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GOGO

Gogo Inc.

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5812
SEC CIK
0001537054
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764

Last 12 months

Inside the activity.

8 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202540
Dec 202520
Jan 202600
Feb 202600
Mar 202620
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 30, 2020 Filed Dec 2, 2020 21:07 UTC
COBIN JONATHAN BEVP, Chief Strategy Officer
Exercise / conversionRestricted Stock Units · Derivative 55,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-061127 · doc4.xml · derivative · entry 3

COBIN JONATHAN B · CIK 0001579480 · EVP, Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common Stock · 55,250 shares

Expires not disclosed

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_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On December 1, 2020, the Company sold its commercial aviation division to a subsidiary of Intelsat S.A. ("Buyer"). Upon the closing of the sale, Mr. Cobin ceased to be employed by the Company and became an employee of Buyer. These restricted stock units will vest upon the earlier of (i) December 1, 2021 and (ii) the date of Mr. Cobin's termination of employment by Buyer as a result of death, Disability, or termination without Cause or his resignation for Good Reason; provided, however, that such vesting shall not apply if Mr. Cobin is terminated for Cause or resigns without Good Reason (including, for the avoidance of doubt, his Retirement) prior to December 1, 2021 which, in each case, shall result in the forfeiture of such restricted stock units as of such time.

F2 · derivative.expiration_date: On December 1, 2020, the Company sold its commercial aviation division to a subsidiary of Intelsat S.A. ("Buyer"). Upon the closing of the sale, Mr. Cobin ceased to be employed by the Company and became an employee of Buyer. These restricted stock units will vest upon the earlier of (i) December 1, 2021 and (ii) the date of Mr. Cobin's termination of employment by Buyer as a result of death, Disability, or termination without Cause or his resignation for Good Reason; provided, however, that such vesting shall not apply if Mr. Cobin is terminated for Cause or resigns without Good Reason (including, for the avoidance of doubt, his Retirement) prior to December 1, 2021 which, in each case, shall result in the forfeiture of such restricted stock units as of such time.

Read SEC document
November 30, 2020 Filed Dec 2, 2020 21:07 UTC
COBIN JONATHAN BEVP, Chief Strategy Officer
Tax withholdingCommon Stock 16,699 $10.54 $176,007.46
Disclosure

SEC source: 0001209191-20-061127 · doc4.xml · nonDerivative · entry 2

COBIN JONATHAN B · CIK 0001579480 · EVP, Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,423

Read SEC document
November 30, 2020 Filed Dec 2, 2020 21:07 UTC
COBIN JONATHAN BEVP, Chief Strategy Officer
Exercise / conversionCommon Stock 55,250 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-061127 · doc4.xml · nonDerivative · entry 1

COBIN JONATHAN B · CIK 0001579480 · EVP, Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,122

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
November 24, 2020 Filed Nov 25, 2020 22:08 UTC
Mudrick Jason10% owner
SaleCall Options (obligation to sell at purchaser's option) · Derivative 3,078 $1.21 Strike: $11.00 $3,731.15
Disclosure

SEC source: 0000921895-20-003121 · form411509006_11252020.xml · derivative · entry 7

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,078

Underlying: Common Stock, par value $0.0001 per share · 307,800 shares

Expires 2021-01-15

F6 · derivative.exercise_date: Such options are exercisable as of November 24, 2020 and were immediately exercisable upon their acquisition.

F2 · derivative.underlying: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.direct: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 24, 2020 Filed Nov 25, 2020 22:08 UTC
Mudrick Jason10% owner
SaleCall Options (obligation to sell at purchaser's option) · Derivative 5,000 $1.48 Strike: $10.00 $7,410.50
Disclosure

SEC source: 0000921895-20-003121 · form411509006_11252020.xml · derivative · entry 6

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,000

Underlying: Common Stock, par value $0.0001 per share · 500,000 shares

Expires 2021-01-15

F6 · derivative.exercise_date: Such options are exercisable as of November 24, 2020 and were immediately exercisable upon their acquisition.

