Tapewire

Nasdaq · USD

HGBL

Heritage Global Inc.

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Tapewire entity
256
SEC CIK
0000849145
Parsed reports
235

Last 12 months

Inside the activity.

5 purchase rows · 10 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202501
Jan 202601
Feb 202601
Mar 202601
Apr 202601
May 202611
Jun 202600
Jul 202600
Aug 202630
Sep 202612
Oct 202601

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
March 29, 2023 Filed Mar 30, 2023 22:25 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 19,283 $2.86 $55,149.38
Disclosure

SEC source: 0001792549-23-000004 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 3,926,729

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
March 29, 2023 Filed Mar 30, 2023 22:18 UTC SaleCommon Stock 19,283 $2.86 $55,149.38
Disclosure

SEC source: 0001754074-23-000003 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,926,729

Read SEC document
March 28, 2023 Filed Mar 30, 2023 22:25 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 35,345 $2.88 $101,793.60
Disclosure

SEC source: 0001792549-23-000004 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 3,946,012

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
March 27, 2023 Filed Mar 30, 2023 22:18 UTC SaleCommon Stock 35,345 $2.88 $101,793.60
Disclosure

SEC source: 0001754074-23-000003 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,946,012

Read SEC document
March 20, 2023 Filed Mar 22, 2023 20:11 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 49,497 $2.87 $142,056.39
Disclosure

SEC source: 0001792549-23-000003 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 3,981,357

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
March 20, 2023 Filed Mar 22, 2023 20:05 UTC SaleCommon Stock 49,497 $2.87 $142,056.39
Disclosure

SEC source: 0001754074-23-000002 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,981,357

Read SEC document
March 16, 2023 Filed Mar 16, 2023 21:03 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 48,113 $2.82 $135,678.66
Disclosure

SEC source: 0001792549-23-000002 · primary_doc.xml · nonDerivative · entry 3

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 4,030,854

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
March 16, 2023 Filed Mar 16, 2023 20:41 UTC SaleCommon Stock 48,113 $2.82 $135,678.66
Disclosure

SEC source: 0001754074-23-000001 · primary_doc.xml · nonDerivative · entry 3

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,030,854

Read SEC document
March 15, 2023 Filed Mar 16, 2023 21:03 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 81,795 $2.90 $237,205.50
Disclosure

SEC source: 0001792549-23-000002 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 4,078,967

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
March 15, 2023 Filed Mar 16, 2023 20:41 UTC SaleCommon Stock 81,795 $2.90 $237,205.50
Disclosure

SEC source: 0001754074-23-000001 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,078,967

Read SEC document
March 14, 2023 Filed Mar 16, 2023 21:03 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 259,238 $2.90 $751,790.20
Disclosure

SEC source: 0001792549-23-000002 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 4,160,762

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
March 14, 2023 Filed Mar 16, 2023 20:41 UTC SaleCommon Stock 259,238 $2.90 $751,790.20
Disclosure

SEC source: 0001754074-23-000001 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,160,762

Read SEC document
March 01, 2023 Filed Mar 17, 2023 15:53 UTC Tax withholdingCommon Stock 7,934 $2.57 $20,390.38
Disclosure

SEC source: 0001209191-23-019506 · doc4.xml · nonDerivative · entry 2

COBB BRIAN J. · CIK 0001854033 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,771

Read SEC document
March 01, 2023 Filed Mar 17, 2023 15:53 UTC GrantCommon Stock 19,455 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-019506 · doc4.xml · nonDerivative · entry 1

COBB BRIAN J. · CIK 0001854033 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,705

F1 · shares: These shares are restricted and will vest in full on March 1, 2024.

Read SEC document
March 01, 2023 Filed Mar 20, 2023 12:55 UTC
DOVE ROSSDirector · CEO
Tax withholdingCommon Stock 19,664 $2.57 $50,536.48
Disclosure

SEC source: 0001209191-23-019988 · doc4.xml · nonDerivative · entry 2

DOVE ROSS · CIK 0001245119 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,208,509

Read SEC document
March 01, 2023 Filed Mar 20, 2023 12:55 UTC
DOVE ROSSDirector · CEO
GrantCommon Stock 56,864 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-019988 · doc4.xml · nonDerivative · entry 1

DOVE ROSS · CIK 0001245119 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,228,173

F1 · shares: These shares are restricted and will vest in full on March 1, 2024.

