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Nasdaq · USD

HBIO

HARVARD BIOSCIENCE INC

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Tapewire entity
7369
SEC CIK
0001123494
Parsed reports
266

Last 12 months

Inside the activity.

5 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202650
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 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
December 29, 2023 Filed Jan 3, 2024 22:17 UTC
Cote JenniferDirector · Chief Financial Officer
Tax withholdingCommon Stock 3,279 $5.35 $17,542.65
Disclosure

SEC source: 0000921895-24-000042 · form412799001cot_01032024.xml · nonDerivative · entry 1

Cote Jennifer · CIK 0001960481 · Director · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,689

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with restricted stock unit awards previously granted to the reporting person that vested in part on December 29, 2023.

Read SEC document
August 17, 2023 Filed Aug 21, 2023 20:06 UTC
Green James WDirector · Chief Executive Officer
PurchaseCommon Stock 25,000 $4.38 $109,500.00
Disclosure

SEC source: 0000921895-23-002050 · form412799gre_08212023.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,862,679

F1 · price: This transaction was executed in multiple trades at prices ranging from $4.35 to $4.40, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) 353,140 restricted stock units that will vest in three equal installments on December 29, 2023, 2024 and 2025, (b) 104,691 restricted stock units that will vest in two equal installments on December 29, 2023 and 2024, (c) 64,899 restricted stock units that will vest on December 29, 2023, (d) 54,535 restricted stock units that will vest on December 29, 2023, (e) 671,649 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (f) 1,613,765 shares of common stock beneficially owned by the Reporting Person.

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June 11, 2023 Filed Jun 13, 2023 20:02 UTC
Green James WDirector · Chief Executive Officer
Tax withholdingCommon Stock 48,373 $5.46 $264,116.58
Disclosure

SEC source: 0000921895-23-001485 · form412799gre_06132023.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,837,679

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a restricted stock unit award previously granted to the Reporting Person which vested in part on June 11, 2023.

F2 · balance_after: Includes (a) 353,140 restricted stock units that will vest in three equal installments on December 29, 2023, 2024 and 2025, (b) 104,691 restricted stock units that will vest in two equal installments on December 29, 2023 and 2024, (c) 64,899 restricted stock units that will vest on December 29, 2023, (d) 54,535 restricted stock units that will vest on December 29, 2023, (e) 671,649 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (f) 1,588,765 shares of common stock beneficially owned by the Reporting Person.

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May 22, 2023 Filed May 23, 2023 20:09 UTC GrantCommon Stock 25,554 $0.00 $0.00
Disclosure

SEC source: 0000921895-23-001330 · form412799edr_05232023.xml · nonDerivative · entry 1

EDRICK ALAN I · CIK 0001195340 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,039

F1 · shares: Represents an award of 25,554 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 15, 2023, immediately prior to the commencement of such meeting, and (ii) May 22, 2024.

F2 · balance_after: Includes (a) the award described in footnote (1) above and (b) 202,485 shares of common stock held by the Reporting Person.

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May 22, 2023 Filed May 23, 2023 20:07 UTC GrantCommon Stock 25,554 $0.00 $0.00
Disclosure

SEC source: 0000921895-23-001329 · form412799ead_05232023.xml · nonDerivative · entry 1

Eade Katherine A. · CIK 0001721318 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 265,254

F1 · shares: Represents an award of 25,554 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 15, 2023, immediately prior to the commencement of such meeting, and (ii) May 22, 2024.

F2 · balance_after: Includes (a) the award described in footnote (1) above and (b) 239,700 shares of common stock held by the Reporting Person.

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May 22, 2023 Filed May 23, 2023 20:04 UTC GrantCommon Stock 25,554 $0.00 $0.00
Disclosure

SEC source: 0000921895-23-001328 · form412799loe_05232023.xml · nonDerivative · entry 1

Loewald Thomas W · CIK 0001538555 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 249,439

F1 · shares: Represents an award of 25,554 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 15, 2023, immediately prior to the commencement of such meeting, and (ii) May 22, 2024.

F2 · balance_after: Includes (a) the award described in footnote (1) above and (b) 223,885 shares of common stock held by the Reporting Person.

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May 22, 2023 Filed May 23, 2023 20:03 UTC
LOY BERTRANDDirector
GrantCommon Stock 31,516 $0.00 $0.00
Disclosure

SEC source: 0000921895-23-001327 · form412799loy_05232023.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,009

F1 · shares: Represents an award of 31,516 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 15, 2023, immediately prior to the commencement of such meeting, and (ii) May 22, 2024.

