19-000032 · edgar.xml · derivative · entry 5 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,576,322 Underlying: Common Stock · 1,168,253 shares Expires 2026-05-31 F2 · shares: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. F2 · balance_after: Each warrant is exerciseable for 0.075 shares of Common Stock of the Company. Read SEC document |
| May 29, 2019 Filed Jun 3, 2019 21:28 UTC |
Uihlein Richard EDirector · 10% owner
|
Exercise / conversionCommon Stock | 500,000 | $5.00 | $2,500,000.00 |
DisclosureSEC source: 0001179022-19-000032 · edgar.xml · nonDerivative · entry 1 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,128,489 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 21, 2019 Filed Jun 3, 2019 21:28 UTC |
Uihlein Richard EDirector · 10% owner
|
Exercise / conversionCommon Stock Purchase Warrant (right to buy) · Derivative | 500,000 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001179022-19-000032 · edgar.xml · derivative · entry 4 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 966,204 Underlying: Common Stock · 500,000 shares Expires 2023-12-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 03, 2019 Filed Jun 12, 2019 17:13 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLCGeneral Partner
CZIRR JAMES CManaging Member of GP
|
OtherCommon Stock | 67,515 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-19-009040 · ownership.xml · nonDerivative · entry 1 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · General Partner CZIRR JAMES C · CIK 0001260641 · Managing Member of GP Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,441,786 F1 · kind: Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security under applicable law. F1 · price: Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security under applicable law. F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 09, 2019 Filed Apr 9, 2019 20:02 UTC |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock | 20,700 | $4.82 | $99,850.59 |
DisclosureSEC source: 0001179022-19-000031 · edgar.xml · nonDerivative · entry 1 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,628,489 F1 · price: The shares were purchased in multiple transactions at prices ranging from $4.80 to $4.85. This amount represents the weighted average purchase price of such transactions. The reporting person undertakes to provide full information regarding the number of shares purchased at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| April 05, 2019 Filed Apr 8, 2019 20:32 UTC |
LEWIS JOELDirector
|
PurchaseCommon Stock | 667 | $4.82 | $3,214.07 |
DisclosureSEC source: 0001179022-19-000030 · edgar.xml · nonDerivative · entry 1 LEWIS JOEL · CIK 0001725595 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,800 F1 · price: The shares were purchased in multiple transactions at prices ranging from $4.785 to $4.83. This amount represents the weighted average purchase price of such transactions. The reporting person undertakes to provide full information regarding the number of shares purchased at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| April 05, 2019 Filed Apr 8, 2019 20:30 UTC |
FREEMAN KEVIN DDirector
|
PurchaseCommon Stock | 500 | $4.73 | $2,365.00 |
DisclosureSEC source: 0001179022-19-000028 · edgar.xml · nonDerivative · entry 1 FREEMAN KEVIN D · CIK 0001522478 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By a limited liability company wholly-owned by Freeman Global Holdings, LLC Disclosed balance after: 2,000 F1 · ownership.nature: Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 05, 2019 Filed Apr 8, 2019 20:31 UTC |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock | 21,000 | $4.81 | $100,972.20 |
DisclosureSEC source: 0001179022-19-000029 · edgar.xml · nonDerivative · entry 1 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,607,789 F1 · price: The shares were purchased in multiple transactions at prices ranging from $4.789 to $4.810. This amount represents the weighted average purchase price of such transactions. The reporting person undertakes to provide full information regarding the number of shares purchased at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| February 22, 2019 Filed Feb 25, 2019 21:38 UTC |
Rubin MarcDirector
|
Exercise / conversionStock option (right to buy) · Derivative | 859 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001179022-19-000027 · edgar.xml · derivative · entry 7 Rubin Marc · CIK 0001412377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,065 Underlying: Common Stock · 859 shares Expires 2026-12-15 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. F1 · kind: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018. F4 · derivative.exercise_date: The options vested 100% on December 14, 2018. Read SEC document |
| February 22, 2019 Filed Feb 25, 2019 21:38 UTC |
Rubin MarcDirector
|
SaleCommon Stock | 859 | $6.02 | $5,174.96 |
DisclosureSEC source: 0001179022-19-000027 · edgar.xml · nonDerivative · entry 5 Rubin Marc · CIK 0001412377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,581 F1 · kind: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018. F3 · price: The shares were sold in multiple transactions at prices ranging from $6.00 to $6.02. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| February 22, 2019 Filed Feb 25, 2019 21:38 UTC |
Rubin MarcDirector
|
Exercise / conversionCommon Stock | 859 | $2.39 | $2,053.01 |
DisclosureSEC source: 0001179022-19-000027 · edgar.xml · nonDerivative · entry 4 Rubin Marc · CIK 0001412377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,440 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. F1 · kind: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018. Read SEC document |
| February 21, 2019 Filed Feb 25, 2019 21:38 UTC |
Rubin MarcDirector
|
Exercise / conversionStock option (right to buy) · Derivative | 43,326 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001179022-19-000027 · edgar.xml · derivative · entry 6 Rubin Marc · CIK 0001412377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,924 Underlying: Common Stock · 43,326 shares Expires 2026-12-15 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. F1 · kind: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018. F4 · derivative.exercise_date: The options vested 100% on December 14, 2018. Read SEC document |