F2 · derivative.underlying: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.direct: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 24, 2020 Filed Nov 25, 2020 22:08 UTC
Mudrick Jason10% owner
SaleCommon Stock, par value $0.0001 per share 350,000 $10.25 $3,587,500.00
Disclosure

SEC source: 0000921895-20-003121 · form411509006_11252020.xml · nonDerivative · entry 4

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,066,076

F1 · security: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F1 · balance_after: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 24, 2020 Filed Nov 25, 2020 22:08 UTC
Mudrick Jason10% owner
SaleCommon Stock, par value $0.0001 per share 272,898 $10.48 $2,860,953.47
Disclosure

SEC source: 0000921895-20-003121 · form411509006_11252020.xml · nonDerivative · entry 3

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,416,076

F1 · security: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F4 · price: The price reported is a weighted average price. The Common Stock was disposed of in multiple transactions at prices ranging from $10.1200 to $10.9950, inclusive. The Reporting Persons undertake 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 of Common Stock sold at each separate price within the ranges set forth in this footnote.

F1 · balance_after: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 23, 2020 Filed Nov 25, 2020 22:08 UTC
Mudrick Jason10% owner
SaleCall Options (obligation to sell at purchaser's option) · Derivative 7,248 $1.20 Strike: $10.00 $8,678.03
Disclosure

SEC source: 0000921895-20-003121 · form411509006_11252020.xml · derivative · entry 5

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,248

Underlying: Common Stock, par value $0.0001 per share · 724,800 shares

Expires 2021-01-15

F5 · derivative.exercise_date: Such options are exercisable as of November 23, 2020 and were immediately exercisable upon their acquisition.

F2 · derivative.underlying: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.direct: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 23, 2020 Filed Nov 25, 2020 22:08 UTC
Mudrick Jason10% owner
SaleCommon Stock, par value $0.0001 per share 150,000 $10.00 $1,500,000.00
Disclosure

SEC source: 0000921895-20-003121 · form411509006_11252020.xml · nonDerivative · entry 2

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,688,974

F1 · security: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F1 · balance_after: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 23, 2020 Filed Nov 25, 2020 22:08 UTC
Mudrick Jason10% owner
SaleCommon Stock, par value $0.0001 per share 420,000 $10.02 $4,209,576.00
Disclosure

SEC source: 0000921895-20-003121 · form411509006_11252020.xml · nonDerivative · entry 1

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,838,974

F1 · security: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F3 · price: The price reported is a weighted average price. The Common Stock was disposed of in multiple transactions at prices ranging from $9.7200 to $10.2550, inclusive. The Reporting Persons undertake 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 of Common Stock sold at each separate price within the ranges set forth in this footnote.

F1 · balance_after: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 20, 2020 Filed Nov 21, 2020 01:09 UTC
Mudrick Jason10% owner
Sale6.00% CONVERTIBLE SENIOR NOTES DUE 2022 · Derivative 2,895,000 $169.00 $489,255,000.00
Disclosure

SEC source: 0000921895-20-003089 · form411509006_11202020.xml · derivative · entry 8

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,849,000

Underlying: Common Stock, par value $0.0001 per share · 482,500 shares

Expires 2022-05-15

F8 · derivative.exercise_price: The initial conversion rate of the Notes is 166.6667 shares of common stock per $1,000 principal amount of Notes, which corresponds to an initial conversion price of approximately $6.00 per share and represents a conversion premium of approximately 20.0% over the last reported sale price of the Company's common stock of $5.00 per share on The NASDAQ Global Select Market on November 16, 2018. The Notes will be convertible prior to January 15, 2022, only under certain circumstances (as set forth in the Indenture) and thereafter at any time.

F8 · derivative.exercise_date: The initial conversion rate of the Notes is 166.6667 shares of common stock per $1,000 principal amount of Notes, which corresponds to an initial conversion price of approximately $6.00 per share and represents a conversion premium of approximately 20.0% over the last reported sale price of the Company's common stock of $5.00 per share on The NASDAQ Global Select Market on November 16, 2018. The Notes will be convertible prior to January 15, 2022, only under certain circumstances (as set forth in the Indenture) and thereafter at any time.