F2 · balance_after: Includes (a) the award described in footnote (1) above and (b) 47,493 shares of common stock held by the Reporting Person.

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March 15, 2023 Filed Mar 15, 2023 22:35 UTC
Green James WDirector · Chief Executive Officer
PurchaseCommon Stock 20,000 $2.60 $52,000.00
Disclosure

SEC source: 0000921895-23-000690 · form412799gre_03152023.xml · nonDerivative · entry 2

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,886,052

F3 · price: This transaction was executed in multiple trades at prices ranging from $2.57 to $2.63, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the shares purchased in the transaction described in footnote (3) above.

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March 15, 2023 Filed Mar 16, 2023 22:02 UTC PurchaseCommon Stock 16,192 $2.62 $42,423.04
Disclosure

SEC source: 0000921895-23-000702 · form412799edr_03162023.xml · nonDerivative · entry 2

EDRICK ALAN I · CIK 0001195340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,485

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.57 to $2.68, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: Includes (a) 38,259 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2022, immediately prior to the commencement of such meeting, and (ii) May 24, 2023 and (b) 164,226 shares of common stock held by the Report Person.

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March 14, 2023 Filed Mar 15, 2023 22:35 UTC
Green James WDirector · Chief Executive Officer
PurchaseCommon Stock 20,000 $2.67 $53,400.00
Disclosure

SEC source: 0000921895-23-000690 · form412799gre_03152023.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,866,052

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.61 to $2.70, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) the shares described in footnote (1) above, (b) 353,140 restricted stock units that will vest in three equal installments on December 29, 2023, 2024 and 2025, (c) 104,691 restricted stock units that will vest in two equal installments on December 29, 2023 and 2024, (d) 109,071 restricted stock units that will vest on June 11, 2023, (e) 64,899 restricted stock units that will vest on December 29, 2023, (f) 54,535 restricted stock units that will vest on December 29, 2023, (g) 671,649 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (h) 1,488,067 shares of common stock beneficially owned by the Reporting Person.

Read SEC document
March 14, 2023 Filed Mar 16, 2023 22:02 UTC PurchaseCommon Stock 13,808 $2.67 $36,867.36
Disclosure

SEC source: 0000921895-23-000702 · form412799edr_03162023.xml · nonDerivative · entry 1

EDRICK ALAN I · CIK 0001195340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,293

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.61 to $2.72, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
March 06, 2023 Filed Mar 8, 2023 22:02 UTC
Green James WDirector · Chief Executive Officer
GrantCommon Stock 339,610 $0.00 $0.00
Disclosure

SEC source: 0000921895-23-000668 · form412799gre_03082023.xml · nonDerivative · entry 2

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,846,052

F3 · shares: Represents an award of 339,610 restricted stock units with performance based vesting conditions. These restricted stock units will vest upon the achievement of a relative total shareholder return of the Issuer's common stock during the period from March 1, 2023 to the earlier of (i) December 31, 2025, and (ii) the date of a change of control (the "Measurement Period"), measured relative to the Russell 2000 index and based on the 20-day trading average beginning on the first day of the Measurement Period and ending on the last day of the Measurement Period, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person. The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above.

Read SEC document
March 06, 2023 Filed Mar 8, 2023 22:02 UTC
Green James WDirector · Chief Executive Officer
GrantCommon Stock 353,140 $0.00 $0.00
Disclosure

SEC source: 0000921895-23-000668 · form412799gre_03082023.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,506,442

F1 · shares: Represents an award of 353,140 restricted stock units that will vest in three equal installments on December 29, 2023, 2024 and 2025, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) 104,691 restricted stock units that will vest in two equal installments on December 29, 2023 and 2024, (c) 109,071 restricted stock units that will vest on June 11, 2023, (d) 64,899 restricted stock units that will vest on December 29, 2023, (e) 54,535 restricted stock units that will vest on December 29, 2023, (f) 332,039 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (g) 1,488,067 shares of common stock beneficially owned by the Reporting Person.

Read SEC document
March 06, 2023 Filed Mar 8, 2023 22:01 UTC
Cote JenniferInterim CFO
GrantCommon Stock 29,880 $0.00 $0.00
Disclosure

SEC source: 0000921895-23-000667 · form412799cot_03082023.xml · nonDerivative · entry 3

Cote Jennifer · CIK 0001960481 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,968

F5 · shares: Represents an award of 29,880 restricted stock units that will fully vest on March 6, 2024.

