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 |
|---|---|---|---|---|---|---|
| April 04, 2018 Filed Apr 6, 2018 20:33 UTC |
CALLICUTT JACK WChief Financial Officer
|
Exercise / conversionCommon Stock | 3,349 | $0.87 | $2,913.63 |
DisclosureSEC source: 0001179022-18-000025 · edgar.xml · nonDerivative · entry 1 CALLICUTT JACK W · CIK 0001266773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,609 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 February 28, 2018. Read SEC document |
| March 31, 2018 Filed Apr 1, 2019 22:02 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLCGeneral Partner
CZIRR JAMES CManaging Member of GP
|
OtherCommon Stock | 48,802 | $4.72 | $230,345.44 |
DisclosureSEC source: 0001493152-19-004632 · 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: 3,170,205 F1 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 3/31/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F4 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-9 and as an involuntary transaction pursuant to court decisions. F1 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 3/31/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F5 · 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 |
| March 31, 2018 Filed Apr 2, 2019 12:45 UTC |
CZIRR JAMES CDirector
|
OtherCommon Stock | 1,000 | $6.00 | $6,000.00 |
DisclosureSEC source: 0001493152-19-004665 · ownership.xml · nonDerivative · entry 1 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 890,630 F1 · kind: Common stock received in satisfaction of $6,000 of dividends due on Series A Convertible Preferred Stock owned by James C. Czirr pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividends were payable on 3/31/2018 and 9/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-9 and as an involuntary transaction pursuant to court decisions. F1 · price: Common stock received in satisfaction of $6,000 of dividends due on Series A Convertible Preferred Stock owned by James C. Czirr pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividends were payable on 3/31/2018 and 9/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 13:57 UTC |
FREEMAN KEVIN DDirector
|
PurchaseCommon Stock | 2,000 | $4.10 | $8,191.00 |
DisclosureSEC source: 0001179022-18-000013 · edgar.xml · nonDerivative · entry 1 FREEMAN KEVIN D · CIK 0001522478 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · IRA Disclosed balance after: 16,000 F1 · balance_after: Includes 6,000 shares that the reporting person previously mistakenly reported as being held directly and which should have been reported as being held indirectly, by the reporting person's IRA. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 13:25 UTC |
FREEMAN KEVIN DDirector
|
PurchaseCommon Stock | 2,000 | $4.10 | $8,191.00 |
DisclosureSEC source: 0001179022-18-000012 · edgar.xml · nonDerivative · entry 1 FREEMAN KEVIN D · CIK 0001522478 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · IRA Disclosed balance after: 16,000 F1 · balance_after: Includes 6,000 shares that the reporting person previously mistakenly reported as being held directly and which should have been reported as being held indirectly, by the reporting person's IRA. Read SEC document |
| January 26, 2018 Filed Jan 30, 2018 02:58 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLC10% owner
|
SaleCommon Stock | 39,300 | $5.35 | $210,255.00 |
DisclosureSEC source: 0001493152-18-001223 · form4.xml · nonDerivative · entry 2 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 3,120,984 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| January 26, 2018 Filed Jan 30, 2018 02:58 UTC |
CZIRR JAMES CDirector
|
SaleCommon Stock | 39,300 | $5.35 | $210,255.00 |
DisclosureSEC source: 0001493152-18-001224 · form4.xml · nonDerivative · entry 2 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnore Disclosed balance after: 3,120,984 F1 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein. F1 · ownership.nature: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein. Read SEC document |
| January 25, 2018 Filed Jan 30, 2018 02:58 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLC10% owner
|
SaleCommon Stock | 205,144 | $5.45 | $1,118,034.80 |
DisclosureSEC source: 0001493152-18-001223 · form4.xml · nonDerivative · entry 1 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 3,160,284 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| January 25, 2018 Filed Jan 30, 2018 02:58 UTC |
CZIRR JAMES CDirector
|
SaleCommon Stock | 205,144 | $5.45 | $1,118,034.80 |
DisclosureSEC source: 0001493152-18-001224 · form4.xml · nonDerivative · entry 1 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnore Disclosed balance after: 3,160,284 F1 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein. F1 · ownership.nature: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein. Read SEC document |
| January 15, 2018 Filed Jan 17, 2018 21:34 UTC |
TRABER PETER GPresident & CEO
|
GrantStock option (right to buy) · Derivative | 125,000 | $0.00 Strike: $5.87 | $0.00 |
