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Nasdaq · USD

GOGO

Gogo Inc.

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5812
SEC CIK
0001537054
Parsed reports
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.
Monthly counts
MonthPurchasesSales
Nov 202540
Dec 202520
Jan 202600
Feb 202600
Mar 202620
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

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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
December 31, 2019 Filed Jan 3, 2020 15:55 UTC GrantDeferred Share Units · Derivative 4,687 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000744 · doc4.xml · derivative · entry 1

LEMAY RONALD T · CIK 0001104293 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,492

Underlying: Common Stock · 4,687 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
December 31, 2019 Filed Jan 3, 2020 20:58 UTC GrantOptions (Right to Buy) · Derivative 6,889 $0.00 Strike: $6.40 $0.00
Disclosure

SEC source: 0001209191-20-000749 · doc4.xml · derivative · entry 2

Payne Christopher D · CIK 0001612163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,889

Underlying: Common Stock · 6,889 shares

Expires 2029-12-31

Read SEC document
December 31, 2019 Filed Jan 3, 2020 20:58 UTC GrantDeferred Share Units · Derivative 5,664 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000749 · doc4.xml · derivative · entry 1

Payne Christopher D · CIK 0001612163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,569

Underlying: Common Stock · 5,664 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
December 31, 2019 Filed Jan 3, 2020 20:50 UTC
JONES HUGH WDirector
GrantOptions (Right to Buy) · Derivative 6,889 $0.00 Strike: $6.40 $0.00
Disclosure

SEC source: 0001209191-20-000734 · doc4.xml · derivative · entry 2

JONES HUGH W · CIK 0001182420 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,889

Underlying: Common Stock · 6,889 shares

Expires 2029-12-31

Read SEC document
December 31, 2019 Filed Jan 3, 2020 20:50 UTC
JONES HUGH WDirector
GrantDeferred Share Units · Derivative 5,664 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000734 · doc4.xml · derivative · entry 1

JONES HUGH W · CIK 0001182420 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,675

Underlying: Common Stock · 5,664 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:05 UTC GrantOptions (Right to Buy) · Derivative 6,889 $0.00 Strike: $6.40 $0.00
Disclosure

SEC source: 0001209191-20-000775 · doc4.xml · derivative · entry 2

MAYES MICHELE COLEMAN · CIK 0001224609 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,889

Underlying: Common Stock · 6,889 shares

Expires 2029-12-31

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:05 UTC GrantDeferred Share Units · Derivative 6,054 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000775 · doc4.xml · derivative · entry 1

MAYES MICHELE COLEMAN · CIK 0001224609 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,468

Underlying: Common Stock · 6,054 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
December 31, 2019 Filed Jan 3, 2020 15:48 UTC GrantOptions (Right to Buy) · Derivative 6,889 $0.00 Strike: $6.40 $0.00
Disclosure

SEC source: 0001209191-20-000733 · doc4.xml · derivative · entry 2

CRANDALL ROBERT L · CIK 0001206595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,889

Underlying: Common Stock · 6,889 shares

Expires 2029-12-31

Read SEC document
December 31, 2019 Filed Jan 3, 2020 15:48 UTC GrantDeferred Share Units · Derivative 5,664 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000733 · doc4.xml · derivative · entry 1

CRANDALL ROBERT L · CIK 0001206595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,770

Underlying: Common Stock · 5,664 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:00 UTC GrantOptions (Right to Buy) · Derivative 6,889 $0.00 Strike: $6.40 $0.00
Disclosure

SEC source: 0001209191-20-000752 · doc4.xml · derivative · entry 2

WILLIAMS HARRIS N · CIK 0001579625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,889

Underlying: Common Stock · 6,889 shares

Expires 2029-12-31

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:00 UTC GrantDeferred Share Units · Derivative 5,664 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000752 · doc4.xml · derivative · entry 1

WILLIAMS HARRIS N · CIK 0001579625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,156

Underlying: Common Stock · 5,664 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
December 31, 2019 Filed Jan 3, 2020 20:59 UTC GrantOptions (Right to Buy) · Derivative 6,889 $0.00 Strike: $6.40 $0.00
Disclosure

SEC source: 0001209191-20-000750 · doc4.xml · derivative · entry 2

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,889

Underlying: Common Stock · 6,889 shares

Expires 2029-12-31

Read SEC document
December 31, 2019 Filed Jan 3, 2020 20:59 UTC GrantDeferred Share Units · Derivative 5,664 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000750 · doc4.xml · derivative · entry 1

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,026

Underlying: Common Stock · 5,664 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
November 12, 2019 Filed Nov 14, 2019 17:41 UTC
Bayer Michael P.SVP, Controller & CAO
SaleCommon Stock 10,947 $6.45 $70,655.22
Disclosure

SEC source: 0001209191-19-056519 · doc4.xml · nonDerivative · entry 1

Bayer Michael P. · CIK 0001644203 · SVP, Controller & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,198

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.44 to $6.48, 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.

