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Nasdaq · USD

HBIO

HARVARD BIOSCIENCE INC

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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
March 07, 2019 Filed Apr 2, 2019 20:56 UTC
Duchemin JeffreyDirector · Chief Executive Officer
GrantCommon Stock 113,034 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-022619 · doc4.xml · nonDerivative · entry 1

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 793,528

F1 · shares: Represents a deferred stock award of 113,034 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023.

F2 · balance_after: Includes (a) a deferred stock award of 113,034 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023; (b) a deferred stock award of 70,833 restricted stock units which vest in equal installments on January 1, 2020, 2021 and 2022; (c) a deferred stock award of 178,804 restricted stock units which shall vest in equal installments on January 1, 2020 and 2021; (d) a deferred stock award of 72,916 restricted stock units which shall vest on January 1, 2020; (e) a deferred stock award of 94,444 restricted stock units with performance based vesting conditions, which if earned shall vest in equal installments on May 24, 2019, 2020 and 2021, and are contingent upon achievement of a performance condition tied to relative total shareholder return; and (f) 263,497 shares of common stock held by the Reporting Person.

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January 02, 2019 Filed Jan 3, 2019 21:31 UTC GrantCommon Stock 21,100 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-000981 · doc4.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,287

F1 · shares: Represents a deferred stock award of 21,100 restricted stock units which vest quarterly in equal installments on March 31, 2019, June 30, 2019, September 30, 2019 and December 31, 2019, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for his service on the Issuer's Board of Directors and its Committees during 2019. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the retainers all been paid in cash, divided by the average daily closing market price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 21,100 restricted stock units which vest quarterly in equal installments on March 31, 2019, June 30, 2019, September 30, 2019 and December 31, 2019; a (b) deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; and (c) 136,087 shares of common stock held by the Reporting Person.

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January 02, 2019 Filed Jan 3, 2019 21:28 UTC GrantCommon Stock 17,700 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-000968 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,493

F1 · shares: Represents a deferred stock award of 17,700 restricted stock units which vest quarterly in equal installments on March 31, 2019, June 30, 2019, September 30, 2019 and December 31, 2019, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for his service on the Issuer's Board of Directors and its Committees during 2019. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the retainers all been paid in cash, divided by the average daily closing market price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 17,700 restricted stock units which vest quarterly in equal installments on March 31, 2019, June 30, 2019, September 30, 2019 and December 31, 2019; a (b) deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; and (c) 244,693 shares of common stock held by the Reporting Person.

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January 02, 2019 Filed Jan 3, 2019 21:26 UTC GrantCommon Stock 13,800 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-000952 · doc4.xml · nonDerivative · entry 1

Loewald Thomas W · CIK 0001538555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,200

F1 · shares: Represents a deferred stock award of 13,800 restricted stock units which vest quarterly in equal installments on March 31, 2019, June 30, 2019, September 30, 2019 and December 31, 2019, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for his service on the Issuer's Board of Directors and its Committees during 2019. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the retainers all been paid in cash, divided by the average daily closing market price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 13,800 restricted stock units which vest quarterly in equal installments on March 31, 2019, June 30, 2019, September 30, 2019 and December 31, 2019; a (b) deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; and (c) 15,300 shares of common stock held by the Reporting Person.

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January 02, 2019 Filed Jan 3, 2019 21:22 UTC GrantCommon Stock 12,700 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-000929 · doc4.xml · nonDerivative · entry 1

Eade Katherine A. · CIK 0001721318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,400

F1 · shares: Represents a deferred stock award of 12,700 restricted stock units which vest quarterly in equal installments on March 31, 2019, June 30, 2019, September 30, 2019 and December 31, 2019, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for her service on the Issuer's Board of Directors and its Committees during 2019. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the retainers all been paid in cash, divided by the average daily closing market price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 12,700 restricted stock units which vest quarterly in equal installments on March 31, 2019, June 30, 2019, September 30, 2019 and December 31, 2019; a (b) deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; and (c) 14,600 shares of common stock held by the Reporting Person.