F6 · balance_after: Includes (a) the shares and awards described in footnote (4) above and (b) the award described in footnote (5) above.

Read SEC document
March 06, 2023 Filed Mar 8, 2023 22:01 UTC
Cote JenniferInterim CFO
GrantCommon Stock 25,862 $0.00 $0.00
Disclosure

SEC source: 0000921895-23-000667 · form412799cot_03082023.xml · nonDerivative · entry 2

Cote Jennifer · CIK 0001960481 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,088

F3 · shares: Represents an award of 25,862 restricted stock units with performance based vesting conditions. These restricted stock units will vest upon the achievement of a relative total shareholder return of the Issuer's common stock during the period from March 1, 2023 to the earlier of (i) December 31, 2025, and (ii) the date of a change of control (the "Measurement Period"), measured relative to the Russell 2000 index and based on the 20-day trading average beginning on the first day of the Measurement Period and ending on the last day of the Measurement Period, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person. The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above and (b) the award described in footnote (3) above.

Read SEC document
March 06, 2023 Filed Mar 8, 2023 22:01 UTC
Cote JenniferInterim CFO
GrantCommon Stock 26,892 $0.00 $0.00
Disclosure

SEC source: 0000921895-23-000667 · form412799cot_03082023.xml · nonDerivative · entry 1

Cote Jennifer · CIK 0001960481 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,226

F1 · shares: Represents an award of 26,892 restricted stock units that will vest in three equal installments on December 29, 2023, 2024 and 2025, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) 22,342 restricted stock units that will vest in two equal installments on December 29, 2023 and 2024 and (c) 7,992 shares of common stock beneficially owned by the Reporting Person.

Read SEC document
January 01, 2023 Filed Jan 3, 2023 23:14 UTC
Green James WDirector · Chief Executive Officer
Tax withholdingCommon Stock 49,322 $2.77 $136,621.94
Disclosure

SEC source: 0000921895-23-000012 · form412799gre_01032023.xml · nonDerivative · entry 4

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,153,302

F7 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a restricted stock unit award previously granted to the Reporting Person that vested on January 1, 2023.

F8 · balance_after: Includes (a) the shares and awards described in footnote (2) above, less (b) the disposition of shares reported in footnotes (3), (5) and (7) above.

Read SEC document
December 29, 2022 Filed Jan 3, 2023 23:16 UTC
Rossi Michael A.Chief Financial Officer
Tax withholdingCommon Stock 3,035 $2.55 $7,739.25
Disclosure

SEC source: 0000921895-23-000013 · form412799ros_01032023.xml · nonDerivative · entry 3

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,540

F5 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a performance restricted stock unit award previously granted to the Reporting Person that vested in part on December 29, 2022.

F6 · balance_after: Includes (a) the shares and awards described in footnote (2) above, less (b) the disposition of shares reported in footnotes (3) and (5) above.

Read SEC document
December 29, 2022 Filed Jan 3, 2023 23:16 UTC
Rossi Michael A.Chief Financial Officer
Tax withholdingCommon Stock 3,763 $2.55 $9,595.65
Disclosure

SEC source: 0000921895-23-000013 · form412799ros_01032023.xml · nonDerivative · entry 2

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,575

F3 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a restricted stock unit award previously granted to the Reporting Person that vested in part on December 29, 2022.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, less (b) the disposition of shares reported in footnote (3) above.

Read SEC document
December 29, 2022 Filed Jan 3, 2023 23:16 UTC
Rossi Michael A.Chief Financial Officer
Tax withholdingCommon Stock 3,162 $2.55 $8,063.10
Disclosure

SEC source: 0000921895-23-000013 · form412799ros_01032023.xml · nonDerivative · entry 1

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,338

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a restricted stock unit award previously granted to the Reporting Person that vested in part on December 29, 2022.

F2 · balance_after: Include (a) 20,681 restricted stock units that will vest in two equal installments on December 29, 2023 and 2024, (b) 21,545 restricted stock units that will vest on June 11, 2023, (c) 12,821 restricted stock units that will vest on December 29, 2023, (d) 65,592 restricted stock units with performance based vesting conditions, (e) 10,772 restricted stock units that will vest on December 29, 2023, and (f) 135,927 shares of common stock beneficially owned by the Reporting Person.