DisclosureSEC source: 0001179022-18-000010 · edgar.xml · derivative · entry 1 TRABER PETER G · CIK 0001284500 · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2028-01-15 F1 · derivative.exercise_date: The options vest as follows: 25% immediately, 25% on June 30, 2018, and 50% on December 31, 2018. Read SEC document |
| January 15, 2018 Filed Jan 17, 2018 21:34 UTC |
Shlevin Harold H.Chief Operating Officer
|
GrantStock option (right to buy) · Derivative | 90,000 | $0.00 Strike: $5.87 | $0.00 |
DisclosureSEC source: 0001179022-18-000011 · edgar.xml · derivative · entry 1 Shlevin Harold H. · CIK 0001557082 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 shares Expires 2028-01-15 F1 · derivative.exercise_date: The options vest as follows: 25% immediately, 25% on June 30, 2018, and 50% on December 31, 2018. Read SEC document |
| January 15, 2018 Filed Jan 17, 2018 21:33 UTC |
CALLICUTT JACK WChief Financial Officer
|
GrantStock option (right to buy) · Derivative | 90,000 | $0.00 Strike: $5.87 | $0.00 |
DisclosureSEC source: 0001179022-18-000009 · edgar.xml · derivative · entry 1 CALLICUTT JACK W · CIK 0001266773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 shares Expires 2028-01-15 F1 · derivative.exercise_date: The options vest as follows: 25% immediately, 25% on June 30, 2018, and 50% on December 31, 2018. Read SEC document |
| December 31, 2017 Filed Feb 7, 2018 20:40 UTC |
CZIRR JAMES CDirector
|
OtherCommon Stock | 111,149 | $2.07 | $230,078.43 |
DisclosureSEC source: 0001493152-18-001602 · form5.xml · nonDerivative · entry 3 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 5 Disclosed balance after: 3,365,428 F3 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 12/31/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F4 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-9 and as an involuntary transaction pursuant to court decisions. F3 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 12/31/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F5 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| December 31, 2017 Filed Feb 7, 2018 20:18 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLC10% owner
|
OtherCommon Stock | 111,149 | $2.07 | $230,078.43 |
DisclosureSEC source: 0001493152-18-001595 · form5.xml · nonDerivative · entry 2 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,365,428 F2 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 12/31/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F3 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-9 and as an involuntary transaction pursuant to court decisions. F2 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 12/31/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F4 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 21:15 UTC |
Rubin MarcDirector
|
GrantStock option (right to buy) · Derivative | 77,250 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001179022-17-000082 · edgar.xml · derivative · entry 1 Rubin Marc · CIK 0001412377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,250 Underlying: Common stock · 77,250 shares Expires 2027-12-14 F1 · derivative.exercise_date: The options vest 100% on December 14, 2018. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 21:13 UTC |
SHULMAN STEPHENDirector
|
GrantStock option (right to buy) · Derivative | 46,875 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001179022-17-000081 · edgar.xml · derivative · entry 1 SHULMAN STEPHEN · CIK 0001725594 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,875 Underlying: Common stock · 46,875 shares Expires 2027-12-14 F1 · derivative.exercise_date: The options vest 100% on December 14, 2018. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 21:12 UTC |
FREEMAN KEVIN DDirector
|
GrantStock option (right to buy) · Derivative | 46,875 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001179022-17-000079 · edgar.xml · derivative · entry 1 FREEMAN KEVIN D · CIK 0001522478 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,875 Underlying: Common stock · 46,875 shares Expires 2027-12-14 F1 · derivative.exercise_date: The options vest 100% on December 14, 2018. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 21:13 UTC |
AMELIO GILBERT FDirector
|
GrantStock option (right to buy) · Derivative | 62,250 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001179022-17-000080 · edgar.xml · derivative · entry 1 AMELIO GILBERT F · CIK 0001183247 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,250 Underlying: Common stock · 62,250 shares Expires 2027-12-14 F1 · derivative.exercise_date: The options vest 100% on December 14, 2018. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 21:12 UTC |
CZIRR JAMES CDirector
|
GrantStock option (right to buy) · Derivative | 46,875 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001179022-17-000078 · edgar.xml · derivative · entry 1 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,875 Underlying: Common stock · 46,875 shares Expires 2027-12-14 F1 · derivative.exercise_date: The options vest 100% on December 14, 2018. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 21:11 UTC |