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January 02, 2019 Filed Jan 3, 2019 21:18 UTC
LOY BERTRANDDirector
GrantCommon Stock 14,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-000916 · doc4.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,850

F1 · shares: Represents a deferred stock award of 14,000 restricted stock units which vest quarterly in equal installments on March 31, 2019, June 30, 2019, September 30, 2019 and December 31, 2019, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for his service on the Issuer's Board of Directors and its Committees during 2019. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the retainers all been paid in cash, divided by the average daily closing market price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 14,000 restricted stock units which vest quarterly in equal installments on March 31, 2019, June 30, 2019, September 30, 2019 and December 31, 2019; a (b) deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; and (c) 117,750 shares of common stock held by the Reporting Person.

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January 01, 2019 Filed Jan 3, 2019 21:12 UTC
Duchemin JeffreyDirector · Chief Executive Officer
Tax withholdingCommon Stock 61,755 $3.18 $196,380.90
Disclosure

SEC source: 0001209191-19-000905 · doc4.xml · nonDerivative · entry 1

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,494

F1 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with deferred stock awards previously granted to the Reporting Person which vested in part on January 1, 2019.

F2 · balance_after: Includes (a) a deferred stock award of 94,444 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 70,833 restricted stock units which shall vest in three equal installments on January 1, 2020, 2021 and 2022; (c) a deferred stock award of 178,804 restricted stock units which shall vest in three equal installments on January 1, 2020 and 2021; (d) a deferred stock award of 72,916 restricted stock units which shall vest on January 1, 2020; and (e) 263,497 shares of common stock held by the Reporting Person.

Read SEC document
January 01, 2019 Filed Jan 3, 2019 21:10 UTC
Sun YongVP - Commercial Operations
Tax withholdingCommon Stock 19,339 $3.18 $61,498.02
Disclosure

SEC source: 0001209191-19-000896 · doc4.xml · nonDerivative · entry 1

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,805

F1 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with deferred stock awards previously granted to the Reporting Person which vested in part on January 1, 2019.

F2 · balance_after: Includes (a) a deferred stock award of 16,875 restricted stock units which shall vest in three equal installments on January 1, 2020, 2021 and 2022; (b) a deferred stock award of 54,565 restricted stock units which shall vest in two equal installments on January 1, 2020 and 2021; (c) a deferred stock award of 22,252 restricted stock units which shall vest on January 1, 2020; (d) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 126,613 shares of common stock held by the Reporting Person.

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January 01, 2019 Filed Jan 3, 2019 21:07 UTC
Unninayar KamalamChief Financial Officer
Tax withholdingCommon Stock 1,603 $3.18 $5,097.54
Disclosure

SEC source: 0001209191-19-000884 · doc4.xml · nonDerivative · entry 1

Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,866

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with deferred stock awards previously granted to the Reporting Person which vested in part on January 1, 2019.

F2 · balance_after: Includes (a) a deferred stock award of 13,852 restricted stock units which vest in three equal annual installments on January 1, 2020, 2021 and 2022; and (b) 3,014 shares of common stock held by the Reporting Person.

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December 14, 2018 Filed Dec 18, 2018 21:11 UTC GiftCommon Stock 47,687 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-063153 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,793

F1 · kind: This transaction involved gifts of securities by the reporting person. Purchase price is not applicable as these transactions were bona fide gifts.

F2 · balance_after: Includes (a) a deferred stock award of 800 restricted stock units which vest on December 31, 2018; (b) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (c) a deferred stock award of 3,475 restricted stock units which vest on December 31, 2018; and (d) 240,418 shares of common stock held by the Reporting Person.