Read SEC document
December 29, 2022 Filed Jan 3, 2023 23:14 UTC
Green James WDirector · Chief Executive Officer
Tax withholdingCommon Stock 23,216 $2.55 $59,200.80
Disclosure

SEC source: 0000921895-23-000012 · form412799gre_01032023.xml · nonDerivative · entry 3

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,202,624

F5 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a performance restricted stock unit award previously granted to the Reporting Person that vested in part on December 29, 2022.

F6 · balance_after: Includes (a) the shares and awards described in footnote (2) above, less (b) the disposition of shares reported in footnotes (3) and (5) above.

Read SEC document
December 29, 2022 Filed Jan 3, 2023 23:14 UTC
Green James WDirector · Chief Executive Officer
Tax withholdingCommon Stock 28,784 $2.55 $73,399.20
Disclosure

SEC source: 0000921895-23-000012 · form412799gre_01032023.xml · nonDerivative · entry 2

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,225,840

F3 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a restricted stock unit award previously granted to the Reporting Person that vested in part on December 29, 2022.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, less (b) the disposition of shares reported in footnote (3) above.

Read SEC document
December 29, 2022 Filed Jan 3, 2023 23:14 UTC
Green James WDirector · Chief Executive Officer
Tax withholdingCommon Stock 24,187 $2.55 $61,676.85
Disclosure

SEC source: 0000921895-23-000012 · form412799gre_01032023.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,254,624

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a restricted stock unit award previously granted to the Reporting Person that vested in part on December 29, 2022.

F2 · balance_after: Includes (a) 104,691 restricted stock units that will vest in two equal installments on December 29, 2023 and 2024, (b) 109,071 restricted stock units that will vest on June 11, 2023, (c) 64,899 restricted stock units that will vest on December 29, 2023, (d) 54,535 restricted stock units that will vest on December 29, 2023, (e) 104,590 restricted stock units that will vest on January 1, 2023, (f) 332,039 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (g) 1,484,799 shares of common stock beneficially owned by the Reporting Person.

Read SEC document
December 01, 2022 Filed Dec 2, 2022 21:01 UTC
Green James WDirector · Chief Executive Officer
PurchaseCommon Stock 15,000 $2.61 $39,150.00
Disclosure

SEC source: 0000921895-22-003154 · form412799gre_12022022.xml · nonDerivative · entry 2

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,278,811

F3 · price: This transaction was executed in multiple trades at prices ranging from $2.55 to $2.70, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the shares purchased in the transaction described in footnote (3) above.

Read SEC document
November 30, 2022 Filed Dec 2, 2022 21:01 UTC
Green James WDirector · Chief Executive Officer
PurchaseCommon Stock 15,000 $2.41 $36,150.00
Disclosure

SEC source: 0000921895-22-003154 · form412799gre_12022022.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,263,811

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.31 to $2.45, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) the shares described in footnote (1) above, (b) 157,037 restricted stock units that will vest in three equal installments on December 29, 2022, 2023 and 2024, (c) 109,071 remaining restricted stock units that will vest on June 11, 2023, (d) 129,799 restricted stock units that will vest in two equal installments on December 29, 2022 and 2023, (e) 109,070 remaining restricted stock units that will vest on December 29, 2022 and 2023, (f) 104,590 remaining restricted stock units that will vest on January 1, 2023, (g) 332,039 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (h) 1,307,205 shares of common stock beneficially owned by the Reporting Person.

Read SEC document
September 06, 2022 Filed Sep 15, 2022 20:02 UTC
LOY BERTRANDDirector
OtherCommon Stock 108,715 $0.00 $0.00
Disclosure

SEC source: 0000921895-22-002653 · form412799001_09152022.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by The BZH Trust

Disclosed balance after: 0

F1 · kind: On September 6, 2022, the Reporting Person transferred 108,715 shares of common stock to the Bertrand M. Loy Revocable Trust.

F2 · shares: In addition to the 68,466 shares held by The BZH Trust, as previously reported, this number also includes 29,623 shares previously transferred by the Reporting Person to The BZH Trust in September 2020 and 10,626 shares previously transferred by the Reporting Person to The BZH Trust in May 2022.