F2 · derivative.underlying: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F9 · balance_after: The Notes will bear interest at a rate of 6.00% per year, payable semi-annually in arrears on May 15 and November 15 of each year, beginning on May 15, 2019. The Notes will mature on May 15, 2022, unless earlier repurchased by the Company or converted.

F2 · ownership.direct: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 20, 2020 Filed Nov 21, 2020 01:09 UTC
Mudrick Jason10% owner
SaleCommon Stock, par value $0.0001 per share 20,650 $9.91 $204,569.23
Disclosure

SEC source: 0000921895-20-003089 · form411509006_11202020.xml · nonDerivative · entry 3

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 8,258,974

F1 · security: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F5 · price: The price reported is a weighted average price. The Common Stock was disposed of in multiple transactions at prices ranging from $9.8150 to $10.0500, inclusive. The Reporting Persons undertake 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 of Common Stock sold at each separate price within the ranges set forth in this footnote.

F1 · balance_after: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 19, 2020 Filed Nov 21, 2020 01:09 UTC
Mudrick Jason10% owner
Sale6.00% CONVERTIBLE SENIOR NOTES DUE 2022 · Derivative 400,000 $175.01 $70,002,320.00
Disclosure

SEC source: 0000921895-20-003089 · form411509006_11202020.xml · derivative · entry 7

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 9,744,000

Underlying: Common Stock, par value $0.0001 per share · 66,667 shares

Expires 2022-05-15

F8 · derivative.exercise_price: The initial conversion rate of the Notes is 166.6667 shares of common stock per $1,000 principal amount of Notes, which corresponds to an initial conversion price of approximately $6.00 per share and represents a conversion premium of approximately 20.0% over the last reported sale price of the Company's common stock of $5.00 per share on The NASDAQ Global Select Market on November 16, 2018. The Notes will be convertible prior to January 15, 2022, only under certain circumstances (as set forth in the Indenture) and thereafter at any time.

F8 · derivative.exercise_date: The initial conversion rate of the Notes is 166.6667 shares of common stock per $1,000 principal amount of Notes, which corresponds to an initial conversion price of approximately $6.00 per share and represents a conversion premium of approximately 20.0% over the last reported sale price of the Company's common stock of $5.00 per share on The NASDAQ Global Select Market on November 16, 2018. The Notes will be convertible prior to January 15, 2022, only under certain circumstances (as set forth in the Indenture) and thereafter at any time.

F2 · derivative.underlying: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F9 · balance_after: The Notes will bear interest at a rate of 6.00% per year, payable semi-annually in arrears on May 15 and November 15 of each year, beginning on May 15, 2019. The Notes will mature on May 15, 2022, unless earlier repurchased by the Company or converted.

F2 · ownership.direct: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 19, 2020 Filed Nov 21, 2020 01:09 UTC
Mudrick Jason10% owner
SaleCall Options (obligation to sell at purchaser's option) · Derivative 3,000 $1.36 Strike: $10.00 $4,074.90
Disclosure

SEC source: 0000921895-20-003089 · form411509006_11202020.xml · derivative · entry 6

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,000

Underlying: Common Stock, par value $0.0001 per share · 300,000 shares

Expires 2021-01-15

F7 · derivative.exercise_date: Such options are exercisable as of November 19, 2020 and were immediately exercisable upon their acquisition.

F2 · derivative.underlying: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.direct: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 19, 2020 Filed Nov 21, 2020 01:09 UTC
Mudrick Jason10% owner
SaleCommon Stock, par value $0.0001 per share 213,390 $9.97 $2,126,644.74
Disclosure

SEC source: 0000921895-20-003089 · form411509006_11202020.xml · nonDerivative · entry 2

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 8,279,624

F1 · security: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F4 · price: The price reported is a weighted average price. The Common Stock was disposed of in multiple transactions at prices ranging from $9.7650 to $10.2100, inclusive. The Reporting Persons undertake 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 of Common Stock sold at each separate price within the ranges set forth in this footnote.