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November 26, 2018 Filed Nov 27, 2018 21:45 UTC
Unninayar KamalamChief Financial Officer
GrantStock option (right to buy) · Derivative 44,585 $0.00 Strike: $3.79 $0.00
Disclosure

SEC source: 0001209191-18-060004 · doc4.xml · derivative · entry 2

Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,585

Underlying: Common Stock, par value $0.01 per share · 44,585 shares

Expires 2028-11-26

F3 · derivative.exercise_date: This stock option vests in four equal annual installments on November 1, 2019, 2020, 2021 and 2022.

Read SEC document
November 26, 2018 Filed Nov 27, 2018 21:45 UTC
Unninayar KamalamChief Financial Officer
GrantCommon Stock 18,469 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-060004 · doc4.xml · nonDerivative · entry 1

Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,469

F1 · shares: Represents a deferred stock award of restricted stock units which shall vest in four equal annual installments on January 1, 2019, 2020, 2021 and 2022.

F2 · balance_after: Includes a deferred stock award of 18,469 restricted stock units which vest in four equal annual installments on January 1, 2019, 2020, 2021 and 2022.

Read SEC document
August 29, 2018 Filed Aug 30, 2018 20:07 UTC PurchaseCommon Stock 2,500 $5.74 $14,350.00
Disclosure

SEC source: 0001209191-18-048924 · doc4.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,187

F1 · price: This transaction was executed in multiple trades at prices ranging from $5.73 to $5.75. 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) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (b) a deferred stock award of 11,250 restricted stock units which vest quarterly in equal installments on September 30, 2018 and December 31, 2018; and (c) 124,837 shares of common stock held by the Reporting Person.

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August 29, 2018 Filed Aug 30, 2018 20:04 UTC
Gagnon Robert E.Chief Financial Officer
SaleCommon Stock 8,889 $5.77 $51,289.53
Disclosure

SEC source: 0001209191-18-048919 · doc4.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,169

F1 · balance_after: Includes (a) a deferred stock award of 40,000 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 40,000 restricted stock units which vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (c) a deferred stock award of 81,522 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (d) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (e) a deferred stock award of 44,326 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; and (f) a deferred stock award of 6,625 restricted stock units which shall vest in full on January 1, 2019.

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August 29, 2018 Filed Feb 6, 2019 21:10 UTC Amendment PurchaseCommon Stock 2,500 $5.74 $14,350.00
Disclosure

SEC source: 0001209191-19-007711 · doc4a.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,812

F1 · price: This transaction was executed in multiple trades at prices ranging from $5.73 to $5.75. 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) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (b) a deferred stock award of 11,250 restricted stock units which vest quarterly in equal installments on September 30, 2018 and December 31, 2018; and (c) 130,462 shares of common stock held by the Reporting Person.

F3 · balance_after: This amendment is being filed to correct an administrative error by which 5,625 shares were inadvertently omitted from this amount in the reporting person's Form 4 filed on August 30, 2018 and subsequently omitted from the Form 4 filed on January 3, 2019.

Read SEC document
August 14, 2018 Filed Aug 15, 2018 20:23 UTC
Sun YongVP - Commercial Operations
Exercise / conversionStock option (right to buy) · Derivative 50,000 $0.00 Strike: $4.31 $0.00
Disclosure

SEC source: 0001209191-18-046795 · doc4.xml · derivative · entry 3

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 100,000 shares

Expires 2023-11-18

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.

F4 · shares: Represent the exercise of stock options granted pursuant to the Issuer's 2000 Stock Option and Incentive Plan, as amended.

F5 · derivative.exercise_date: The option vested in four equal installments on each of November 18, 2014, 2015, 2016 and 2017.

Read SEC document
August 14, 2018 Filed Aug 15, 2018 20:23 UTC
Sun YongVP - Commercial Operations
Tax withholdingCommon Stock 37,588 $6.65 $249,960.20
Disclosure

SEC source: 0001209191-18-046795 · doc4.xml · nonDerivative · entry 2

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,144

F2 · shares: Represents the number of shares of common stock that the Reporting Person attested to the ownership thereof in accordance with the Issuer's Third Amended and Restated 2000 Stock Option and Incentive Plan, as amended, in connection with the payment of the option exercise price and taxes. With respect to each option exercise, the Issuer only delivered the net amount of the option shares (after reducing the option shares by the amount of shares subject to such attestation) to the Reporting Person and such attestation shares were not sold by the Reporting Person or delivered to the Issuer. Nevertheless, the SEC deems such exercise and related attestation to be a disposition of shares for purposes of Section 16(a) of the Securities Exchange Act of 1934.