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August 26, 2022 Filed Aug 29, 2022 21:24 UTC
LOY BERTRANDDirector
PurchaseCommon Stock 9,291 $3.41 $31,682.31
Disclosure

SEC source: 0000921895-22-002574 · form412799001_08292022.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 399,651

F1 · price: This transaction was executed in multiple trades at prices ranging from $3.32 to $3.47, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) the shares purchased in the transaction described in footnote (1) above, (b) 47,493 restricted stock units that will vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders, immediately prior to the commencement of such meeting, and (ii) May 24, 2023, and (c) 342,867 shares of common stock held by the Reporting Person.

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August 25, 2022 Filed Aug 26, 2022 20:02 UTC
LOY BERTRANDDirector
PurchaseCommon Stock 8,244 $3.34 $27,534.96
Disclosure

SEC source: 0000921895-22-002553 · form412799001_08262022.xml · nonDerivative · entry 2

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,360

F3 · price: This transaction was executed in multiple trades at prices ranging from $3.23 to $3.44, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F4 · balance_after: Includes (a) the shares described in footnote (2) above and (b) the shares purchased in the transaction described in footnote (3) above.

Read SEC document
August 24, 2022 Filed Aug 26, 2022 20:02 UTC
LOY BERTRANDDirector
PurchaseCommon Stock 17,291 $3.23 $55,849.93
Disclosure

SEC source: 0000921895-22-002553 · form412799001_08262022.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 382,116

F1 · price: This transaction was executed in multiple trades at prices ranging from $3.17 to $3.28, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) the shares purchased in the transaction described in footnote (1) above, (b) 47,493 restricted stock units that will vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders, immediately prior to the commencement of such meeting, and (ii) May 24, 2023, and (c) 317,332 shares of common stock held by the Reporting Person.

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August 23, 2022 Filed Aug 24, 2022 20:06 UTC
LOY BERTRANDDirector
PurchaseCommon Stock 8,939 $3.23 $28,872.97
Disclosure

SEC source: 0000921895-22-002529 · form412799001_08242022.xml · nonDerivative · entry 2

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 364,825

F3 · price: This transaction was executed in multiple trades at prices ranging from $3.195 to $3.26, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F4 · balance_after: Includes (a) the shares described in footnote (2) above and (b) the shares purchased in the transaction described in footnote (3) above.

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August 22, 2022 Filed Aug 24, 2022 20:06 UTC
LOY BERTRANDDirector
PurchaseCommon Stock 4,918 $3.16 $15,540.88
Disclosure

SEC source: 0000921895-22-002529 · form412799001_08242022.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,886

F1 · price: This transaction was executed in multiple trades at prices ranging from $3.13 to $3.22, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) the shares purchased in the transaction described in footnote (1) above, (b) 47,493 restricted stock units that will vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders, immediately prior to the commencement of such meeting, and (ii) May 24, 2023, and (c) 303,475 shares of common stock held by the Reporting Person.

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August 19, 2022 Filed Aug 22, 2022 20:08 UTC
LOY BERTRANDDirector
PurchaseCommon Stock 9,608 $3.28 $31,514.24
Disclosure

SEC source: 0000921895-22-002509 · form412799001_08222022.xml · nonDerivative · entry 2

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,968

F3 · price: This transaction was executed in multiple trades at prices ranging from $3.24 to $3.30, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F4 · balance_after: Includes (a) the shares described in footnote (2) above and (b) the shares purchased in the transaction described in footnote (3) above.

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August 18, 2022 Filed Aug 22, 2022 20:08 UTC
LOY BERTRANDDirector
PurchaseCommon Stock 1,151 $3.19 $3,671.69
Disclosure

SEC source: 0000921895-22-002509 · form412799001_08222022.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341,360

F1 · price: This transaction was executed in multiple trades at prices ranging from $3.175 to $3.20, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) the shares purchased in the transaction described in footnote (1) above, (b) 47,493 restricted stock units that will vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders, immediately prior to the commencement of such meeting, and (ii) May 24, 2023, and (c) 292,716 shares of common stock held by the Reporting Person.