F2 · balance_after: These 1,198 shares were acquired under Gogo Inc.'s employee stock purchase plan in transactions that were exempt under Rule 16b-3(c).

Read SEC document
September 30, 2019 Filed Oct 2, 2019 16:09 UTC GrantOptions (Right to Buy) · Derivative 7,360 $0.00 Strike: $6.03 $0.00
Disclosure

SEC source: 0001209191-19-051627 · doc4.xml · derivative · entry 2

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,360

Underlying: Common Stock · 7,360 shares

Expires 2029-09-30

Read SEC document
September 30, 2019 Filed Oct 2, 2019 16:09 UTC GrantDeferred Share Units · Derivative 6,633 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-051627 · doc4.xml · derivative · entry 1

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,706

Underlying: Common Stock · 6,633 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
September 30, 2019 Filed Oct 2, 2019 16:07 UTC GrantOptions (Right to Buy) · Derivative 9,297 $0.00 Strike: $6.03 $0.00
Disclosure

SEC source: 0001209191-19-051615 · doc4.xml · derivative · entry 2

LEMAY RONALD T · CIK 0001104293 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,297

Underlying: Common Stock · 9,297 shares

Expires 2029-09-30

Read SEC document
September 30, 2019 Filed Oct 2, 2019 16:07 UTC GrantDeferred Share Units · Derivative 4,975 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-051615 · doc4.xml · derivative · entry 1

LEMAY RONALD T · CIK 0001104293 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,805

Underlying: Common Stock · 4,975 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:09 UTC GrantOptions (Right to Buy) · Derivative 7,360 $0.00 Strike: $6.03 $0.00
Disclosure

SEC source: 0001209191-19-051628 · doc4.xml · derivative · entry 2

Payne Christopher D · CIK 0001612163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,360

Underlying: Common Stock · 7,360 shares

Expires 2029-09-30

Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:09 UTC GrantDeferred Share Units · Derivative 6,011 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-051628 · doc4.xml · derivative · entry 1

Payne Christopher D · CIK 0001612163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,905

Underlying: Common Stock · 6,011 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:07 UTC
JONES HUGH WDirector
GrantOptions (Right to Buy) · Derivative 7,360 $0.00 Strike: $6.03 $0.00
Disclosure

SEC source: 0001209191-19-051612 · doc4.xml · derivative · entry 2

JONES HUGH W · CIK 0001182420 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,360

Underlying: Common Stock · 7,360 shares

Expires 2029-09-30

Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:07 UTC
JONES HUGH WDirector
GrantDeferred Share Units · Derivative 6,011 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-051612 · doc4.xml · derivative · entry 1

JONES HUGH W · CIK 0001182420 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,011

Underlying: Common Stock · 6,011 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:08 UTC GrantOptions (Right to Buy) · Derivative 7,360 $0.00 Strike: $6.03 $0.00
Disclosure

SEC source: 0001209191-19-051623 · doc4.xml · derivative · entry 2

MAYES MICHELE COLEMAN · CIK 0001224609 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,360

Underlying: Common Stock · 7,360 shares

Expires 2029-09-30

Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:08 UTC GrantDeferred Share Units · Derivative 6,426 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-051623 · doc4.xml · derivative · entry 1

MAYES MICHELE COLEMAN · CIK 0001224609 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,414

Underlying: Common Stock · 6,426 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
September 30, 2019 Filed Oct 2, 2019 16:06 UTC GrantOptions (Right to Buy) · Derivative 7,360 $0.00 Strike: $6.03 $0.00
Disclosure

SEC source: 0001209191-19-051607 · doc4.xml · derivative · entry 2

CRANDALL ROBERT L · CIK 0001206595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,360

Underlying: Common Stock · 7,360 shares

Expires 2029-09-30

Read SEC document
September 30, 2019 Filed Oct 2, 2019 16:06 UTC GrantDeferred Share Units · Derivative 6,011 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-051607 · doc4.xml · derivative · entry 1

CRANDALL ROBERT L · CIK 0001206595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,106

Underlying: Common Stock · 6,011 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:11 UTC GrantOptions (Right to Buy) · Derivative 7,360 $0.00 Strike: $6.03 $0.00
Disclosure

SEC source: 0001209191-19-051637 · doc4.xml · derivative · entry 2

WILLIAMS HARRIS N · CIK 0001579625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,360