F3 · balance_after: Includes (a) a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (f) 86,488 shares of common stock held by the Reporting Person.

Read SEC document
August 14, 2018 Filed Aug 15, 2018 20:23 UTC
Sun YongVP - Commercial Operations
Exercise / conversionCommon Stock 50,000 $4.31 $215,500.00
Disclosure

SEC source: 0001209191-18-046795 · doc4.xml · nonDerivative · entry 1

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,732

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 · balance_after: Includes (a) a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (f) 124,076 shares of common stock held by the Reporting Person.

Read SEC document
August 09, 2018 Filed Aug 9, 2018 21:00 UTC
Duchemin JeffreyDirector · Chief Executive Officer
Exercise / conversionStock option (right to buy) · Derivative 44,500 $0.00 Strike: $4.31 $0.00
Disclosure

SEC source: 0001209191-18-046059 · doc4.xml · derivative · entry 9

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock, par value $0.01 per share · 394,500 shares

Expires 2023-11-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

Read SEC document
August 09, 2018 Filed Aug 9, 2018 21:00 UTC
Duchemin JeffreyDirector · Chief Executive Officer
SaleCommon Stock 44,500 $6.41 $285,245.00
Disclosure

SEC source: 0001209191-18-046059 · doc4.xml · nonDerivative · entry 6

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 790,742

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.35 to $6.45, 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 ranges set forth in this footnote (9).

F5 · balance_after: Includes the awards referenced in clauses (a) through (f) of footnotes (2) and (3) above plus 98,842 shares of common stock held by the Reporting Person.

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August 09, 2018 Filed Aug 9, 2018 21:00 UTC
Duchemin JeffreyDirector · Chief Executive Officer
Exercise / conversionCommon Stock 44,500 $4.31 $191,795.00
Disclosure

SEC source: 0001209191-18-046059 · doc4.xml · nonDerivative · entry 5

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 835,242

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F8 · balance_after: Includes the awards referenced in clauses (a) through (f) of footnotes (2) and (3) above plus 143,342 shares of common stock held by the Reporting Person.

Read SEC document
August 08, 2018 Filed Aug 9, 2018 21:00 UTC
Duchemin JeffreyDirector · Chief Executive Officer
Exercise / conversionStock option (right to buy) · Derivative 5,500 $0.00 Strike: $4.31 $0.00
Disclosure

SEC source: 0001209191-18-046059 · doc4.xml · derivative · entry 8

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394,500

Underlying: Common Stock, par value $0.01 per share · 400,000 shares

Expires 2013-11-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

Read SEC document
August 08, 2018 Filed Aug 9, 2018 21:00 UTC
Duchemin JeffreyDirector · Chief Executive Officer
SaleCommon Stock 5,500 $6.35 $34,925.00
Disclosure

SEC source: 0001209191-18-046059 · doc4.xml · nonDerivative · entry 4

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 790,742

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.35 to $6.40, 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 ranges set forth in this footnote (7).

F5 · balance_after: Includes the awards referenced in clauses (a) through (f) of footnotes (2) and (3) above plus 98,842 shares of common stock held by the Reporting Person.

Read SEC document
August 08, 2018 Filed Aug 9, 2018 21:00 UTC
Duchemin JeffreyDirector · Chief Executive Officer
Exercise / conversionCommon Stock 5,500 $4.31 $23,705.00
Disclosure

SEC source: 0001209191-18-046059 · doc4.xml · nonDerivative · entry 3

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 796,242

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F6 · balance_after: Includes the awards referenced in clauses (a) through (f) of footnotes (2) and (3) above plus 104,342 shares of common stock held by the Reporting Person.