ZUCCONI THEODORE DANIELDirector
|
GrantStock option (right to buy) · Derivative | 46,875 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001179022-17-000077 · edgar.xml · derivative · entry 1 ZUCCONI THEODORE DANIEL · CIK 0001413699 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,875 Underlying: Common stock · 46,875 shares Expires 2027-12-14 F1 · derivative.exercise_date: The options vest 100% on December 14, 2018. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 21:11 UTC |
OMENN GILBERT SDirector
|
GrantStock option (right to buy) · Derivative | 62,250 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001179022-17-000076 · edgar.xml · derivative · entry 1 OMENN GILBERT S · CIK 0001184227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,250 Underlying: Common stock · 62,250 shares Expires 2027-12-14 F1 · derivative.exercise_date: The options vest 100% on December 14, 2018. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 21:10 UTC |
Uihlein Richard EDirector · 10% owner
|
GrantStock option (right to buy) · Derivative | 46,875 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001179022-17-000075 · edgar.xml · derivative · entry 3 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,875 Underlying: Common stock · 46,875 shares Expires 2027-12-14 F3 · derivative.exercise_date: The options vest 100% on December 14, 2018. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 21:10 UTC |
Uihlein Richard EDirector · 10% owner
|
GrantCommon Stock | 14,644 | $2.39 | $34,999.16 |
DisclosureSEC source: 0001179022-17-000075 · edgar.xml · nonDerivative · entry 1 Uihlein Richard E · CIK 0001694903 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,524,553 F1 · shares: These restricted shares were issued in lieu of cash retainer and meeting fees of $35,000 for 2018. Restrictions on the shares lapse at a rate of 25% per calendar quarter in 2018. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 21:09 UTC |
LEWIS JOELDirector
|
GrantStock option (right to buy) · Derivative | 62,250 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001179022-17-000074 · edgar.xml · derivative · entry 2 LEWIS JOEL · CIK 0001725595 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,250 Underlying: Common stock · 62,250 shares Expires 2027-12-14 F2 · derivative.exercise_date: The options vest 100% on December 14, 2018. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 21:09 UTC |
LEWIS JOELDirector
|
GrantCommon Stock | 23,013 | $2.39 | $55,001.07 |
DisclosureSEC source: 0001179022-17-000074 · edgar.xml · nonDerivative · entry 1 LEWIS JOEL · CIK 0001725595 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,880 F1 · shares: These restricted shares were issued in lieu of cash retainer and meeting fees of $55,000 for 2018. Restrictions on the shares lapse at a rate of 25% per calendar quarter in 2018. Read SEC document |
| December 08, 2017 Filed Dec 8, 2017 21:36 UTC Amendment |
Rubin MarcDirector
|
PurchaseCommon Stock | 7,000 | $1.85 | $12,971.70 |
DisclosureSEC source: 0001179022-17-000071 · edgar.xml · nonDerivative · entry 1 Rubin Marc · CIK 0001412377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,581 F1 · price: The footnote on the original Form 4, filed on December 8, 2017, incorrectly indicated that the shares were sold, instead of purchased, in multiple transactions. The shares were purchased in multiple transactions at prices ranging from $1.819 to $1.92. 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 |
| December 08, 2017 Filed Dec 8, 2017 19:26 UTC |
Rubin MarcDirector
|
PurchaseCommon Stock | 7,000 | $1.85 | $12,971.70 |
DisclosureSEC source: 0001179022-17-000069 · edgar.xml · nonDerivative · entry 1 Rubin Marc · CIK 0001412377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,581 F1 · price: The shares were sold in multiple transactions at prices ranging from $1.819 to $1.92. 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 |
| December 07, 2017 Filed Dec 8, 2017 19:26 UTC |
FREEMAN KEVIN DDirector
|
PurchaseCommon Stock | 400 | $1.64 | $657.32 |
DisclosureSEC source: 0001179022-17-000070 · edgar.xml · nonDerivative · entry 2 FREEMAN KEVIN D · CIK 0001522478 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,043 Read SEC document |
| December 07, 2017 Filed Dec 8, 2017 19:26 UTC |
FREEMAN KEVIN DDirector
|
PurchaseCommon Stock | 8,000 | $1.63 | $13,004.80 |
DisclosureSEC source: 0001179022-17-000070 · edgar.xml · nonDerivative · entry 1 FREEMAN KEVIN D · CIK 0001522478 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · IRA Disclosed balance after: 8,000 Read SEC document |
| September 30, 2017 Filed Feb 7, 2018 20:40 UTC |
CZIRR JAMES CDirector
|
OtherCommon Stock | 119,129 | $1.93 | $229,918.97 |
