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Nasdaq · USD

HDSN

HUDSON TECHNOLOGIES INC /NY

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Tapewire entity
6244
SEC CIK
0000925528
Parsed reports
256

Last 12 months

Inside the activity.

28 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202502
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 2026110
Jun 202610
Jul 202670
Aug 202630
Sep 202650
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 13, 2017 Filed Nov 16, 2017 00:08 UTC GrantStock Option (Right to buy) · Derivative 9,009 $0.00 Strike: $6.18 $0.00
Disclosure

SEC source: 0001010541-17-000017 · primary_doc.xml · derivative · entry 1

MONETTA DOMINIC J · CIK 0001250697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,009

Underlying: Common Stock · 9,009 shares

Expires 2020-11-13

Read SEC document
November 13, 2017 Filed Nov 16, 2017 00:03 UTC
MORCH OTTO CDirector
GrantStock Option (Right to buy) · Derivative 13,513 $0.00 Strike: $6.18 $0.00
Disclosure

SEC source: 0001010541-17-000016 · primary_doc.xml · derivative · entry 1

MORCH OTTO C · CIK 0001250698 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,513

Underlying: Common Stock · 13,513 shares

Expires 2020-11-13

Read SEC document
November 13, 2017 Filed Nov 15, 2017 23:58 UTC GrantCommon Stock · Derivative 18,018 $0.00 Strike: $6.18 $0.00
Disclosure

SEC source: 0001010541-17-000015 · primary_doc.xml · derivative · entry 4

ABBATECOLA VINCENT P · CIK 0001250688 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,018

Underlying: Common Stock · 18,018 shares

Expires 2020-11-13

Read SEC document
November 13, 2017 Filed Nov 15, 2017 23:58 UTC Exercise / conversionStock Option (Right to buy) · Derivative 40,000 $0.00 Strike: $0.85 $0.00
Disclosure

SEC source: 0001010541-17-000015 · primary_doc.xml · derivative · entry 3

ABBATECOLA VINCENT P · CIK 0001250688 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2017-11-20

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.

Read SEC document
November 13, 2017 Filed Nov 15, 2017 23:58 UTC Tax withholdingCommon Stock 5,502 $6.18 $34,002.36
Disclosure

SEC source: 0001010541-17-000015 · primary_doc.xml · nonDerivative · entry 2

ABBATECOLA VINCENT P · CIK 0001250688 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,219

F4 · shares: No shares were sold on the open market. Pursuant to provisions of the Company's Stock Incentive Plan, shares from the option exercise were applied by the Company to cover the purchase price upon exercise of the options.

F3 · price: Closing Stock price on 11/13/2017

F1 · balance_after: Includes 150,973 shares which may be purchased pursuant to stock options, and includes 50,882 shares held by spouse.

F2 · ownership.direct: Includes 50,882 shares held by spouse.

Read SEC document
November 13, 2017 Filed Nov 15, 2017 23:58 UTC Exercise / conversionCommon Stock 40,000 $0.85 $34,000.00
Disclosure

SEC source: 0001010541-17-000015 · primary_doc.xml · nonDerivative · entry 1

ABBATECOLA VINCENT P · CIK 0001250688 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,721

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 150,973 shares which may be purchased pursuant to stock options, and includes 50,882 shares held by spouse.

F2 · ownership.direct: Includes 50,882 shares held by spouse.

Read SEC document
November 13, 2017 Filed Nov 15, 2017 23:10 UTC GrantCommon Stock 3,236 $0.00 $0.00
Disclosure

SEC source: 0001010541-17-000014 · primary_doc.xml · nonDerivative · entry 1

Proudy Eric A · CIK 0001620724 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,326

F1 · price: Stock grant from Company. All shares vest upon issuance.

Read SEC document
September 11, 2017 Filed Nov 20, 2017 13:25 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory
GiftCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001010541-17-000021 · primary_doc.xml · nonDerivative · entry 1

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Spouse and Children

Disclosed balance after: 1,552,073

F1 · balance_after: Includes 333,000 shares which may be purchased pursuant to stock options. Also includes 766,273 shares held by Spouse and 9,800 shares held by Reporting Person's children

Read SEC document
September 05, 2017 Filed Sep 7, 2017 21:08 UTC
Krishnamurti NatVice President, CFO
Grantcommon stock 3,000 $0.00 $0.00
Disclosure

SEC source: 0001010541-17-000013 · primary_doc.xml · nonDerivative · entry 1

Krishnamurti Nat · CIK 0001478411 · Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,782

F1 · kind: The reported transaction represents a 3,000 common stock grant pursuant to the employment package of the reporting person, such shares set aside and issued under the Company's 2008 Stock Incentive Plan and approved by the Company's Board of Directors.

