Last 12 months
Inside the activity.
1 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| 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 |
|---|---|---|---|---|---|---|
| December 21, 2020 Filed Dec 23, 2020 23:41 UTC |
STUART JOHN EDWARDDirector
|
GrantCommon Stock | 19 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065093 · doc4.xml · nonDerivative · entry 5 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 1,016 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:41 UTC |
STUART JOHN EDWARDDirector
|
GrantCommon Stock | 42 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065093 · doc4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2011 Grantor Trust Disclosed balance after: 2,343 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:41 UTC |
STUART JOHN EDWARDDirector
|
GrantCommon Stock | 96 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065093 · doc4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 4,976 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:41 UTC |
STUART JOHN EDWARDDirector
|
GrantCommon Stock | 324 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065093 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,872 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:39 UTC |
Speller Michael CDirector
|
GrantCommon Stock | 644 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065091 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,945 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:24 UTC |
Reed Peter ADirector · President and CEO
|
GrantCommon Stock | 5,473 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065077 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,535 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:21 UTC |
Kleinman Adam MChief Compliance Officer
|
GrantCommon Stock | 1,645.7961 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065075 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,701.4396 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:16 UTC |
Davis KeriCFO and Treasurer
|
GrantCommon Stock | 47.5741 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065073 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,246.1805 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 18:06 UTC |
Forest Investments, Inc.10% owner
|
OtherCommon Stock | 12,652 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060309 · doc4.xml · nonDerivative · entry 2 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 420,061 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 18:06 UTC |
Forest Investments, Inc.10% owner
|
OtherCommon Stock | 160,492 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060309 · doc4.xml · nonDerivative · entry 1 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,328,350 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 18:16 UTC |
Horsey Randall RevellDirector
|
GrantCommon Stock | 729.5106 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060312 · doc4.xml · nonDerivative · entry 1 Horsey Randall Revell · CIK 0001729151 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,183.5456 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 18:20 UTC |
Kuperschmid MarkDirector
|
GrantCommon Stock | 811 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060314 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 34,681 F1 · kind: Shares acquired as a result of a stock dividend. F2 · balance_after: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 23:28 UTC |
STUART JOHN EDWARDDirector
|
GrantCommon Stock | 24 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060323 · doc4.xml · nonDerivative · entry 5 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 997 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 23:28 UTC |
STUART JOHN EDWARDDirector
|
GrantCommon Stock | 53 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060323 · doc4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2011 Grantor Trust Disclosed balance after: 2,301 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 23:28 UTC |
STUART JOHN EDWARDDirector
|
GrantCommon Stock | 128 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060323 · doc4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 4,880 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 23:28 UTC |
STUART JOHN EDWARDDirector
|
GrantCommon Stock | 432 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060323 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,548 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 23:25 UTC |
Speller Michael CDirector
|
GrantCommon Stock | 825 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060316 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,301 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 23:02 UTC |
Reed Peter ADirector · President and CEO
|
GrantCommon Stock | 7,619 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060305 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,062 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 22:59 UTC |
Kleinman Adam MChief Compliance Officer
|
GrantCommon Stock | 2,290.8928 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060301 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,055.6435 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 22:56 UTC |
Davis KeriCFO and Treasurer
|
GrantCommon Stock | 66.2239 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060297 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,198.6064 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 23, 2020 21:52 UTC |