Read SEC document
March 01, 2023 Filed Mar 20, 2023 12:48 UTC
Sklar James EdwardEVP, Gen Counsel & Secretary
Tax withholdingCommon Stock 9,513 $2.57 $24,448.41
Disclosure

SEC source: 0001209191-23-019986 · doc4.xml · nonDerivative · entry 2

Sklar James Edward · CIK 0001641547 · EVP, Gen Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 269,952

Read SEC document
March 01, 2023 Filed Mar 20, 2023 12:48 UTC
Sklar James EdwardEVP, Gen Counsel & Secretary
GrantCommon Stock 19,455 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-019986 · doc4.xml · nonDerivative · entry 1

Sklar James Edward · CIK 0001641547 · EVP, Gen Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 279,465

F1 · shares: These shares are restricted and will vest in full on March 1, 2024.

Read SEC document
March 01, 2023 Filed Apr 11, 2023 16:28 UTC Amendment
Sklar James EdwardEVP, Gen Counsel & Secretary
Tax withholdingCommon Stock 9,664 $2.53 $24,449.92
Disclosure

SEC source: 0001209191-23-023978 · doc4a.xml · nonDerivative · entry 2

Sklar James Edward · CIK 0001641547 · EVP, Gen Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 270,109

Read SEC document
March 01, 2023 Filed Apr 11, 2023 16:28 UTC Amendment
Sklar James EdwardEVP, Gen Counsel & Secretary
GrantCommon Stock 19,763 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-023978 · doc4a.xml · nonDerivative · entry 1

Sklar James Edward · CIK 0001641547 · EVP, Gen Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 279,773

F1 · shares: On March 17, 2023 the reporting person filed a Form 4 erroneously reporting the share price of $2.57 per share on disposed shares of common stock. The correct price per share is $2.53. This amendment is being filed to correct the share price, total shares of common stock issued and total shares of common stock withheld by the issuer in order to satisfy the persons payroll tax liability. As a result of the error described above, 308 shares were omitted from Table I, Column 4 and 150 shares were omitted from Column 5. The correct number shares of common stock issued is 19,763 and the correct number of shares of common stock withheld by the issuer is 9,664.

F2 · shares: These shares are restricted and will vest in full on March 1, 2024.

Read SEC document
March 01, 2023 Filed Apr 11, 2023 16:25 UTC Amendment
DOVE ROSSDirector · CEO
Tax withholdingCommon Stock 19,974 $2.53 $50,534.22
Disclosure

SEC source: 0001209191-23-023976 · doc4a.xml · nonDerivative · entry 2

DOVE ROSS · CIK 0001245119 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,209,099

Read SEC document
March 01, 2023 Filed Apr 11, 2023 16:25 UTC Amendment
DOVE ROSSDirector · CEO
GrantCommon Stock 57,764 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-023976 · doc4a.xml · nonDerivative · entry 1

DOVE ROSS · CIK 0001245119 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,229,073

F1 · shares: On March 17, 2023 the reporting person filed a Form 4 erroneously reporting the share price of $2.57 per share on disposed shares of common stock. The correct price per share is $2.53. This amendment is being filed to correct the share price, total shares of common stock issued and total shares of common stock withheld by the issuer in order to satisfy the persons payroll tax liability. As a result of the error described above, 900 shares were omitted from Table I, Column 4 and 311 shares were omitted from Column 5. The correct number shares of common stock issued is 57,764 and the correct number of shares of common stock withheld by the issuer is 19,974.

F2 · shares: These shares are restricted and will vest in full on March 1, 2024.

Read SEC document
March 01, 2023 Filed Apr 11, 2023 16:18 UTC Amendment Tax withholdingCommon Stock 8,059 $2.53 $20,389.27
Disclosure

SEC source: 0001209191-23-023974 · doc4a.xml · nonDerivative · entry 2

COBB BRIAN J. · CIK 0001854033 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,954

Read SEC document
March 01, 2023 Filed Apr 11, 2023 16:18 UTC Amendment GrantCommon Stock 19,763 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-023974 · doc4a.xml · nonDerivative · entry 1

COBB BRIAN J. · CIK 0001854033 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,013

F1 · shares: On March 17, 2023 the reporting person filed a Form 4 erroneously reporting the share price of $2.57 per share on disposed shares of common stock. The correct price per share is $2.53. This amendment is being filed to correct the share price, total shares of common stock issued and total shares of common stock withheld by the issuer in order to satisfy the persons payroll tax liability. As a result of the error described above, 308 shares were omitted from Table I, Column 4 and 125 shares were omitted from Column 5. The correct number shares of common stock issued is 19,763 and the correct number of shares of common stock withheld by the issuer is 8,059.