F1 · shares: The reported transaction represents a 3,000 common stock grant pursuant to the employment package of the reporting person, such shares set aside and issued under the Company's 2008 Stock Incentive Plan and approved by the Company's Board of Directors.

F1 · price: The reported transaction represents a 3,000 common stock grant pursuant to the employment package of the reporting person, such shares set aside and issued under the Company's 2008 Stock Incentive Plan and approved by the Company's Board of Directors.

Read SEC document
August 21, 2017 Filed Aug 22, 2017 23:34 UTC Tax withholdingCommon Stock 10,216 $8.41 $85,916.56
Disclosure

SEC source: 0001010541-17-000012 · primary_doc.xml · nonDerivative · entry 2

Parrillo Richard · CIK 0001620726 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,789

F2 · shares: No shares were sold on the open market. Pursuant to provisions of the Company's Stock Incentive Plan, shares from option exercise were applied by the Company to cover the purchase price due upon exercise of the option.

F3 · price: Closing Stock Price on 8/21/2017

Read SEC document
August 21, 2017 Filed Aug 22, 2017 23:34 UTC Exercise / conversionCommon Stock 26,600 $3.23 $85,918.00
Disclosure

SEC source: 0001010541-17-000012 · primary_doc.xml · nonDerivative · entry 1

Parrillo Richard · CIK 0001620726 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,005

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 39,405 shares which may be purchased pursuant to stock options.

Read SEC document
August 21, 2017 Filed Aug 22, 2017 23:15 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 26,600 $0.00 Strike: $3.23 $0.00
Disclosure

SEC source: 0001010541-17-000011 · primary_doc.xml · derivative · entry 3

Proudy Eric A · CIK 0001620724 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,600 shares

Expires 2017-10-01

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.

Read SEC document
August 21, 2017 Filed Aug 22, 2017 23:15 UTC Tax withholdingCommon Stock 10,216 $8.41 $85,916.56
Disclosure

SEC source: 0001010541-17-000011 · primary_doc.xml · nonDerivative · entry 2

Proudy Eric A · CIK 0001620724 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,090

F1 · shares: No shares were sold on the open market. Pursuant to provisions of the Company's Stock Incentive Plan, shares from option exercise were applied by the Company to cover the purchase price due upon exercise of options.

F2 · price: Closing Stock Price on 8/21/2017

Read SEC document
August 21, 2017 Filed Aug 22, 2017 23:15 UTC Exercise / conversionCommon Stock 26,600 $3.23 $85,918.00
Disclosure

SEC source: 0001010541-17-000011 · primary_doc.xml · nonDerivative · entry 1

Proudy Eric A · CIK 0001620724 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,306

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.

Read SEC document
August 21, 2017 Filed Aug 22, 2017 22:58 UTC Exercise / conversionStock Option (Right to buy) · Derivative 26,600 $0.00 Strike: $3.23 $0.00
Disclosure

SEC source: 0001010541-17-000010 · primary_doc.xml · derivative · entry 3

ABBATECOLA VINCENT P · CIK 0001250688 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,600 shares

Expires 2017-10-01

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.

Read SEC document
August 21, 2017 Filed Aug 22, 2017 22:58 UTC Tax withholdingCommon Stock 10,216 $8.41 $85,916.56
Disclosure

SEC source: 0001010541-17-000010 · primary_doc.xml · nonDerivative · entry 2

ABBATECOLA VINCENT P · CIK 0001250688 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,703

F2 · shares: No shares were sold on the open market. Pursuant to provisions of the Company's Stock Incentive Plan, shares from option exercise were applied by the Company to cover the purchase price due upon exercise of options.