Underlying: Common Stock · 7,360 shares

Expires 2029-09-30

Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:11 UTC GrantDeferred Share Units · Derivative 6,011 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-051637 · doc4.xml · derivative · entry 1

WILLIAMS HARRIS N · CIK 0001579625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,492

Underlying: Common Stock · 6,011 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:10 UTC GrantOptions (Right to Buy) · Derivative 7,360 $0.00 Strike: $6.03 $0.00
Disclosure

SEC source: 0001209191-19-051631 · doc4.xml · derivative · entry 2

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,360

Underlying: Common Stock · 7,360 shares

Expires 2029-09-30

Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:10 UTC GrantDeferred Share Units · Derivative 6,011 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-051631 · doc4.xml · derivative · entry 1

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,362

Underlying: Common Stock · 6,011 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
August 31, 2019 Filed Sep 4, 2019 20:05 UTC
Bayer Michael P.SVP, Controller & CAO
Tax withholdingCommon Stock 345 $4.02 $1,386.90
Disclosure

SEC source: 0001209191-19-048166 · doc4.xml · nonDerivative · entry 1

Bayer Michael P. · CIK 0001644203 · SVP, Controller & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,554

F1 · security: Includes restricted shares.

F2 · balance_after: Includes 5,155 shares acquired under Gogo Inc.'s employee stock purchase plan in transactions that were exempt under Rule 16b-3(c).

Read SEC document
August 30, 2019 Filed Sep 3, 2019 19:23 UTC PurchaseCommon Stock 7,400 $3.98 $29,444.60
Disclosure

SEC source: 0001209191-19-047937 · doc4.xml · nonDerivative · entry 2

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,399,467

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.95 to $4.00, inclusive. The reported 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: Reflects shares held by the Charles C. Townsend III Trust. Mr Townsend, as a co-trustee of the foregoing trust, may be deemed to have beneficial ownership of the shares held by the trust. Mr. Townsend disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

Read SEC document
August 29, 2019 Filed Sep 3, 2019 19:23 UTC PurchaseCommon Stock 37,800 $3.99 $150,958.08
Disclosure

SEC source: 0001209191-19-047937 · doc4.xml · nonDerivative · entry 1

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,392,067

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.94 to $4.00, 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: Reflects shares held by the Charles C. Townsend III Trust. Mr Townsend, as a co-trustee of the foregoing trust, may be deemed to have beneficial ownership of the shares held by the trust. Mr. Townsend disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

Read SEC document
August 26, 2019 Filed Aug 27, 2019 19:04 UTC
JONES HUGH WDirector
PurchaseCommon Stock 50,000 $3.98 $198,940.00
Disclosure

SEC source: 0001209191-19-047471 · doc4.xml · nonDerivative · entry 1

JONES HUGH W · CIK 0001182420 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.88 to $4.00, 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 purchased at each separate price within the range set forth in this footnote.

Read SEC document
August 26, 2019 Filed Aug 27, 2019 21:23 UTC PurchaseCommon Stock 46,133 $3.99 $184,019.92
Disclosure

SEC source: 0001209191-19-047556 · doc4.xml · nonDerivative · entry 2

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,354,267

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.95 to $4.00, inclusive. The reported 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: Reflects shares held by the Charles C. Townsend III Trust. Mr Townsend, as a co-trustee of the foregoing trust, may be deemed to have beneficial ownership of the shares held by the trust. Mr. Townsend disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

Read SEC document
August 23, 2019 Filed Aug 27, 2019 21:23 UTC PurchaseCommon Stock 88,216 $3.95 $348,559.06
Disclosure

SEC source: 0001209191-19-047556 · doc4.xml · nonDerivative · entry 1

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,308,134

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.90 to $4.00, 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: Reflects shares held by the Charles C. Townsend III Trust. Mr Townsend, as a co-trustee of the foregoing trust, may be deemed to have beneficial ownership of the shares held by the trust. Mr. Townsend disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

Read SEC document
August 22, 2019 Filed Aug 23, 2019 14:10 UTC PurchaseCommon Stock 6,960 $4.00 $27,835.13
Disclosure

SEC source: 0001209191-19-047230 · doc4.xml · nonDerivative · entry 2

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,219,918

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.99 to $4.00, inclusive. The reported 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: Reflects shares held by the Charles C. Townsend III Trust. Mr Townsend, as a co-trustee of the foregoing trust, may be deemed to have beneficial ownership of the shares held by the trust. Mr. Townsend disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

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August 21, 2019 Filed Aug 23, 2019 14:10 UTC PurchaseCommon Stock 58,691 $3.93 $230,643.89
Disclosure