F2 · shares: These shares are restricted and will vest in full on March 1, 2024.

Read SEC document
February 07, 2023 Filed Feb 9, 2023 15:56 UTC GrantOption to purchase common stock · Derivative 100,000 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001209191-23-007970 · doc4.xml · derivative · entry 1

COBB BRIAN J. · CIK 0001854033 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-02-07

F1 · derivative.exercise_date: Options vest 25% annually beginning on the first anniversary of the grant date.

Read SEC document
September 29, 2022 Filed Sep 30, 2022 23:52 UTC PurchaseCommon Stock 6,500 $1.61 $10,465.00
Disclosure

SEC source: 0001209191-22-051681 · doc4.xml · nonDerivative · entry 1

Hexner Michael · CIK 0001693277 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,851

Read SEC document
September 22, 2022 Filed Sep 24, 2022 01:10 UTC PurchaseCommon Stock 10,000 $1.74 $17,400.00
Disclosure

SEC source: 0001209191-22-051196 · doc4.xml · nonDerivative · entry 1

Hexner Michael · CIK 0001693277 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,351

Read SEC document
September 19, 2022 Filed Sep 21, 2022 17:13 UTC PurchaseCommon Stock 1,325 $1.56 $2,067.00
Disclosure

SEC source: 0001209191-22-050842 · doc4.xml · nonDerivative · entry 1

Hexner Michael · CIK 0001693277 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,351

Read SEC document
August 03, 2022 Filed Aug 5, 2022 17:00 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-044520 · doc4.xml · nonDerivative · entry 2

Sharpe Kelly S · CIK 0001844350 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,800

F2 · price: These shares were granted with a time vesting term that was completed prior to the date of grant, due to the delay in the Company's ability to grant these shares.

Read SEC document
August 03, 2022 Filed Aug 5, 2022 17:00 UTC GrantCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-044520 · doc4.xml · nonDerivative · entry 1

Sharpe Kelly S · CIK 0001844350 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,800

F1 · price: These shares are restricted stock and will vest in full on March 31, 2023

Read SEC document
August 03, 2022 Filed Aug 5, 2022 13:46 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-044482 · doc4.xml · nonDerivative · entry 2

Sinsley Barbara A · CIK 0001821535 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,300

F2 · price: These shares were granted with a time vesting term that was completed prior to the date of grant, due to the delay in the Company's ability to grant these shares.

Read SEC document
August 03, 2022 Filed Aug 5, 2022 13:46 UTC GrantCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-044482 · doc4.xml · nonDerivative · entry 1

Sinsley Barbara A · CIK 0001821535 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,300

F1 · price: These shares are restricted stock and will vest in full on March 31, 2023

Read SEC document
August 03, 2022 Filed Aug 5, 2022 13:44 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-044480 · doc4.xml · nonDerivative · entry 2

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,500

F2 · price: These shares were granted with a time vesting term that was completed prior to the date of grant, due to the delay in the Company's ability to grant these shares.

Read SEC document
August 03, 2022 Filed Aug 5, 2022 13:44 UTC GrantCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-044480 · doc4.xml · nonDerivative · entry 1

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,500

F1 · price: These shares are restricted stock and will vest in full on March 31, 2023

Read SEC document
August 03, 2022 Filed Aug 5, 2022 13:42 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-044478 · doc4.xml · nonDerivative · entry 2

Hexner Michael · CIK 0001693277 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,026

F2 · price: These shares were granted with a time vesting term that was completed prior to the date of grant, due to the delay in the Company's ability to grant these shares.

Read SEC document
August 03, 2022 Filed Aug 5, 2022 13:42 UTC GrantCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-044478 · doc4.xml · nonDerivative · entry 1

Hexner Michael · CIK 0001693277 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,026

F1 · price: These shares are restricted stock and will vest in full on March 31, 2023

Read SEC document
August 03, 2022 Filed Aug 5, 2022 13:39 UTC
Cho ShirleyDirector
GrantCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-044476 · doc4.xml · nonDerivative · entry 1

Cho Shirley · CIK 0001904809 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · price: These shares are restricted stock and will vest in full on March 31, 2023

Read SEC document
July 26, 2022 Filed Jul 28, 2022 21:44 UTC Exercise / conversionOption to purchase common stock · Derivative 10,000 $0.00 Strike: $0.24 $0.00
Disclosure

SEC source: 0001209191-22-043410 · doc4.xml · derivative · entry 12

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2026-03-31

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.