DisclosureSEC source: 0001493152-18-001602 · form5.xml · nonDerivative · entry 2 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 5 Disclosed balance after: 3,254,279 F2 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 9/30/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F4 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-9 and as an involuntary transaction pursuant to court decisions. F2 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 9/30/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F5 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| September 30, 2017 Filed Feb 7, 2018 20:40 UTC |
CZIRR JAMES CDirector
|
OtherCommon Stock | 1,000 | $6.00 | $6,000.00 |
DisclosureSEC source: 0001493152-18-001602 · form5.xml · nonDerivative · entry 1 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 889,630 F1 · kind: Common stock received in satisfaction of $6,000 of dividends due on Series A Convertible Preferred Stock owned by James C. Czirr pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 9/30/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F4 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-9 and as an involuntary transaction pursuant to court decisions. F1 · price: Common stock received in satisfaction of $6,000 of dividends due on Series A Convertible Preferred Stock owned by James C. Czirr pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 9/30/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. Read SEC document |
| September 30, 2017 Filed Feb 7, 2018 20:18 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLC10% owner
|
OtherCommon Stock | 119,129 | $1.93 | $229,918.97 |
DisclosureSEC source: 0001493152-18-001595 · form5.xml · nonDerivative · entry 1 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,254,279 F1 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 9/30/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F3 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-9 and as an involuntary transaction pursuant to court decisions. F1 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 9/30/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F4 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| June 30, 2017 Filed Sep 8, 2017 20:48 UTC |
CZIRR JAMES CDirector
|
OtherCommon Stock | 95,205 | $2.42 | $230,396.10 |
DisclosureSEC source: 0001493152-17-010380 · form4.xml · nonDerivative · entry 3 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,135,150 F3 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 6/30/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F3 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 6/30/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F4 · ownership.nature: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein. Read SEC document |
| June 30, 2017 Filed Sep 8, 2017 20:46 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLC10% owner
|
OtherCommon Stock | 95,205 | $2.42 | $230,396.10 |
DisclosureSEC source: 0001493152-17-010379 · form-4.xml · nonDerivative · entry 2 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,135,150 F2 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 6/30/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F2 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 6/30/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F3 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| May 23, 2017 Filed May 24, 2017 13:39 UTC |
ZUCCONI THEODORE DANIELDirector
|
PurchaseCommon stock | 1,000 | $2.27 | $2,270.00 |
DisclosureSEC source: 0001179022-17-000029 · edgar.xml · nonDerivative · entry 1 ZUCCONI THEODORE DANIEL · CIK 0001413699 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,083 Read SEC document |
| March 31, 2017 Filed Sep 8, 2017 20:48 UTC |
CZIRR JAMES CDirector
|
OtherCommon Stock | 116,151 | $1.98 | $229,978.98 |
DisclosureSEC source: 0001493152-17-010380 · form4.xml · nonDerivative · entry 2 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,039,945 F2 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 3/31/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F2 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 3/31/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F4 · ownership.nature: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein. Read SEC document |
| March 31, 2017 Filed Sep 8, 2017 20:48 UTC |
CZIRR JAMES CDirector
|
OtherCommon Stock | 1,000 | $6.00 | $6,000.00 |
DisclosureSEC source: 0001493152-17-010380 · form4.xml · nonDerivative · entry 1 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 888,630 F1 · kind: Common stock received in satisfaction of $6,000 of dividends due on Series A Convertible Preferred Stock owned by James C. Czirr pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 3/31/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F1 · price: Common stock received in satisfaction of $6,000 of dividends due on Series A Convertible Preferred Stock owned by James C. Czirr pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 3/31/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. Read SEC document |
| March 31, 2017 Filed Sep 8, 2017 20:46 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLC10% owner
|