SEC source: 0001209191-19-047230 · doc4.xml · nonDerivative · entry 1

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,212,958

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.88 to $4.00, 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: Reflects shares held by the Charles C. Townsend III Trust. Mr Townsend, as a co-trustee of the foregoing trust, may be deemed to have beneficial ownership of the shares held by the trust. Mr. Townsend disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

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August 19, 2019 Filed Aug 21, 2019 10:55 UTC PurchaseCommon Stock 5,000 $4.00 $20,000.00
Disclosure

SEC source: 0001209191-19-046928 · doc4.xml · nonDerivative · entry 1

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,244

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August 16, 2019 Filed Aug 19, 2019 09:48 UTC PurchaseCommon Stock 4,400 $4.20 $18,480.00
Disclosure

SEC source: 0001209191-19-046467 · doc4.xml · nonDerivative · entry 2

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,244

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August 15, 2019 Filed Aug 16, 2019 13:35 UTC PurchaseCommon Stock 27,506 $4.46 $122,585.99
Disclosure

SEC source: 0001209191-19-046249 · doc4.xml · nonDerivative · entry 2

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,154,267

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.35 to $4.50, 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: Reflects shares held by the Charles C. Townsend III Trust. Mr Townsend, as a co-trustee of the foregoing trust, may be deemed to have beneficial ownership of the shares held by the trust. Mr. Townsend disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

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August 15, 2019 Filed Aug 19, 2019 09:48 UTC PurchaseCommon Stock 600 $4.20 $2,520.00
Disclosure

SEC source: 0001209191-19-046467 · doc4.xml · nonDerivative · entry 1

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,844

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August 14, 2019 Filed Aug 16, 2019 13:35 UTC PurchaseCommon Stock 72,494 $4.42 $320,263.99
Disclosure

SEC source: 0001209191-19-046249 · doc4.xml · nonDerivative · entry 1

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,126,761

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.38 to $4.50, 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: Reflects shares held by the Charles C. Townsend III Trust. Mr Townsend, as a co-trustee of the foregoing trust, may be deemed to have beneficial ownership of the shares held by the trust. Mr. Townsend disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

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July 31, 2019 Filed Aug 1, 2019 17:07 UTC
Aguirre Sergio A.President, BA division
Exercise / conversionRestricted Stock Units · Derivative 376 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-043951 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,126

Underlying: Common Stock · 376 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 July 31, 2018, the reporting person was granted 1,502 restricted stock units, vesting in four equal annual installments on the first four anniversaries of July 31, 2018.

F2 · derivative.expiration_date: On July 31, 2018, the reporting person was granted 1,502 restricted stock units, vesting in four equal annual installments on the first four anniversaries of July 31, 2018.

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July 31, 2019 Filed Aug 1, 2019 17:07 UTC
Aguirre Sergio A.President, BA division
Tax withholdingCommon Stock 108 $4.19 $452.52
Disclosure

SEC source: 0001209191-19-043951 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,426

Read SEC document
July 31, 2019 Filed Aug 1, 2019 17:07 UTC
Aguirre Sergio A.President, BA division
Exercise / conversionCommon Stock 376 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-043951 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,534

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
June 28, 2019 Filed Jul 2, 2019 12:51 UTC GrantOptions (Right to Buy) · Derivative 8,271 $0.00 Strike: $3.98 $0.00
Disclosure

SEC source: 0001209191-19-040021 · doc4.xml · derivative · entry 2

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,271

Underlying: Common Stock · 8,271 shares

Expires 2029-06-28

Read SEC document
June 28, 2019 Filed Jul 2, 2019 12:51 UTC GrantDeferred Share Units · Derivative 8,479 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-040021 · doc4.xml · derivative · entry 1

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,073

Underlying: Common Stock · 8,479 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

Read SEC document
June 28, 2019 Filed Jul 2, 2019 12:50 UTC GrantOptions (Right to Buy) · Derivative 11,225 $0.00 Strike: $3.98 $0.00
Disclosure

SEC source: 0001209191-19-040019 · doc4.xml · derivative · entry 2

LEMAY RONALD T · CIK 0001104293 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,225

Underlying: Common Stock · 11,225 shares

Expires 2029-06-28

Read SEC document
June 28, 2019 Filed Jul 2, 2019 12:50 UTC GrantDeferred Share Units · Derivative 5,967 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-040019 · doc4.xml · derivative · entry 1

LEMAY RONALD T · CIK 0001104293 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,830

Underlying: Common Stock · 5,967 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.exercise_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

F1 · derivative.expiration_date: Deferred stock units that are settled in shares of common stock 90 days after the director ceases service as a director.

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.