F1 · balance_after: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 18, 2020 Filed Nov 21, 2020 01:09 UTC
Mudrick Jason10% owner
SaleCall Options (obligation to sell at purchaser's option) · Derivative 2,503 $1.00 Strike: $12.00 $2,503.25
Disclosure

SEC source: 0000921895-20-003089 · form411509006_11202020.xml · derivative · entry 5

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,503

Underlying: Common Stock, par value $0.0001 per share · 250,300 shares

Expires 2021-01-15

F6 · derivative.exercise_date: Such options are exercisable as of November 18, 2020 and were immediately exercisable upon their acquisition.

F2 · derivative.underlying: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.direct: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 18, 2020 Filed Nov 21, 2020 01:09 UTC
Mudrick Jason10% owner
SaleCall Options (obligation to sell at purchaser's option) · Derivative 2,000 $1.40 Strike: $11.00 $2,800.00
Disclosure

SEC source: 0000921895-20-003089 · form411509006_11202020.xml · derivative · entry 4

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,000

Underlying: Common Stock, par value $0.0001 per share · 200,000 shares

Expires 2021-01-15

F6 · derivative.exercise_date: Such options are exercisable as of November 18, 2020 and were immediately exercisable upon their acquisition.

F2 · derivative.underlying: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.direct: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 18, 2020 Filed Nov 21, 2020 01:09 UTC
Mudrick Jason10% owner
SaleCommon Stock, par value $0.0001 per share 233,800 $10.44 $2,440,310.88
Disclosure

SEC source: 0000921895-20-003089 · form411509006_11202020.xml · nonDerivative · entry 1

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Distressed Opportunity Specialty Fund, L.P. · CIK 0001656061 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II, L.P. · CIK 0001763080 · 10% owner

Mudrick Distressed Opportunity Fund Global, LP · CIK 0001813628 · 10% owner

Mudrick GP, LLC · CIK 0001656059 · 10% owner

Mudrick Distressed Opportunity Drawdown Fund II GP, LLC · CIK 0001813765 · 10% owner

Mudrick Capital Management LLC · CIK 0001730922 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 8,493,014

F1 · security: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F3 · price: The price reported is a weighted average price. The Common Stock was disposed of in multiple transactions at prices ranging from $10.0400 to $11.0250, inclusive. The Reporting Persons undertake 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 of Common Stock sold at each separate price within the ranges set forth in this footnote.

F1 · balance_after: This Form 4 is filed jointly by Mudrick Distressed Opportunity Specialty Fund, L.P. ("Specialty LP"), Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Specialty LP and Global LP and may be deemed the beneficial owner of the securities beneficially owned by Specialty LP and Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed the beneficial owner of the securities beneficially owned by Drawdown II LP. MCM is the investment manager to Specialty LP, Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be deemed the beneficial owner of the securities beneficially owned by Specialty LP, Drawdown II LP, Global LP and certain managed accounts.

Read SEC document
November 13, 2020 Filed Nov 17, 2020 16:41 UTC
WADE JOHNPresident, CA division
SaleCommon Stock 9,982 $10.41 $103,925.60
Disclosure

SEC source: 0001209191-20-058617 · doc4.xml · nonDerivative · entry 1

WADE JOHN · CIK 0001579578 · President, CA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,552

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.41 to $10.42, 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 at each separate price within the range set forth in this footnote.

Read SEC document
November 13, 2020 Filed Nov 17, 2020 16:39 UTC
Aguirre Sergio A.President, BA division
SaleCommon Stock 32,152 $10.40 $334,380.80
Disclosure

SEC source: 0001209191-20-058616 · doc4.xml · nonDerivative · entry 1

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
September 30, 2020 Filed Oct 2, 2020 12:41 UTC GrantOptions (Right to Buy) · Derivative 2,490 $0.00 Strike: $9.24 $0.00
Disclosure

SEC source: 0001209191-20-052945 · doc4.xml · derivative · entry 2

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,490

Underlying: Common Stock · 2,490 shares

Expires 2030-09-30

F3 · derivative.exercise_date: These options were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 12:41 UTC GrantDeferred Share Units · Derivative 3,294 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052945 · doc4.xml · derivative · entry 1

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,749

Underlying: Common Stock · 3,294 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 12:39 UTC GrantOptions (Right to Buy) · Derivative 3,686 $0.00 Strike: $9.24 $0.00
Disclosure