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August 17, 2022 Filed Aug 18, 2022 20:19 UTC
Green James WDirector · Chief Executive Officer
PurchaseCommon Stock 40,000 $3.19 $127,600.00
Disclosure

SEC source: 0000921895-22-002497 · form412799001_08182022.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,248,811

F1 · price: This transaction was executed in multiple trades at prices ranging from $3.14 to $3.23, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) the shares described in footnote (1) above, (b) 157,037 restricted stock units that will vest in three equal installments on December 29, 2022, 2023 and 2024, (c) 109,071 remaining restricted stock units that will vest on June 11, 2023, (d) 129,799 restricted stock units that will vest in two equal installments on December 29, 2022 and 2023, (e) 109,070 remaining restricted stock units that will vest on December 29, 2022 and 2023, (f) 104,590 remaining restricted stock units that will vest on January 1, 2023, (g) 332,039 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (h) 1,267,205 shares of common stock beneficially owned by the Reporting Person.

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July 18, 2022 Filed Jul 20, 2022 20:25 UTC
Rossi Michael A.Chief Financial Officer
Tax withholdingCommon Stock 7,008 $3.63 $25,439.04
Disclosure

SEC source: 0000921895-22-002258 · form412799001_07202022.xml · nonDerivative · entry 1

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,500

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a restricted stock unit award previously granted to the Reporting Person that fully vested on July 18, 2022.

F2 · balance_after: Include (a) 31,021 restricted stock units that will vest in three equal installments on December 29, 2022, 2023 and 2024, (b) 21,545 remaining restricted stock units that will vest on June 11, 2023, (c) 25,641 restricted stock units that will vest in two equal installments on December 29, 2022 and 2023, (d) 65,592 restricted stock units with performance based vesting conditions, (e) 21,545 remaining restricted stock units that will vest on December 29, 2022 and 2023, and (f) 105,156 shares of common stock beneficially owned by the Reporting Person.

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July 08, 2022 Filed Jul 12, 2022 20:03 UTC
Green James WDirector · Chief Executive Officer
Tax withholdingCommon Stock 92,771 $3.90 $361,806.90
Disclosure

SEC source: 0000921895-22-002223 · form412799001_07122022.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,208,811

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a performance restricted stock unit award previously granted to the Reporting Person that vested in part on July 8, 2022.

F2 · balance_after: Includes (a) 157,037 restricted stock units that will vest in three equal installments on December 29, 2022, 2023 and 2024, (b) 109,071 remaining restricted stock units that will vest on June 11, 2023, (c) 129,799 restricted stock units that will vest in two equal installments on December 29, 2022 and 2023, (d) 109,070 remaining restricted stock units that will vest on December 29, 2022 and 2023, (e) 104,590 remaining restricted stock units that will vest on January 1, 2023, (f) 332,039 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (g) 1,267,205 shares of common stock beneficially owned by the Reporting Person.

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June 15, 2022 Filed Jun 17, 2022 20:00 UTC
Green James WDirector · Chief Executive Officer
PurchaseCommon Stock 30,000 $3.71 $111,300.00
Disclosure

SEC source: 0000921895-22-002024 · form412799001_06162022.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,301,582

F1 · price: This transaction was executed in multiple trades at prices ranging from $3.68 to $3.74, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) the shares described in footenote (1) above, (b) 157,037 restricted stock units that will vest in three equal installments on December 29, 2022, 2023 and 2024, (c) 109,071 remaining restricted stock units that will vest on June 11, 2023, (d) 129,799 restricted stock units that will vest in two equal installments on December 29, 2022 and 2023, (e) 109,070 remaining restricted stock units that will vest on December 29, 2022 and 2023, (f) 104,590 remaining restricted stock units that will vest on January 1, 2023, (g) 541,218 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (h) 1,120,797 shares of common stock beneficially owned by the Reporting Person.

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June 11, 2022 Filed Jun 14, 2022 20:07 UTC
Green James WDirector · Chief Executive Officer
Tax withholdingCommon Stock 48,373 $3.95 $191,073.35
Disclosure

SEC source: 0000921895-22-001986 · form412799001gre_06142022.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,271,582

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a performance restricted stock unit award previously granted to the Reporting Person that vested in part on June 11, 2022.

F2 · balance_after: Includes (a) 157,037 restricted stock units that will vest in three equal installments on December 29, 2022, 2023 and 2024, (b) 109,071 remaining restricted stock units that will vest on June 11, 2023, (c) 129,799 restricted stock units that will vest in two equal installments on December 29, 2022 and 2023, (d) 109,070 remaining restricted stock units that will vest on December 29, 2022 and 2023, (e) 104,590 remaining restricted stock units that will vest on January 1, 2023, (f) 541,218 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (g) 1,120,797 shares of common stock beneficially owned by the Reporting Person.