Read SEC document
August 07, 2018 Filed Aug 9, 2018 21:00 UTC
Duchemin JeffreyDirector · Chief Executive Officer
Exercise / conversionStock option (right to buy) · Derivative 100,000 $0.00 Strike: $4.31 $0.00
Disclosure

SEC source: 0001209191-18-046059 · doc4.xml · derivative · entry 7

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock, par value $0.01 per share · 500,000 shares

Expires 2023-11-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

Read SEC document
August 07, 2018 Filed Aug 9, 2018 21:00 UTC
Duchemin JeffreyDirector · Chief Executive Officer
SaleCommon Stock 100,000 $6.07 $607,000.00
Disclosure

SEC source: 0001209191-18-046059 · doc4.xml · nonDerivative · entry 2

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 790,742

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.15 to $6.23, 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 ranges set forth in this footnote (4).

F5 · balance_after: Includes the awards referenced in clauses (a) through (f) of footnotes (2) and (3) above plus 98,842 shares of common stock held by the Reporting Person.

Read SEC document
August 07, 2018 Filed Aug 9, 2018 21:00 UTC
Duchemin JeffreyDirector · Chief Executive Officer
Exercise / conversionCommon Stock 100,000 $4.31 $431,000.00
Disclosure

SEC source: 0001209191-18-046059 · doc4.xml · nonDerivative · entry 1

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 890,742

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · balance_after: Includes (a) a deferred stock award of 94,444 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 94,444 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (c) a deferred stock award of 268,206 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (d) a deferred stock award of 145,833 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (e) a deferred stock award of 17,225 restricted stock units which shall vest in full on January 1, 2019; (continued in footnote 3 below)

F3 · balance_after: (continuation of footnote 3 above) (f) a deferred stock award of 71,748 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (g) 198,842 shares of common stock held by the Reporting Person.

Read SEC document
August 07, 2018 Filed Aug 9, 2018 20:20 UTC
Gagnon Robert E.Chief Financial Officer
Exercise / conversionStock option (right to buy) · Derivative 37,500 $0.00 Strike: $5.56 $0.00
Disclosure

SEC source: 0001209191-18-046028 · doc4.xml · derivative · entry 7

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock, par value $0.01 per share · 50,000 shares

Expires 2025-06-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F10 · derivative.exercise_date: The option vested in four equal annual installments on each of January 1, 2016, 2017, 2018 and 2019.

Read SEC document
August 07, 2018 Filed Aug 9, 2018 20:20 UTC
Gagnon Robert E.Chief Financial Officer
Exercise / conversionStock option (right to buy) · Derivative 20,000 $0.00 Strike: $4.12 $0.00
Disclosure

SEC source: 0001209191-18-046028 · doc4.xml · derivative · entry 6

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 20,000 shares

Expires 2024-05-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F9 · derivative.exercise_date: The option vested in four equal annual installments on each of January 1, 2015, 2016, 2017 and 2018.

Read SEC document
August 07, 2018 Filed Aug 9, 2018 20:20 UTC
Gagnon Robert E.Chief Financial Officer
Exercise / conversionStock option (right to buy) · Derivative 30,000 $0.00 Strike: $4.31 $0.00
Disclosure

SEC source: 0001209191-18-046028 · doc4.xml · derivative · entry 5

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 30,000 shares

Expires 2023-11-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F8 · derivative.exercise_date: The option vested in four equal annual installments on each of November 18, 2014, 2015, 2016 and 2017.

Read SEC document
August 07, 2018 Filed Aug 9, 2018 20:20 UTC
Gagnon Robert E.Chief Financial Officer
SaleCommon Stock 100,015 $6.08 $608,091.20
Disclosure

SEC source: 0001209191-18-046028 · doc4.xml · nonDerivative · entry 4

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,286

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.05 to $6.23, 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 ranges set forth in this footnote (6).