F6 · derivative.exercise_date: Options were granted 3/31/2016 and vested 25% annually beginning on the first anniversary of the grant date.

Read SEC document
July 26, 2022 Filed Jul 28, 2022 21:44 UTC Exercise / conversionOption to purchase common stock · Derivative 25,000 $0.00 Strike: $0.45 $0.00
Disclosure

SEC source: 0001209191-22-043410 · doc4.xml · derivative · entry 11

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2026-12-09

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 · derivative.exercise_date: Options were granted 12/9/2016 and vested 25% annually beginning on the first anniversary of the grant date.

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July 26, 2022 Filed Jul 28, 2022 21:44 UTC Exercise / conversionOption to purchase common stock · Derivative 10,000 $0.00 Strike: $0.48 $0.00
Disclosure

SEC source: 0001209191-22-043410 · doc4.xml · derivative · entry 10

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2027-03-31

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 · derivative.exercise_date: Options were granted 3/31/2017 and vested 25% annually beginning on the first anniversary of the grant date.

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July 26, 2022 Filed Jul 28, 2022 21:44 UTC Exercise / conversionOption to purchase common stock · Derivative 10,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001209191-22-043410 · doc4.xml · derivative · entry 9

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2028-03-30

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.

F3 · derivative.exercise_date: Options were granted 3/30/2018 and vested 25% annually beginning on the first anniversary of the grant date.

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July 26, 2022 Filed Jul 28, 2022 21:44 UTC Exercise / conversionOption to purchase common stock · Derivative 7,500 $0.00 Strike: $0.53 $0.00
Disclosure

SEC source: 0001209191-22-043410 · doc4.xml · derivative · entry 8

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 7,500 shares

Expires 2029-03-29

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

F2 · derivative.exercise_date: Options were granted 3/29/2019 and vested 25% annually beginning on the first anniversary of the grant date.

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July 26, 2022 Filed Jul 28, 2022 21:44 UTC Exercise / conversionOption to purchase common stock · Derivative 5,000 $0.00 Strike: $0.83 $0.00
Disclosure

SEC source: 0001209191-22-043410 · doc4.xml · derivative · entry 7

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2030-03-31

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

F1 · derivative.exercise_date: Options were granted 3/31/2020 and vested 25% annually beginning on the first anniversary of the grant date.

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July 26, 2022 Filed Jul 28, 2022 21:44 UTC Exercise / conversionCommon Stock 10,000 $0.24 $2,400.00
Disclosure

SEC source: 0001209191-22-043410 · doc4.xml · nonDerivative · entry 6

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,000

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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July 26, 2022 Filed Jul 28, 2022 21:44 UTC Exercise / conversionCommon Stock 25,000 $0.45 $11,250.00
Disclosure

SEC source: 0001209191-22-043410 · doc4.xml · nonDerivative · entry 5

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,000

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
July 26, 2022 Filed Jul 28, 2022 21:44 UTC Exercise / conversionCommon Stock 10,000 $0.48 $4,800.00
Disclosure

SEC source: 0001209191-22-043410 · doc4.xml · nonDerivative · entry 4

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,000

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
July 26, 2022 Filed Jul 28, 2022 21:44 UTC Exercise / conversionCommon Stock 10,000 $0.40 $4,000.00
Disclosure

SEC source: 0001209191-22-043410 · doc4.xml · nonDerivative · entry 3

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,000

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
July 26, 2022 Filed Jul 28, 2022 21:44 UTC Exercise / conversionCommon Stock 7,500 $0.53 $3,975.00
Disclosure

SEC source: 0001209191-22-043410 · doc4.xml · nonDerivative · entry 2

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,500

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
July 26, 2022 Filed Jul 28, 2022 21:44 UTC Exercise / conversionCommon Stock 5,000 $0.83 $4,150.00
Disclosure

SEC source: 0001209191-22-043410 · doc4.xml · nonDerivative · entry 1

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,500

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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May 27, 2022 Filed May 27, 2022 18:38 UTC PurchaseCommon Stock 20,000 $1.19 $23,800.00
Disclosure

SEC source: 0001209191-22-032462 · doc4.xml · nonDerivative · entry 1

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

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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.