OtherCommon Stock | 116,151 | $1.98 | $229,978.98 |
DisclosureSEC source: 0001493152-17-010379 · form-4.xml · nonDerivative · entry 1 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,039,945 F1 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 3/31/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F1 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 3/31/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F3 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| January 13, 2017 Filed Jan 20, 2017 21:46 UTC |
ZUCCONI THEODORE DANIELDirector
|
SaleWarrants (right to buy) · Derivative | 85 | $0.35 Strike: $5.63 | $29.75 |
DisclosureSEC source: 0001179022-17-000001 · edgar.xml · derivative · entry 2 ZUCCONI THEODORE DANIEL · CIK 0001413699 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38 Underlying: Common stock · 85 shares Expires 2017-03-28 Read SEC document |
| January 12, 2017 Filed Jan 20, 2017 21:46 UTC |
ZUCCONI THEODORE DANIELDirector
|
SaleWarrants (right to buy) · Derivative | 2,299 | $0.48 Strike: $5.63 | $1,103.52 |
DisclosureSEC source: 0001179022-17-000001 · edgar.xml · derivative · entry 1 ZUCCONI THEODORE DANIEL · CIK 0001413699 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123 Underlying: Common stock · 2,299 shares Expires 2017-03-28 Read SEC document |
| December 31, 2016 Filed Feb 1, 2017 19:03 UTC |
CZIRR JAMES CDirector
|
OtherCommon Stock | 211,876 | $1.01 | $213,994.76 |
DisclosureSEC source: 0001493152-17-001002 · form4.xml · nonDerivative · entry 1 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,452,303 F1 · kind: Common stock received in satisfaction of $213,994.83 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F1 · price: Common stock received in satisfaction of $213,994.83 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein. Read SEC document |
| December 31, 2016 Filed Feb 1, 2017 18:59 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLC10% owner
|
OtherCommon Stock | 211,876 | $1.01 | $213,994.76 |
DisclosureSEC source: 0001493152-17-001000 · form4.xml · nonDerivative · entry 1 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,452,303 F1 · kind: Common stock received in satisfaction of $213,994.83 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F1 · price: Common stock received in satisfaction of $213,994.83 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| December 31, 2016 Filed Sep 8, 2017 20:42 UTC Amendment |
CZIRR JAMES CDirector
|
OtherCommon Stock | 211,876 | $1.01 | $213,994.76 |
DisclosureSEC source: 0001493152-17-010376 · form-4a.xml · nonDerivative · entry 1 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By 10X Fund, LP Disclosed balance after: 2,923,794 F1 · kind: Common stock received in satisfaction of $213,994.83 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F1 · price: Common stock received in satisfaction of $213,994.83 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F2 · balance_after: This Form 4/A amends a Form 4 originally filed 2/1/2017, which reported the receipt of 211,876 shares as a stock dividend, and is being filed to correct the number of shares owned after receipt of the dividend, which changed as the result of an amendment filed to correct erroneous information in a prior Form 4. F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein. Read SEC document |
| December 31, 2016 Filed Sep 8, 2017 20:40 UTC Amendment |
10X Fund, L.P.10% owner
10X Capital Management, LLC10% owner
|
OtherCommon Stock | 211,876 | $1.01 | $213,994.76 |
DisclosureSEC source: 0001493152-17-010375 · form4a.xml · nonDerivative · entry 1 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,923,794 F1 · kind: Common stock received in satisfaction of $213,994.83 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F1 · price: Common stock received in satisfaction of $213,994.83 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. F2 · balance_after: This Form 4/A amends a Form 4 originally filed 2/1/2017, which reported the receipt of 211,876 shares as a stock dividend, and is being filed to correct the number of shares owned after receipt of the dividend, which changed as the result of an amendment filed to correct erroneous information in a prior Form 4. F3 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| December 23, 2016 Filed Jan 9, 2017 22:24 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLC10% owner
|
PurchaseLock-Up Warrant · Derivative | 1 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001493152-17-000300 · form4.xml · derivative · entry 4 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7 Underlying: Common Stock · 84,000 shares Expires 2023-12-23 F3 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to downward adjustment based upon the subsequent agreement between the company and a lead investor. F4 · price: On September 22, 2016, the company and 10X Fund, LP entered into a Lock-Up Agreement, under which the Company agreed to issue 10X Fund, L.P. Lock-Up Warrants to purchase 500,000 shares of common stock, plus additional Lock-Up Warrants to purchase 0.08333 shares of common stock for every $1 invested by 10X Fund, LP in the Company's Series B-3 Convertible Preferred Stock offering, up to a maximum of 500,000 warrants. F5 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| December 23, 2016 Filed Jan 9, 2017 22:24 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLC10% owner