F7 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above.

Read SEC document
August 07, 2018 Filed Aug 9, 2018 20:20 UTC
Gagnon Robert E.Chief Financial Officer
Exercise / conversionCommon Stock 37,500 $5.56 $208,500.00
Disclosure

SEC source: 0001209191-18-046028 · doc4.xml · nonDerivative · entry 3

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 449,301

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F5 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 100,015 shares of common stock held by the Reporting Person.

Read SEC document
August 07, 2018 Filed Aug 9, 2018 20:20 UTC
Gagnon Robert E.Chief Financial Officer
Exercise / conversionCommon Stock 20,000 $4.12 $82,400.00
Disclosure

SEC source: 0001209191-18-046028 · doc4.xml · nonDerivative · entry 2

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,801

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F4 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 62,515 shares of common stock held by the Reporting Person.

Read SEC document
August 07, 2018 Filed Aug 9, 2018 20:20 UTC
Gagnon Robert E.Chief Financial Officer
Exercise / conversionCommon Stock 30,000 $4.31 $129,300.00
Disclosure

SEC source: 0001209191-18-046028 · doc4.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391,801

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · balance_after: Includes (a) a deferred stock award of 40,000 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 40,000 restricted stock units which vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (c) a deferred stock award of 81,522 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (d) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (e) a deferred stock award of 44,326 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (continued in footnote 3 below)

F3 · balance_after: (continuation of footnote 2 above) (f) a deferred stock award of 6,625 restricted stock units which shall vest in full on January 1, 2019; (g) a deferred stock award of 28,117 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (h) 42,515 shares of common stock held by the Reporting Person.

Read SEC document
August 03, 2018 Filed Aug 13, 2018 20:09 UTC
Duchemin JeffreyDirector · Chief Executive Officer
Tax withholdingCommon Stock 12,619 $5.70 $71,928.30
Disclosure

SEC source: 0001209191-18-046402 · doc4.xml · nonDerivative · entry 1

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 742,249

F1 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain restricted stock units previously granted to the Reporting Person on August 3, 2015.

F2 · balance_after: Includes (a) a deferred stock award of 94,444 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 94,444 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (c) a deferred stock award of 268,206 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (d) a deferred stock award of 145,833 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (e) a deferred stock award of 17,225 restricted stock units which shall vest in full on January 1, 2019; and (f) 122,097 shares of common stock held by the Reporting Person.

Read SEC document
August 03, 2018 Filed Aug 13, 2018 20:10 UTC
Gagnon Robert E.Chief Financial Officer
Tax withholdingCommon Stock 5,170 $5.70 $29,469.00
Disclosure

SEC source: 0001209191-18-046408 · doc4.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,058

F1 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain restricted stock units previously granted to the Reporting Person on August 3, 2015.

F2 · balance_after: Includes (a) a deferred stock award of 40,000 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 40,000 restricted stock units which vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (c) a deferred stock award of 81,522 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (d) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (e) a deferred stock award of 44,326 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (f) a deferred stock award of 6,625 restricted stock units which shall vest in full on January 1, 2019; and (g) 8,889 shares of common stock held by the Reporting Person.

Read SEC document
August 03, 2018 Filed Aug 13, 2018 20:12 UTC
Sun YongVP - Commercial Operations
Tax withholdingCommon Stock 2,043 $5.70 $11,645.10
Disclosure

SEC source: 0001209191-18-046412 · doc4.xml · nonDerivative · entry 1

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,732

F1 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain restricted stock units previously granted to the Reporting Person on August 3, 2015.

F2 · balance_after: Includes (a) a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (f) 74,076 shares of common stock held by the Reporting Person.