F3 · price: Closing Stock Price on 8/21/2017

F1 · balance_after: Includes 172,955 shares which may be purchased pursuant to stock options, and includes 16,384 shares held in name of spouse

Read SEC document
August 21, 2017 Filed Aug 22, 2017 22:58 UTC Exercise / conversionCommon Stock 26,600 $3.23 $85,918.00
Disclosure

SEC source: 0001010541-17-000010 · primary_doc.xml · nonDerivative · entry 1

ABBATECOLA VINCENT P · CIK 0001250688 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,919

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 172,955 shares which may be purchased pursuant to stock options, and includes 16,384 shares held in name of spouse

Read SEC document
August 21, 2017 Filed Aug 22, 2017 22:47 UTC
MORCH OTTO CDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 16,600 $0.00 Strike: $3.23 $0.00
Disclosure

SEC source: 0001010541-17-000009 · primary_doc.xml · derivative · entry 3

MORCH OTTO C · CIK 0001250698 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,600 shares

Expires 2017-10-01

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.

Read SEC document
August 21, 2017 Filed Aug 22, 2017 22:47 UTC
MORCH OTTO CDirector
Tax withholdingCommon Stock 6,376 $8.41 $53,622.16
Disclosure

SEC source: 0001010541-17-000009 · primary_doc.xml · nonDerivative · entry 2

MORCH OTTO C · CIK 0001250698 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,060

F2 · shares: No shares were sold on the open market. Pursuant to provisions of the Company's Stock Incentive Plan, shares from option exercises were applied by the Company to cover the purchase price due upon exercise of options.

F3 · price: Closing Stock Price on 8/21/2017

F1 · balance_after: Includes 141,433 shares which may be purchased pursuant to stock options.

Read SEC document
August 21, 2017 Filed Aug 22, 2017 22:47 UTC
MORCH OTTO CDirector
Exercise / conversionCommon Stock 16,600 $8.41 $139,606.00
Disclosure

SEC source: 0001010541-17-000009 · primary_doc.xml · nonDerivative · entry 1

MORCH OTTO C · CIK 0001250698 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,436

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 141,433 shares which may be purchased pursuant to stock options.

Read SEC document
August 18, 2017 Filed Aug 22, 2017 22:30 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 26,600 $0.00 Strike: $3.23 $0.00
Disclosure

SEC source: 0001010541-17-000008 · primary_doc.xml · derivative · entry 3

MONETTA DOMINIC J · CIK 0001250697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,600 shares

Expires 2017-10-01

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.

Read SEC document
August 18, 2017 Filed Aug 22, 2017 22:30 UTC Tax withholdingCommon Stock 10,037 $8.56 $85,916.72
Disclosure

SEC source: 0001010541-17-000008 · primary_doc.xml · nonDerivative · entry 2

MONETTA DOMINIC J · CIK 0001250697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,868

F2 · shares: No shares sold on the open market. Pursuant to provisions of the Company's Stock Incentive Plan, shares from option exercise were applied by the Company to cover the purchase price due upon exercise of options.

F3 · price: Closing Stock Price on 8/18/2017

F1 · balance_after: Includes 132,955 shares which may be purchased pursuant to options.

Read SEC document
August 18, 2017 Filed Aug 22, 2017 22:30 UTC Exercise / conversionCommon Stock 26,600 $3.23 $85,918.00
Disclosure

SEC source: 0001010541-17-000008 · primary_doc.xml · nonDerivative · entry 1

MONETTA DOMINIC J · CIK 0001250697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,905

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 132,955 shares which may be purchased pursuant to options.

Read SEC document
August 18, 2017 Filed Aug 22, 2017 21:59 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory
Exercise / conversionStock Option (Right to Buy) · Derivative 76,855 $0.00 Strike: $3.23 $0.00
Disclosure

SEC source: 0001010541-17-000006 · primary_doc.xml · derivative · entry 7

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 76,855 shares

Expires 2017-10-01

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.

Read SEC document
August 18, 2017 Filed Aug 22, 2017 21:59 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory
Exercise / conversionStock Option (Right to Buy) · Derivative 28,145 $0.00 Strike: $3.55 $0.00
Disclosure

SEC source: 0001010541-17-000006 · primary_doc.xml · derivative · entry 6

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,145 shares

Expires 2017-10-01

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.

Read SEC document
August 18, 2017 Filed Aug 22, 2017 21:59 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory
Tax withholdingCommon Stock 59,088 $8.56 $505,793.28
Disclosure

SEC source: 0001010541-17-000006 · primary_doc.xml · nonDerivative · entry 5

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Spouse and Children

Disclosed balance after: 1,557,073

F5 · shares: No shares sold on the open market. Pursuant to provisions of the Company's Stock Incentive Plan, shares from option exercises were applied by the Company to cover the purchase price and taxes due upon exercise of options.