SEC source: 0001209191-20-052942 · doc4.xml · derivative · entry 2

LEMAY RONALD T · CIK 0001104293 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,686

Underlying: Common Stock · 3,686 shares

Expires 2030-09-30

F3 · derivative.exercise_date: These options were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 12:39 UTC GrantDeferred Share Units · Derivative 2,272 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052942 · doc4.xml · derivative · entry 1

LEMAY RONALD T · CIK 0001104293 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,559

Underlying: Common Stock · 2,272 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 16:42 UTC GrantOptions (Right to Buy) · Derivative 4,168 $0.00 Strike: $9.24 $0.00
Disclosure

SEC source: 0001209191-20-052946 · doc4.xml · derivative · entry 2

Payne Christopher D · CIK 0001612163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,168

Underlying: Common Stock · 4,168 shares

Expires 2030-09-30

F3 · derivative.exercise_date: These options were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 16:42 UTC GrantDeferred Share Units · Derivative 1,975 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052946 · doc4.xml · derivative · entry 1

Payne Christopher D · CIK 0001612163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,418

Underlying: Common Stock · 1,975 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 16:38 UTC
JONES HUGH WDirector
GrantOptions (Right to Buy) · Derivative 2,918 $0.00 Strike: $9.24 $0.00
Disclosure

SEC source: 0001209191-20-052941 · doc4.xml · derivative · entry 2

JONES HUGH W · CIK 0001182420 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,918

Underlying: Common Stock · 2,918 shares

Expires 2030-09-30

F3 · derivative.exercise_date: These options were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 16:38 UTC
JONES HUGH WDirector
GrantDeferred Share Units · Derivative 1,799 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052941 · doc4.xml · derivative · entry 1

JONES HUGH W · CIK 0001182420 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,937

Underlying: Common Stock · 1,799 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 16:40 UTC GrantOptions (Right to Buy) · Derivative 4,168 $0.00 Strike: $9.24 $0.00
Disclosure

SEC source: 0001209191-20-052943 · doc4.xml · derivative · entry 2

MAYES MICHELE COLEMAN · CIK 0001224609 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,168

Underlying: Common Stock · 4,168 shares

Expires 2030-09-30

F3 · derivative.exercise_date: These options were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 16:40 UTC GrantDeferred Share Units · Derivative 2,164 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052943 · doc4.xml · derivative · entry 1

MAYES MICHELE COLEMAN · CIK 0001224609 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,239

Underlying: Common Stock · 2,164 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 12:37 UTC GrantOptions (Right to Buy) · Derivative 4,168 $0.00 Strike: $9.24 $0.00
Disclosure

SEC source: 0001209191-20-052940 · doc4.xml · derivative · entry 2

CRANDALL ROBERT L · CIK 0001206595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,168

Underlying: Common Stock · 4,168 shares

Expires 2030-09-30

F3 · derivative.exercise_date: These options were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 12:37 UTC GrantDeferred Share Units · Derivative 1,975 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052940 · doc4.xml · derivative · entry 1

CRANDALL ROBERT L · CIK 0001206595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,619

Underlying: Common Stock · 1,975 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 16:44 UTC GrantOptions (Right to Buy) · Derivative 2,918 $0.00 Strike: $9.24 $0.00
Disclosure

SEC source: 0001209191-20-052948 · doc4.xml · derivative · entry 2

WILLIAMS HARRIS N · CIK 0001579625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,918

Underlying: Common Stock · 2,918 shares

Expires 2030-09-30

F3 · derivative.exercise_date: These options were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 16:44 UTC GrantDeferred Share Units · Derivative 1,799 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052948 · doc4.xml · derivative · entry 1

WILLIAMS HARRIS N · CIK 0001579625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,418

Underlying: Common Stock · 1,799 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 16:43 UTC GrantOptions (Right to Buy) · Derivative 4,168 $0.00 Strike: $9.24 $0.00
Disclosure

SEC source: 0001209191-20-052947 · doc4.xml · derivative · entry 2

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,168

Underlying: Common Stock · 4,168 shares

Expires 2030-09-30

F3 · derivative.exercise_date: These options were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 16:43 UTC GrantDeferred Share Units · Derivative 1,975 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052947 · doc4.xml · derivative · entry 1