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June 11, 2022 Filed Jun 14, 2022 20:08 UTC
Rossi Michael A.Chief Financial Officer
Tax withholdingCommon Stock 6,325 $3.95 $24,983.75
Disclosure

SEC source: 0000921895-22-001987 · form412799001ros_06142022.xml · nonDerivative · entry 1

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,508

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a performance restricted stock unit award previously granted to the Reporting Person that vested in part on June 11, 2022.

F2 · balance_after: Include (a) 31,021 restricted stock units that will vest in three equal installments on December 29, 2022, 2023 and 2024, (b) 21,545 remaining restricted stock units that will vest on June 11, 2023, (c) 25,641 restricted stock units that will vest in two equal installments on December 29, 2022 and 2023, (d) 65,592 restricted stock units with performance based vesting conditions, (e) 23,878 remaining restricted stock units that will vest on July 18, 2022, (f) 21,545 remaining restricted stock units that will vest on December 29, 2022 and 2023, and (g) 88,286 shares of common stock beneficially owned by the Reporting Person.

Read SEC document
May 24, 2022 Filed May 26, 2022 20:08 UTC
LOY BERTRANDDirector
GrantCommon Stock 47,493 $0.00 $0.00
Disclosure

SEC source: 0000921895-22-001804 · form412799001loy_05262022.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,209

F1 · shares: Represents an award of 47,493 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2022, immediately prior to the commencement of such meeting, and (ii) May 24, 2023.

F2 · balance_after: Includes (a) the award described in footnote (1) above and (b) 292,716 shares of common stock held by the Reporting Person.

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May 24, 2022 Filed May 26, 2022 20:06 UTC GrantCommon Stock 38,259 $0.00 $0.00
Disclosure

SEC source: 0000921895-22-001803 · form412799001loe_05262022.xml · nonDerivative · entry 1

Loewald Thomas W · CIK 0001538555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,885

F1 · shares: Represents an award of 38,259 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2022, immediately prior to the commencement of such meeting, and (ii) May 24, 2023.

F2 · balance_after: Includes (a) the award described in footnote (1) above and (b) 185,626 shares of common stock held by the Reporting Person.

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May 24, 2022 Filed May 26, 2022 20:02 UTC GrantCommon Stock 38,259 $0.00 $0.00
Disclosure

SEC source: 0000921895-22-001801 · form412799001ead_05262022.xml · nonDerivative · entry 1

Eade Katherine A. · CIK 0001721318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,700

F1 · shares: Represents an award of 38,259 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2022, immediately prior to the commencement of such meeting, and (ii) May 24, 2023.

F2 · balance_after: Includes (a) the award described in footnote (1) above and (b) 201,441 shares of common stock held by the Reporting Person.

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May 24, 2022 Filed May 26, 2022 20:04 UTC GrantCommon Stock 38,259 $0.00 $0.00
Disclosure

SEC source: 0000921895-22-001802 · form412799001edr_05262022.xml · nonDerivative · entry 1

EDRICK ALAN I · CIK 0001195340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,485

F1 · shares: Represents an award of 38,259 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2022, immediately prior to the commencement of such meeting, and (ii) May 24, 2023.

F2 · balance_after: Includes (a) the award described in footnote (1) above and (b) 134,226 shares of common stock held by the Reporting Person.

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May 09, 2022 Filed May 10, 2022 21:13 UTC
Green James WDirector · Chief Executive Officer
PurchaseCommon Stock 10,000 $3.40 $34,000.00
Disclosure

SEC source: 0000921895-22-001555 · form412799001_05102022.xml · nonDerivative · entry 2

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,319,955

F3 · price: This transaction was executed in multiple trades at prices ranging from $3.375 to $3.41, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the shares purchased in the transaction described in footnote (3) above.

Read SEC document
May 06, 2022 Filed May 10, 2022 21:13 UTC
Green James WDirector · Chief Executive Officer
PurchaseCommon Stock 30,000 $3.78 $113,400.00
Disclosure

SEC source: 0000921895-22-001555 · form412799001_05102022.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,309,955

F1 · price: This transaction was executed in multiple trades at prices ranging from $3.705 to $3.845, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) 157,037 restricted stock units that will vest in three equal installments on December 29, 2022, 2023 and 2024, (b) 218,140 remaining restricted stock units that will vest on June 11, 2022 and 2023, (c) 129,799 restricted stock units that will vest in two equal installments on December 29, 2022 and 2023, (d) 109,070 remaining restricted stock units that will vest on December 29, 2022 and 2023, (e) 104,590 remaining restricted stock units that will vest on January 1, 2023, (f) 541,218 restricted stock units with performance based vesting conditions tied to relative total shareholder return and (g) 1,050,101 shares of common stock beneficially owned by the Reporting Person.