F6 · price: Closing Stock Price on August 18, 2017

F2 · balance_after: Includes 443,000 shares held by Reporting Person and 9,800 shares held by Reporting Person's children.

F4 · balance_after: Includes 333,000 shares which may be purchased pursuant to stock options

Read SEC document
August 18, 2017 Filed Aug 22, 2017 21:59 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory
Exercise / conversionCommon Stock 28,145 $3.55 $99,914.75
Disclosure

SEC source: 0001010541-17-000006 · primary_doc.xml · nonDerivative · entry 4

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Spouse and Children

Disclosed balance after: 1,616,161

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

F2 · balance_after: Includes 443,000 shares held by Reporting Person and 9,800 shares held by Reporting Person's children.

F4 · balance_after: Includes 333,000 shares which may be purchased pursuant to stock options

Read SEC document
August 18, 2017 Filed Aug 22, 2017 21:59 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory
Exercise / conversionCommon Stock 76,855 $3.23 $248,241.65
Disclosure

SEC source: 0001010541-17-000006 · primary_doc.xml · nonDerivative · entry 3

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Spouse and Children

Disclosed balance after: 1,616,161

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

F2 · balance_after: Includes 443,000 shares held by Reporting Person and 9,800 shares held by Reporting Person's children.

F3 · balance_after: Includes 361,145 shares which may be purchased pursuant to options

Read SEC document
August 18, 2017 Filed Aug 22, 2017 21:27 UTC
ZUGIBE KEVIN JDirector · Chairman, CEO
Exercise / conversionStock Option · Derivative 251,855 $0.00 Strike: $3.23 $0.00
Disclosure

SEC source: 0001010541-17-000005 · primary_doc.xml · derivative · entry 6

ZUGIBE KEVIN J · CIK 0001010543 · Director · Chairman, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 251,855 shares

Expires 2017-10-01

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.

Read SEC document
August 18, 2017 Filed Aug 22, 2017 21:27 UTC
ZUGIBE KEVIN JDirector · Chairman, CEO
Exercise / conversionStock Option (right to buy) · Derivative 28,145 $0.00 Strike: $3.55 $0.00
Disclosure

SEC source: 0001010541-17-000005 · primary_doc.xml · derivative · entry 5

ZUGIBE KEVIN J · CIK 0001010543 · Director · Chairman, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,145 shares

Expires 2017-10-01

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.

Read SEC document
August 18, 2017 Filed Aug 22, 2017 21:27 UTC
ZUGIBE KEVIN JDirector · Chairman, CEO
Tax withholdingCommon Stock 176,590 $8.56 $1,511,610.40
Disclosure

SEC source: 0001010541-17-000005 · primary_doc.xml · nonDerivative · entry 4

ZUGIBE KEVIN J · CIK 0001010543 · Director · Chairman, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,304,103

F4 · shares: No shares sold on the open market. Pursuant to provisions of the Company's Stock Incentive Plan, shares from option exercises were applied by the Company to cover the purchase price and taxes due upon exercise of options.

F5 · price: Closing Stock Price on August 18, 2017

F3 · balance_after: Includes 823,000 shares which may be purchased pursuant to stock options.

Read SEC document
August 18, 2017 Filed Aug 22, 2017 21:27 UTC
ZUGIBE KEVIN JDirector · Chairman, CEO
Exercise / conversionCommon Stock 28,145 $3.55 $99,914.75
Disclosure

SEC source: 0001010541-17-000005 · primary_doc.xml · nonDerivative · entry 3

ZUGIBE KEVIN J · CIK 0001010543 · Director · Chairman, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,480,693

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.

F3 · balance_after: Includes 823,000 shares which may be purchased pursuant to stock options.

Read SEC document
August 18, 2017 Filed Aug 22, 2017 21:27 UTC
ZUGIBE KEVIN JDirector · Chairman, CEO
Exercise / conversionCommon Stock 251,855 $3.23 $813,491.65
Disclosure

SEC source: 0001010541-17-000005 · primary_doc.xml · nonDerivative · entry 2

ZUGIBE KEVIN J · CIK 0001010543 · Director · Chairman, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,480,693

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

F2 · balance_after: Includes 851,145 shares which may be purchased pursuant to stock options.