Read SEC document
August 01, 2018 Filed Aug 2, 2018 22:57 UTC
Sun YongVP - Commercial Operations
Exercise / conversionStock option (right to buy) · Derivative 50,000 $0.00 Strike: $4.31 $0.00
Disclosure

SEC source: 0001209191-18-045094 · doc4.xml · derivative · entry 3

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock, par value $0.01 per share · 100,000 shares

Expires 2023-11-18

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.

F5 · shares: Represent the exercise of stock options granted pursuant to the Issuer's 2000 Stock Option and Incentive Plan, as amended.

F6 · derivative.exercise_date: The option vested in four equal installments on each of November 18, 2014, 2015, 2016 and 2017.

Read SEC document
August 01, 2018 Filed Aug 2, 2018 22:57 UTC
Sun YongVP - Commercial Operations
Tax withholdingCommon Stock 41,054 $5.75 $236,060.50
Disclosure

SEC source: 0001209191-18-045094 · doc4.xml · nonDerivative · entry 2

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,804

F3 · shares: Represents the number of shares of common stock that the Reporting Person attested to the ownership thereof in accordance with the Issuer's Third Amended and Restated 2000 Stock Option and Incentive Plan, as amended, in connection with the payment of the option exercise price and taxes. With respect to each option exercise, the Issuer only delivered the net amount of the option shares (after reducing the option shares by the amount of shares subject to such attestation) to the Reporting Person and such attestation shares were not sold by the Reporting Person or delivered to the Issuer. Nevertheless, the SEC deems such exercise and related attestation to be a disposition of shares for purposes of Section 16(a) of the Securities Exchange Act of 1934.

F4 · balance_after: Includes the awards referenced in clauses (a) through (f) of footnotes (1) and (2) above plus 69,090 shares of common stock held by the Reporting Person.

Read SEC document
August 01, 2018 Filed Aug 2, 2018 22:57 UTC
Sun YongVP - Commercial Operations
Exercise / conversionCommon Stock 50,000 $4.31 $215,500.00
Disclosure

SEC source: 0001209191-18-045094 · doc4.xml · nonDerivative · entry 1

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,858

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 · balance_after: Includes (a) a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 14,058 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; (continued in footnote 2 below)

F2 · balance_after: (continuation of footnote 1 above) (f) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (g) 110,144 shares of common stock held by the Reporting Person.

Read SEC document
July 27, 2018 Filed Jul 31, 2018 20:08 UTC
Gagnon Robert E.Chief Financial Officer
Exercise / conversionStock option (right to buy) · Derivative 20,000 $0.00 Strike: $4.12 $0.00
Disclosure

SEC source: 0001209191-18-044542 · doc4.xml · derivative · entry 5

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock, par value $0.01 per share · 40,000 shares

Expires 2024-05-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F8 · derivative.exercise_date: The option vested in four equal annual installments on each of January 1, 2015, 2016, 2017 and 2018.

Read SEC document
July 27, 2018 Filed Jul 31, 2018 20:08 UTC
Gagnon Robert E.Chief Financial Officer
Exercise / conversionStock option (right to buy) · Derivative 30,000 $0.00 Strike: $4.31 $0.00
Disclosure

SEC source: 0001209191-18-044542 · doc4.xml · derivative · entry 4

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock, par value $0.01 per share · 60,000 shares

Expires 2023-11-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F7 · derivative.exercise_date: The option vested in four equal annual installments on each of November 18, 2014, 2015, 2016 and 2017.

Read SEC document
July 27, 2018 Filed Jul 31, 2018 20:08 UTC
Gagnon Robert E.Chief Financial Officer
SaleCommon Stock 62,514 $5.54 $346,327.56
Disclosure

SEC source: 0001209191-18-044542 · doc4.xml · nonDerivative · entry 3

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 361,801

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.50 to $5.70, 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 ranges set forth in this footnote (5).

F6 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 12,515 shares of common stock held by the Reporting Person.