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March 01, 2022 Filed Mar 4, 2022 02:14 UTC
Rossi Michael A.Chief Financial Officer
GrantCommon Stock 28,716 $0.00 $0.00
Disclosure

SEC source: 0001193805-22-000420 · e621404_4-michael.xml · nonDerivative · entry 2

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,833

F3 · shares: Represents an award of 28,716 restricted stock units with performance based vesting conditions. These restricted stock units will vest upon the achievement of a relative total shareholder return of the Issuer's common stock during the period from March 1, 2022 to the earlier of (i) December 31, 2024, and (ii) the date of a change of control (the "Measurement Period"), measured relative to the Russell 2000 index and based on the 20-day trading average beginning on the first day of the Measurement Period and ending on the last day of the Measurement Period, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person. The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above.

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March 01, 2022 Filed Mar 4, 2022 02:14 UTC
Rossi Michael A.Chief Financial Officer
GrantCommon Stock 31,021 $0.00 $0.00
Disclosure

SEC source: 0001193805-22-000420 · e621404_4-michael.xml · nonDerivative · entry 1

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,117

F1 · shares: Represents an award of 31,021 restricted stock units that will vest in three equal installments on December 29, 2022, 2023 and 2024, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) 43,092 remaining restricted stock units that will vest on June 11, 2022 and 2023, (c) 25,641 restricted stock units that will vest in two equal installments on December 29, 2022 and 2023, (d) 36,876 restricted stock units with performance based vesting conditions, (e) 23,878 remaining restricted stock units that will vest on July 18, 2022, (f) 21,545 remaining restricted stock units that will vest on December 29, 2022 and 2023, and (g) 73,064 shares of common stock beneficially owned by the Reporting Person.

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March 01, 2022 Filed Mar 4, 2022 02:13 UTC
Green James WDirector · Chief Executive Officer
GrantCommon Stock 145,365 $0.00 $0.00
Disclosure

SEC source: 0001193805-22-000419 · e621405_4-james.xml · nonDerivative · entry 2

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,279,955

F3 · shares: Represents an award of 145,365 restricted stock units with performance based vesting conditions. These restricted stock units will vest upon the achievement of a relative total shareholder return of the Issuer's common stock during the period from March 1, 2022 to the earlier of (i) December 31, 2024, and (ii) the date of a change of control (the "Measurement Period"), measured relative to the Russell 2000 index and based on the 20-day trading average beginning on the first day of the Measurement Period and ending on the last day of the Measurement Period, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person. The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above.

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March 01, 2022 Filed Mar 4, 2022 02:13 UTC
Green James WDirector · Chief Executive Officer
GrantCommon Stock 157,037 $0.00 $0.00
Disclosure

SEC source: 0001193805-22-000419 · e621405_4-james.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,134,590

F1 · shares: Represents an award of 157,037 restricted stock units that will vest in three equal installments on December 29, 2022, 2023 and 2024, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) 218,140 remaining restricted stock units that will vest on June 11, 2022 and 2023, (c) 129,799 restricted stock units that will vest in two equal installments on December 29, 2022 and 2023, (d) 109,070 remaining restricted stock units that will vest on December 29, 2022 and 2023, (e) 104,590 remaining restricted stock units that will vest on January 1, 2023, (f) 395,853 restricted stock units with performance based vesting conditions tied to relative total shareholder return, and (g) 1,020,101 shares of common stock beneficially owned by the Reporting Person.

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January 01, 2022 Filed Jan 4, 2022 00:51 UTC
LOY BERTRANDDirector
GrantCommon Stock 4,489 $0.00 $0.00
Disclosure

SEC source: 0000921895-22-000034 · form412799loy_01032022.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,716

F1 · shares: Represents an award of 4,489 restricted stock units that will vest in full on the date of the Issuer's 2022 Annual Meeting of the Stockholders.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) an award of 14,400 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2021, immediately prior to the commencement of such meeting, and (ii) May 25, 2022, and (c) 273,827 shares of common stock held by the Reporting Person.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.