| February 21, 2019 Filed Feb 25, 2019 21:38 UTC |
Rubin MarcDirector
|
SaleCommon Stock | 43,326 | $6.02 | $261,026.15 |
DisclosureSEC source: 0001179022-19-000027 · edgar.xml · nonDerivative · entry 3 Rubin Marc · CIK 0001412377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,581 F1 · kind: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018. F2 · price: The shares were sold in multiple transactions at prices ranging from $6.00 to $6.05. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| February 21, 2019 Filed Feb 25, 2019 21:38 UTC |
Rubin MarcDirector
|
Exercise / conversionCommon Stock | 43,326 | $2.39 | $103,549.14 |
DisclosureSEC source: 0001179022-19-000027 · edgar.xml · nonDerivative · entry 2 Rubin Marc · CIK 0001412377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,907 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. F1 · kind: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018. Read SEC document |
| February 21, 2019 Filed Feb 25, 2019 21:38 UTC |
Rubin MarcDirector
|
SaleCommon Stock | 7,000 | $6.00 | $42,000.00 |
DisclosureSEC source: 0001179022-19-000027 · edgar.xml · nonDerivative · entry 1 Rubin Marc · CIK 0001412377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,581 F1 · kind: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018. Read SEC document |
| February 08, 2019 Filed Feb 11, 2019 21:23 UTC |
FREEMAN KEVIN DDirector
|
PurchaseCommon Stock | 1,500 | $4.29 | $6,427.50 |
DisclosureSEC source: 0001179022-19-000025 · edgar.xml · nonDerivative · entry 1 FREEMAN KEVIN D · CIK 0001522478 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By a limited liability company wholly-owned by Freeman Global Holdings, LLC Disclosed balance after: 1,500 F1 · ownership.nature: Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| February 07, 2019 Filed Feb 11, 2019 21:24 UTC |
LEWIS JOELDirector
|
PurchaseCommon Stock | 1,000 | $4.48 | $4,484.10 |
DisclosureSEC source: 0001179022-19-000026 · edgar.xml · nonDerivative · entry 1 LEWIS JOEL · CIK 0001725595 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,133 F1 · price: The shares were purchased in multiple transactions at prices ranging from $4.48 to $4.4871. This amount represents the weighted average purchase price of such transactions. The reporting person undertakes to provide full information regarding the number of shares purchased at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 21:30 UTC |
AMELIO GILBERT FDirector
|
SaleCommon Stock | 13,047 | $5.00 | $65,235.00 |
DisclosureSEC source: 0001179022-19-000024 · edgar.xml · nonDerivative · entry 2 AMELIO GILBERT F · CIK 0001183247 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,614 Read SEC document |
| January 30, 2019 Filed Feb 4, 2019 21:30 UTC |
AMELIO GILBERT FDirector
|
SaleCommon Stock | 16,953 | $5.00 | $84,765.00 |
DisclosureSEC source: 0001179022-19-000024 · edgar.xml · nonDerivative · entry 1 AMELIO GILBERT F · CIK 0001183247 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,661 Read SEC document |
| January 29, 2019 Filed Jan 30, 2019 22:31 UTC |
LEWIS JOELDirector
|
PurchaseCommon Stock | 1,000 | $4.81 | $4,805.00 |
DisclosureSEC source: 0001179022-19-000022 · edgar.xml · nonDerivative · entry 1 LEWIS JOEL · CIK 0001725595 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,133 Read SEC document |
| January 29, 2019 Filed Jan 30, 2019 22:31 UTC |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock | 48,500 | $4.87 | $236,243.50 |
DisclosureSEC source: 0001179022-19-000021 · edgar.xml · nonDerivative · entry 2 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,586,789 F2 · price: The shares were sold in multiple transactions at prices ranging from $4.75 to $5.00. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| January 29, 2019 Filed Jan 31, 2019 15:55 UTC Amendment |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock | 48,500 | $4.87 | $236,243.50 |
DisclosureSEC source: 0001179022-19-000023 · edgar.xml · nonDerivative · entry 2 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,586,789 F2 · price: The shares were purchased in multiple transactions at prices ranging from $4.75 to $5.00. This amount represents the weighted average purchase price of such transactions. The reporting person undertakes to provide full information regarding the number of shares purchased at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. F3 · price: This Form 4 is being amended to correct footnotes (1) and (2) for the purchase transactions on January 28, 2019 and January 29, 2019, which footnotes incorrectly stated that the shares were sold in multiple transactions, but should have stated that the shares were purchased in multiple transactions. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 22:31 UTC |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock | 3,000 | $4.77 | $14,315.10 |
DisclosureSEC source: 0001179022-19-000021 · edgar.xml · nonDerivative · entry 1 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,538,289 F1 · price: The shares were sold in multiple transactions at prices ranging from $4.77 to $4.78. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| January 28, 2019 Filed Jan 31, 2019 15:55 UTC Amendment |
Uihlein Richard EDirector · 10% owner
|
PurchaseCommon Stock | 3,000 | $4.77 | $14,315.10 |
DisclosureSEC source: 0001179022-19-000023 · edgar.xml · nonDerivative · entry 1 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,538,289 F1 · price: The shares were purchased in multiple transactions at prices ranging from $4.77 to $4.78. This amount represents the weighted average purchase price of such transactions. The reporting person undertakes to provide full information regarding the number of shares purchased at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. F3 · price: This Form 4 is being amended to correct footnotes (1) and (2) for the purchase transactions on January 28, 2019 and January 29, 2019, which footnotes incorrectly stated that the shares were sold in multiple transactions, but should have stated that the shares were purchased in multiple transactions. 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.