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,875

Underlying: Common Stock · 1,975 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on September 30, 2020, and are scheduled to vest on September 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

Read SEC document
September 04, 2020 Filed Sep 10, 2020 00:31 UTC PurchaseCommon Stock 43,246 $9.41 $406,944.86
Disclosure

SEC source: 0000899243-20-024809 · doc4.xml · nonDerivative · entry 3

Silver (Equity) Holdings, LP · CIK 0001823992 · 10% owner

GTCR Partners XII/A&C LP · CIK 0001823990 · 10% owner

GTCR Investment XII LLC · CIK 0001823989 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 12,674,482

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $9.32 to $9.50, inclusive. The reporting persons undertake 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 purchased at each separate price within the range set forth above.

F4 · ownership.nature: Reflects securities held directly by Silver (Equity) Holdings, LP. GTCR Partners XII/A&C LP is the general partner of Silver (Equity) Holdings, LP. GTCR Investment XII LLC is the general partner of GTCR Partners XII/A&C LP. GTCR Investment XII LLC is managed by a ten-member board of managers (the "GTCR Board of Managers").

F5 · ownership.nature: Each of the reporting persons and the individual members of the GTCR Board of Managers disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

Read SEC document
September 04, 2020 Filed Sep 10, 2020 00:31 UTC PurchaseCommon Stock 1,059,691 $10.46 $11,084,367.86
Disclosure

SEC source: 0000899243-20-024809 · doc4.xml · nonDerivative · entry 2

Silver (Equity) Holdings, LP · CIK 0001823992 · 10% owner

GTCR Partners XII/A&C LP · CIK 0001823990 · 10% owner

GTCR Investment XII LLC · CIK 0001823989 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 12,631,236

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $10.32 to $10.50, inclusive. The reporting persons undertake 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 purchased at each separate price within the range set forth above.

F4 · ownership.nature: Reflects securities held directly by Silver (Equity) Holdings, LP. GTCR Partners XII/A&C LP is the general partner of Silver (Equity) Holdings, LP. GTCR Investment XII LLC is the general partner of GTCR Partners XII/A&C LP. GTCR Investment XII LLC is managed by a ten-member board of managers (the "GTCR Board of Managers").

F5 · ownership.nature: Each of the reporting persons and the individual members of the GTCR Board of Managers disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

Read SEC document
September 04, 2020 Filed Sep 10, 2020 00:31 UTC PurchaseCommon Stock 1,503,422 $9.94 $14,944,014.68
Disclosure

SEC source: 0000899243-20-024809 · doc4.xml · nonDerivative · entry 1

Silver (Equity) Holdings, LP · CIK 0001823992 · 10% owner

GTCR Partners XII/A&C LP · CIK 0001823990 · 10% owner

GTCR Investment XII LLC · CIK 0001823989 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 11,571,545

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $9.315 to $10.31, inclusive. The reporting persons undertake 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 purchased at each separate price within the range set forth above.

F4 · ownership.nature: Reflects securities held directly by Silver (Equity) Holdings, LP. GTCR Partners XII/A&C LP is the general partner of Silver (Equity) Holdings, LP. GTCR Investment XII LLC is the general partner of GTCR Partners XII/A&C LP. GTCR Investment XII LLC is managed by a ten-member board of managers (the "GTCR Board of Managers").

F5 · ownership.nature: Each of the reporting persons and the individual members of the GTCR Board of Managers disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

Read SEC document
September 02, 2020 Filed Sep 4, 2020 10:34 UTC
Elias Marguerite MEVP, Gen Counsel and Secy
SaleCommon Stock 18,371 $9.52 $174,844.16
Disclosure

SEC source: 0001209191-20-049588 · doc4.xml · nonDerivative · entry 1

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,848

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.49 to $9.56, 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 at each separate price within the range set forth in this footnote.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 13:18 UTC
Elias Marguerite MEVP, Gen Counsel and Secy
Exercise / conversionRestricted Stock Units · Derivative 17,112 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-044625 · doc4.xml · derivative · entry 3