Read SEC document
August 03, 2017 Filed Aug 22, 2017 21:59 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory
GiftCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001010541-17-000006 · primary_doc.xml · nonDerivative · entry 2

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Spouse and Children

Disclosed balance after: 1,616,161

F1 · balance_after: Includes 438,000 shares which may be purchased pursuant to stock options.

F2 · balance_after: Includes 443,000 shares held by Reporting Person and 9,800 shares held by Reporting Person's children.

Read SEC document
August 01, 2017 Filed Aug 22, 2017 23:34 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 26,600 $0.00 Strike: $3.23 $0.00
Disclosure

SEC source: 0001010541-17-000012 · primary_doc.xml · derivative · entry 3

Parrillo Richard · CIK 0001620726 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,600 shares

Expires 2017-10-01

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.

Read SEC document
June 05, 2017 Filed Aug 22, 2017 21:59 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory
GiftCommon Stock 100 $0.00 $0.00
Disclosure

SEC source: 0001010541-17-000006 · primary_doc.xml · nonDerivative · entry 1

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Spouse and Children

Disclosed balance after: 1,621,161

F1 · balance_after: Includes 438,000 shares which may be purchased pursuant to stock options.

F2 · balance_after: Includes 443,000 shares held by Reporting Person and 9,800 shares held by Reporting Person's children.

Read SEC document
April 29, 2017 Filed Aug 22, 2017 21:27 UTC
ZUGIBE KEVIN JDirector · Chairman, CEO
GiftCommon Stock 4,000 $0.00 $0.00
Disclosure

SEC source: 0001010541-17-000005 · primary_doc.xml · nonDerivative · entry 1

ZUGIBE KEVIN J · CIK 0001010543 · Director · Chairman, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,480,693

F1 · balance_after: Includes 1,103,000 shares which may be purchased pursuant to stock options

Read SEC document
December 30, 2016 Filed Feb 7, 2017 02:52 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory
GiftCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001010541-17-000002 · primary_doc.xml · nonDerivative · entry 4

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held by spouse

Disclosed balance after: 1,621,261

F2 · balance_after: Includes 438,000 shares which may be purchased pursuant to stock options; 443,000 shares held by Reporting Person; 730,461 shares held by Reporting Person's spouse; and 9,800 shares held by Reporting Person's children.

F4 · ownership.nature: Shares donated by Reporting Person's spouse

Read SEC document
December 29, 2016 Filed Feb 7, 2017 02:58 UTC
ZUGIBE KEVIN JDirector · Chairman, CEO
GiftCommon Stock 55,100 $0.00 $0.00
Disclosure

SEC source: 0001010541-17-000003 · primary_doc.xml · nonDerivative · entry 1

ZUGIBE KEVIN J · CIK 0001010543 · Director · Chairman, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,484,693

F1 · balance_after: Includes 1,103,000 shares which may be purchased pursuant to stock options.

Read SEC document
December 29, 2016 Filed Feb 7, 2017 02:52 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory
GiftCommon Stock 3,800 $0.00 $0.00
Disclosure

SEC source: 0001010541-17-000002 · primary_doc.xml · nonDerivative · entry 3

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held by children

Disclosed balance after: 1,621,261

F2 · balance_after: Includes 438,000 shares which may be purchased pursuant to stock options; 443,000 shares held by Reporting Person; 730,461 shares held by Reporting Person's spouse; and 9,800 shares held by Reporting Person's children.

F3 · ownership.nature: Shares gifted to Reporting Person's children.

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December 28, 2016 Filed Feb 7, 2017 02:52 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory
GiftCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001010541-17-000002 · primary_doc.xml · nonDerivative · entry 2

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory

10b5-1 filing: Not disclosed

Ownership: Indirect · shares donated by spouse

Disclosed balance after: 1,621,261

F2 · balance_after: Includes 438,000 shares which may be purchased pursuant to stock options; 443,000 shares held by Reporting Person; 730,461 shares held by Reporting Person's spouse; and 9,800 shares held by Reporting Person's children.

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December 24, 2016 Filed Feb 7, 2017 02:52 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory
GiftCommon Stock 6,000 $0.00 $0.00
Disclosure

SEC source: 0001010541-17-000002 · primary_doc.xml · nonDerivative · entry 1

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares were gifted by spouse to children

Disclosed balance after: 1,621,261

F1 · shares: Shares were gifted by reporting person's spouse to reporting person's children. Reporting person retained beneficial ownership.