Read SEC document
July 27, 2018 Filed Jul 31, 2018 20:08 UTC
Gagnon Robert E.Chief Financial Officer
Exercise / conversionCommon Stock 20,000 $4.12 $82,400.00
Disclosure

SEC source: 0001209191-18-044542 · doc4.xml · nonDerivative · entry 2

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 424,315

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F4 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 75,029 shares of common stock held by the Reporting Person.

Read SEC document
July 27, 2018 Filed Jul 31, 2018 20:08 UTC
Gagnon Robert E.Chief Financial Officer
Exercise / conversionCommon Stock 30,000 $4.31 $129,300.00
Disclosure

SEC source: 0001209191-18-044542 · doc4.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 404,315

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · balance_after: Includes (a) a deferred stock award of 40,000 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 40,000 restricted stock units which vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (c) a deferred stock award of 81,522 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (d) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (e) a deferred stock award of 44,326 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (continued in footnote 3 below)

F3 · balance_after: (continuation of footnote 2 above) (f) a deferred stock award of 6,625 restricted stock units which shall vest in full on January 1, 2019; (g) a deferred stock award of 28,117 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (h) 55,029 shares of common stock held by the Reporting Person.

Read SEC document
July 24, 2018 Filed Jul 26, 2018 23:13 UTC
Gagnon Robert E.Chief Financial Officer
SaleCommon Stock 5,570 $5.25 $29,242.50
Disclosure

SEC source: 0001209191-18-044102 · doc4.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,315

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · balance_after: Includes (a) a deferred stock award of 40,000 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 40,000 restricted stock units which vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (c) a deferred stock award of 81,522 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (d) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (e) a deferred stock award of 44,326 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (continued in footnote 3 below)

F3 · balance_after: (continuation of footnote 2 above) (f) a deferred stock award of 6,625 restricted stock units which shall vest in full on January 1, 2019; (g) a deferred stock award of 28,117 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (h) 25,029 shares of common stock held by the Reporting Person.

Read SEC document
July 23, 2018 Filed Jul 23, 2018 20:54 UTC
Gagnon Robert E.Chief Financial Officer
SaleCommon Stock 1,465 $5.25 $7,691.25
Disclosure

SEC source: 0001209191-18-043624 · doc4.xml · nonDerivative · entry 2

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,885

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F4 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 30,599 shares of common stock held by the Reporting Person.

Read SEC document
July 19, 2018 Filed Jul 23, 2018 20:54 UTC
Gagnon Robert E.Chief Financial Officer
SaleCommon Stock 1,100 $5.25 $5,775.00
Disclosure

SEC source: 0001209191-18-043624 · doc4.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 381,350

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · balance_after: Includes (a) a deferred stock award of 40,000 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 40,000 restricted stock units which vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (c) a deferred stock award of 81,522 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (d) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (e) a deferred stock award of 44,326 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (continued in footnote 3 below)

F3 · balance_after: (continuation of footnote 2 above) (f) a deferred stock award of 6,625 restricted stock units which shall vest in full on January 1, 2019; (g) a deferred stock award of 28,117 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (h) 32,064 shares of common stock held by the Reporting Person.

Read SEC document
July 13, 2018 Filed Jul 16, 2018 21:10 UTC
Gagnon Robert E.Chief Financial Officer
SaleCommon Stock 1,062 $5.25 $5,575.50
Disclosure

SEC source: 0001209191-18-042657 · doc4.xml · nonDerivative · entry 3

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 382,450

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F5 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 33,164 shares of common stock held by the Reporting Person.

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July 12, 2018 Filed Jul 16, 2018 21:10 UTC
Gagnon Robert E.Chief Financial Officer
Exercise / conversionStock option (right to buy) · Derivative 5,828 $0.00 Strike: $4.12 $0.00
Disclosure

SEC source: 0001209191-18-042657 · doc4.xml · derivative · entry 4

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock, par value $0.01 per share · 45,828 shares

Expires 2024-05-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F6 · derivative.exercise_date: The option vested in four equal annual installments on each of January 1, 2015, 2016, 2017 and 2018.

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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.