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,112 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On July 31, 2018, the reporting person was granted 17,112 restricted stock units, fully vesting on July 31, 2020

F3 · derivative.expiration_date: On July 31, 2018, the reporting person was granted 17,112 restricted stock units, fully vesting on July 31, 2020

Read SEC document
July 31, 2020 Filed Aug 4, 2020 13:18 UTC
Elias Marguerite MEVP, Gen Counsel and Secy
Tax withholdingCommon Stock 5,013 $2.91 $14,587.83
Disclosure

SEC source: 0001209191-20-044625 · doc4.xml · nonDerivative · entry 2

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,219

F1 · security: Includes restricted shares.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 13:18 UTC
Elias Marguerite MEVP, Gen Counsel and Secy
Exercise / conversionCommon Stock 17,112 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-044625 · doc4.xml · nonDerivative · entry 1

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,232

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 · security: Includes restricted shares.

F2 · price: Restricted stock units convert into common stock on a one-for-one basis.

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July 31, 2020 Filed Aug 4, 2020 13:20 UTC
ROWAN BARRY LEVP and CFO
Exercise / conversionRestricted Stock Units · Derivative 24,064 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-044627 · doc4.xml · derivative · entry 2

ROWAN BARRY L · CIK 0001253821 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,064 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On July 31, 2018, the reporting person was granted 24,064 restricted stock units, fully vesting on July 31, 2020

F3 · derivative.expiration_date: On July 31, 2018, the reporting person was granted 24,064 restricted stock units, fully vesting on July 31, 2020

Read SEC document
July 31, 2020 Filed Aug 4, 2020 13:20 UTC
ROWAN BARRY LEVP and CFO
Exercise / conversionCommon Stock 24,064 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-044627 · doc4.xml · nonDerivative · entry 1

ROWAN BARRY L · CIK 0001253821 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,917

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 · security: Includes restricted shares.

F2 · price: Restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 17:21 UTC
WADE JOHNPresident, CA division
Exercise / conversionRestricted Stock Units · Derivative 21,390 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-044628 · doc4.xml · derivative · entry 3

WADE JOHN · CIK 0001579578 · President, CA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,390 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On July 31, 2018, the reporting person was granted 21,390 restricted stock units, fully vesting on July 31, 2020

F3 · derivative.expiration_date: On July 31, 2018, the reporting person was granted 21,390 restricted stock units, fully vesting on July 31, 2020

Read SEC document
July 31, 2020 Filed Aug 4, 2020 17:21 UTC
WADE JOHNPresident, CA division
Tax withholdingCommon Stock 6,267 $2.91 $18,236.97
Disclosure

SEC source: 0001209191-20-044628 · doc4.xml · nonDerivative · entry 2

WADE JOHN · CIK 0001579578 · President, CA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,534

F1 · security: Includes restricted shares.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 17:21 UTC
WADE JOHNPresident, CA division
Exercise / conversionCommon Stock 21,390 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-044628 · doc4.xml · nonDerivative · entry 1

WADE JOHN · CIK 0001579578 · President, CA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,801

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 · security: Includes restricted shares.

F2 · price: Restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 17:19 UTC
Jackson KarenEVP, Chief People Exp. Officer
Exercise / conversionRestricted Stock Units · Derivative 15,241 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-044626 · doc4.xml · derivative · entry 3

Jackson Karen · CIK 0001634791 · EVP, Chief People Exp. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,241 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On July 31, 2018, the reporting person was granted 15,241 restricted stock units, fully vesting on July 31, 2020

F3 · derivative.expiration_date: On July 31, 2018, the reporting person was granted 15,241 restricted stock units, fully vesting on July 31, 2020

Read SEC document
July 31, 2020 Filed Aug 4, 2020 17:19 UTC
Jackson KarenEVP, Chief People Exp. Officer
Tax withholdingCommon Stock 4,465 $2.91 $12,993.15
Disclosure

SEC source: 0001209191-20-044626 · doc4.xml · nonDerivative · entry 2

Jackson Karen · CIK 0001634791 · EVP, Chief People Exp. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,524

F1 · security: Includes restricted shares.

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.