F2 · balance_after: Includes 438,000 shares which may be purchased pursuant to stock options; 443,000 shares held by Reporting Person; 730,461 shares held by Reporting Person's spouse; and 9,800 shares held by Reporting Person's children.

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November 14, 2016 Filed Feb 16, 2017 23:59 UTC
MORCH OTTO CDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $3.23 $0.00
Disclosure

SEC source: 0001010541-17-000004 · primary_doc.xml · derivative · entry 2

MORCH OTTO C · CIK 0001250698 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,600

Underlying: Common Stock · 10,000 shares

Expires 2017-10-01

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

F2 · balance_after: Exercised 10,000 stock options of the 26,600 stock options issued 10/1/2014, leaving 16,600 options remaining

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November 14, 2016 Filed Feb 16, 2017 23:59 UTC
MORCH OTTO CDirector
Exercise / conversionCommon Stock 10,000 $3.23 $32,300.00
Disclosure

SEC source: 0001010541-17-000004 · primary_doc.xml · nonDerivative · entry 1

MORCH OTTO C · CIK 0001250698 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,425

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 158,022 shares which may be purchased pursuant to stock options.

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October 11, 2016 Filed Oct 11, 2016 21:24 UTC
ZUGIBE KEVIN JDirector · Chairman, Chief Executive Off
GiftCommon Stock 18,750 $0.00 $0.00
Disclosure

SEC source: 0001010541-16-000068 · primary_doc.xml · nonDerivative · entry 2

ZUGIBE KEVIN J · CIK 0001010543 · Director · Chairman, Chief Executive Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,521,043

F2 · price: Shares were donated (gifted)

F1 · balance_after: Includes 1,103,000 shares which may be purchased pursuant to Stock Options.

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October 07, 2016 Filed Oct 11, 2016 21:24 UTC
ZUGIBE KEVIN JDirector · Chairman, Chief Executive Off
Exercise / conversionStock Option (right to buy) · Derivative 9,300 $0.00 Strike: $1.02 $0.00
Disclosure

SEC source: 0001010541-16-000068 · primary_doc.xml · derivative · entry 3

ZUGIBE KEVIN J · CIK 0001010543 · Director · Chairman, Chief Executive Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,300 shares

Expires 2016-10-10

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.

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October 07, 2016 Filed Oct 11, 2016 21:24 UTC
ZUGIBE KEVIN JDirector · Chairman, Chief Executive Off
Exercise / conversionCommon Stock 9,300 $1.02 $9,486.00
Disclosure

SEC source: 0001010541-16-000068 · primary_doc.xml · nonDerivative · entry 1

ZUGIBE KEVIN J · CIK 0001010543 · Director · Chairman, Chief Executive Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,539,793

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 1,103,000 shares which may be purchased pursuant to Stock Options.

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September 26, 2016 Filed Sep 26, 2016 22:00 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory, Sec
GiftCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001010541-16-000067 · primary_doc.xml · nonDerivative · entry 3

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory, Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 881,000

F3 · balance_after: No transaction was involved- reflects holdings in which the reporting person has a direct ownership interest. Includes 438,000 shares which may be purchased pursuant to stock options. Excludes 747,961 shares owned by spouse for which reporting person has an indirect interest.

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September 26, 2016 Filed Sep 26, 2016 22:00 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory, Sec
GiftCommon Stock 7,000 $0.00 $0.00
Disclosure

SEC source: 0001010541-16-000067 · primary_doc.xml · nonDerivative · entry 2

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory, Sec

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Spouse

Disclosed balance after: 747,961

F1 · price: Shares were gifted

F2 · balance_after: Excludes 881,000 shares for which reporting person has direct beneficial ownership

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September 23, 2016 Filed Sep 26, 2016 22:00 UTC
MANDRACCHIA STEPHEN PVP Legal & Regulatory, Sec
GiftCommon Stock 8,700 $0.00 $0.00
Disclosure

SEC source: 0001010541-16-000067 · primary_doc.xml · nonDerivative · entry 1

MANDRACCHIA STEPHEN P · CIK 0001010541 · VP Legal & Regulatory, Sec

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by spouse

Disclosed balance after: 754,961

F1 · price: Shares were gifted

F2 · balance_after: Excludes 881,000 shares for which reporting person has direct beneficial ownership

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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.