Forest Investments, Inc.10% owner
|
OtherCommon Stock | 6,858 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055761 · doc4.xml · nonDerivative · entry 2 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 407,409 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 23, 2020 21:52 UTC |
Forest Investments, Inc.10% owner
|
OtherCommon Stock | 59,089 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055761 · doc4.xml · nonDerivative · entry 1 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,167,858 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 23, 2020 21:13 UTC |
Horsey Randall RevellDirector
|
GrantCommon Stock | 362.1149 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055751 · doc4.xml · nonDerivative · entry 1 Horsey Randall Revell · CIK 0001729151 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,454.035 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 23, 2020 21:17 UTC |
Kuperschmid MarkDirector
|
GrantCommon Stock | 453 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055753 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 33,870 F1 · kind: Shares acquired as a result of a stock dividend. F2 · balance_after: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:25 UTC |
STUART JOHN EDWARDDirector
|
GrantCommon Stock | 20 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055757 · doc4.xml · nonDerivative · entry 5 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Michele G. Stuart Disclosed balance after: 973 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:25 UTC |
STUART JOHN EDWARDDirector
|
GrantCommon Stock | 46 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055757 · doc4.xml · nonDerivative · entry 3 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Mary E. Stuart 2011 Grantor Trust Disclosed balance after: 2,248 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:25 UTC |
STUART JOHN EDWARDDirector
|
GrantCommon Stock | 111 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055757 · doc4.xml · nonDerivative · entry 2 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John E. Stuart GST Trust Disclosed balance after: 4,752 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:25 UTC |
STUART JOHN EDWARDDirector
|
GrantCommon Stock | 245 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055757 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,116 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:10 UTC |
Reed Peter ADirector · President and CEO
|
GrantCommon Stock | 2,592 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055749 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,443 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:20 UTC |
Speller Michael CDirector
|
GrantCommon Stock | 363 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055755 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,476 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:05 UTC |
Kleinman Adam MChief Compliance Officer
|
GrantCommon Stock | 1,010.638 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055747 · doc4.xml · nonDerivative · entry 1 Kleinman Adam M · CIK 0001715823 · Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,764.7507 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 21, 2020 Filed Oct 24, 2020 01:02 UTC |
Davis KeriCFO and Treasurer
|
GrantCommon Stock | 18.2912 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055744 · doc4.xml · nonDerivative · entry 1 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,132.3825 F1 · kind: Shares acquired as a result of a stock dividend. Read SEC document |
| October 01, 2020 Filed Oct 1, 2020 17:48 UTC |
Forest Investments, Inc.10% owner
|
OtherCommon Stock | 863,337 | $2.95 | $2,546,844.15 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 13 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,108,769 F4 · shares: Reflects additional shares of Common Stock acquired by GEC in connection with the Issuer's rights offering pursuant to the over-subscription privilege. Read SEC document |
| October 01, 2020 Filed Oct 1, 2020 21:34 UTC |
Reed Peter ADirector · President and CEO
|
OtherCommon Stock | 56,239 | $2.95 | $165,905.05 |
DisclosureSEC source: 0001209191-20-052692 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,851 F2 · shares: Reflects additional shares of Common Stock acquired by the Reporting Person in connection with the Issuer's rights offering pursuant to the over-subscription privilege. Read SEC document |
| October 01, 2020 Filed Oct 1, 2020 21:31 UTC |
Davis KeriCFO and Treasurer
|
OtherCommon Stock | 800 | $2.95 | $2,360.00 |
DisclosureSEC source: 0001209191-20-052690 · doc4.xml · nonDerivative · entry 2 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,114.0913 F2 · shares: Reflects additional shares of Common Stock acquired by the Reporting Person in connection with the Issuer's rights offering pursuant to the over-subscription privilege. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:48 UTC |
Forest Investments, Inc.10% owner
|
OtherSubscription Rights · Derivative | 151,894 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · derivative · entry 15 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 0 Underlying: Common Stock · 151,894 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:48 UTC |
Forest Investments, Inc.10% owner
|
OtherSubscription Rights · Derivative | 2,103,194 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · derivative · entry 14 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,103,194 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:48 UTC |