|
PurchaseLock-Up Warrant · Derivative | 1 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001493152-17-000300 · form4.xml · derivative · entry 3 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6 Underlying: Common Stock · 168,033 shares Expires 2023-12-23 F3 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to downward adjustment based upon the subsequent agreement between the company and a lead investor. F2 · price: On December 23, 2016, 10X Fund, L.P. purchased (a) 1,008,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 672,747 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 168,033 shares of common stock at $3.00 per share, for total consideration of $1,008,000. F5 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| December 23, 2016 Filed Jan 9, 2017 22:24 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLC10% owner
|
PurchaseSeries B-3 Warrant · Derivative | 1 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001493152-17-000300 · form4.xml · derivative · entry 2 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3 Underlying: Common Stock · 672,747 shares Expires 2023-12-23 F3 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to downward adjustment based upon the subsequent agreement between the company and a lead investor. F2 · price: On December 23, 2016, 10X Fund, L.P. purchased (a) 1,008,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 672,747 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 168,033 shares of common stock at $3.00 per share, for total consideration of $1,008,000. F5 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| December 23, 2016 Filed Jan 9, 2017 22:24 UTC |
10X Fund, L.P.10% owner
10X Capital Management, LLC10% owner
|
PurchaseSeries B-3 Convertible Preferred Stock · Derivative | 1,008,000 | $1.00 Strike: $1.12 | $1,008,000.00 |
DisclosureSEC source: 0001493152-17-000300 · form4.xml · derivative · entry 1 10X Fund, L.P. · CIK 0001453356 · 10% owner 10X Capital Management, LLC · CIK 0001457247 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,508,000 Underlying: Common Stock · 896,997 shares Expires not disclosed F2 · price: On December 23, 2016, 10X Fund, L.P. purchased (a) 1,008,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 672,747 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 168,033 shares of common stock at $3.00 per share, for total consideration of $1,008,000. F1 · derivative.exercise_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share. F1 · derivative.expiration_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share. F5 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| December 23, 2016 Filed Jan 9, 2017 21:57 UTC |
CZIRR JAMES CDirector
|
PurchaseLock-Up Warrant · Derivative | 1 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001493152-17-000294 · form4.xml · derivative · entry 4 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By 10X Fund, LP Disclosed balance after: 7 Underlying: Common Stock · 84,000 shares Expires 2023-12-23 F3 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to downward adjustment based upon the subsequent agreement between the company and a lead investor. F4 · price: On September 22, 2016, the company and 10X Fund, LP entered into a Lock-Up Agreement, under which the Company agreed to issue 10X Fund, L.P. Lock-Up Warrants to purchase 500,000 shares of common stock, plus additional Lock-Up Warrants to purchase 0.08333 shares of common stock for every $1 invested by 10X Fund, LP in the Company's Series B-3 Convertible Preferred Stock offering, up to a maximum of 500,000 warrants. F5 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein. Read SEC document |
| December 23, 2016 Filed Jan 9, 2017 21:57 UTC |
CZIRR JAMES CDirector
|
PurchaseLock-Up Warrant · Derivative | 1 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001493152-17-000294 · form4.xml · derivative · entry 3 CZIRR JAMES C · CIK 0001260641 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By 10X Fund, LP Disclosed balance after: 6 Underlying: Common Stock · 168,033 shares Expires 2023-12-23 F3 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to downward adjustment based upon the subsequent agreement between the company and a lead investor. F2 · price: On December 23, 2016, 10X Fund, L.P. purchased (a) 1,008,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 672,747 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 168,033 shares of common stock at $3.00 per share, for total consideration of $1,008,000. F5 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein. 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.