Forest Investments, Inc.10% owner
|
OtherCommon Stock | 151,894 | $2.95 | $448,087.30 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 12 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Great Elm Opportunities Fund I, LP Disclosed balance after: 400,551 F3 · shares: On September 28, 2020, Great Elm Opportunities Fund I, LP ("GEOF") exercised certain of its primary subscription rights (each 1 subscription right entitling GEOF to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the September 4, 2020 record date for the rights offering. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:48 UTC |
Forest Investments, Inc.10% owner
|
OtherCommon Stock | 2,103,194 | $2.95 | $6,204,422.30 |
DisclosureSEC source: 0001209191-20-052707 · doc4.xml · nonDerivative · entry 11 Great Elm Capital Group, Inc. · CIK 0001082506 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,245,432 F2 · shares: On September 28, 2020, Great Elm Capital Group, Inc. ("GEC") exercised in full its primary subscription rights (each 1 subscription right entitling GEC to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the September 4, 2020 record date for the rights offering. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:36 UTC |
Horsey Randall RevellDirector
|
OtherSubscription Rights · Derivative | 10,000 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052694 · doc4.xml · derivative · entry 2 Horsey Randall Revell · CIK 0001729151 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:36 UTC |
Horsey Randall RevellDirector
|
OtherCommon Stock | 10,000 | $2.95 | $29,500.00 |
DisclosureSEC source: 0001209191-20-052694 · doc4.xml · nonDerivative · entry 1 Horsey Randall Revell · CIK 0001729151 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,091.9201 F1 · shares: On September 28, 2020, the Reporting Person exercised certain of his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the September 4, 2020 record date for the rights offering. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:38 UTC |
Kuperschmid MarkDirector
|
OtherSubscription Rights · Derivative | 12,000 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052696 · doc4.xml · derivative · entry 2 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:38 UTC |
Kuperschmid MarkDirector
|
OtherCommon Stock | 12,000 | $2.95 | $35,400.00 |
DisclosureSEC source: 0001209191-20-052696 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 33,417 F1 · shares: On September 28, 2020, the Reporting Person exercised certain of his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the September 4, 2020 record date for the rights offering. F2 · balance_after: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:45 UTC |
STUART JOHN EDWARDDirector
|
OtherSubscription Rights · Derivative | 5,773 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052705 · doc4.xml · derivative · entry 6 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,773 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:45 UTC |
STUART JOHN EDWARDDirector
|
OtherCommon Stock | 5,773 | $2.95 | $17,030.35 |
DisclosureSEC source: 0001209191-20-052705 · doc4.xml · nonDerivative · entry 1 STUART JOHN EDWARD · CIK 0001498701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,871 F1 · shares: On September 28, 2020, the Reporting Person exercised certain of his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the September 4, 2020 record date for the rights offering. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:40 UTC |
Speller Michael CDirector
|
OtherSubscription Rights · Derivative | 16,937 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052699 · doc4.xml · derivative · entry 2 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,937 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:40 UTC |
Speller Michael CDirector
|
OtherCommon Stock | 16,937 | $2.95 | $49,964.15 |
DisclosureSEC source: 0001209191-20-052699 · doc4.xml · nonDerivative · entry 1 Speller Michael C · CIK 0001719962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,113 F1 · shares: On September 28, 2020, the Reporting Person exercised in full his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the September 4, 2020 record date for the rights offering. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:34 UTC |
Reed Peter ADirector · President and CEO
|
OtherSubscription Rights · Derivative | 92,448 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052692 · doc4.xml · derivative · entry 3 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 92,448 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:34 UTC |
Reed Peter ADirector · President and CEO
|
OtherCommon Stock | 92,448 | $2.95 | $272,721.60 |
DisclosureSEC source: 0001209191-20-052692 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,612 F1 · shares: On September 28, 2020, the Reporting Person exercised in full his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the September 4, 2020 record date for the rights offering. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 21:31 UTC |
Davis KeriCFO and Treasurer
|
OtherSubscription Rights · Derivative | 651 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052690 · doc4.xml · derivative · entry 3 Davis Keri · CIK 0001770670 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 651 shares Expires 2020-09-28 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.