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
June 30, 2021 Filed Jul 2, 2021 19:41 UTC SaleCommon Stock 100 $2.53 $253.00
Disclosure

SEC source: 0001209191-21-044847 · doc4.xml · nonDerivative · entry 5

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,562,177

F1 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 19:41 UTC SaleCommon Stock 11 $2.53 $27.83
Disclosure

SEC source: 0001209191-21-044847 · doc4.xml · nonDerivative · entry 4

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,562,277

F1 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 19:41 UTC SaleCommon Stock 100 $2.54 $254.00
Disclosure

SEC source: 0001209191-21-044847 · doc4.xml · nonDerivative · entry 3

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,562,288

F1 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 19:41 UTC SaleCommon Stock 200 $2.54 $508.00
Disclosure

SEC source: 0001209191-21-044847 · doc4.xml · nonDerivative · entry 2

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,562,388

F1 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 19:41 UTC SaleCommon Stock 19 $2.54 $48.26
Disclosure

SEC source: 0001209191-21-044847 · doc4.xml · nonDerivative · entry 1

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,562,588

F1 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
June 22, 2021 Filed Jun 28, 2021 16:42 UTC
COBB BRIAN J.VP of Finance and Controller
Exercise / conversionOption to purchase common stock · Derivative 11,250 $0.00 Strike: $0.45 $0.00
Disclosure

SEC source: 0001209191-21-043446 · doc4.xml · derivative · entry 3

COBB BRIAN J. · CIK 0001854033 · VP of Finance and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,250

Underlying: Common Stock · 11,250 shares

Expires 2028-01-19

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 1/19/2018 and vested 25% annually beginning on the first anniversary of the grant date.

Read SEC document
June 22, 2021 Filed Jun 28, 2021 16:42 UTC
COBB BRIAN J.VP of Finance and Controller
Tax withholdingCommon Stock 5,815 $2.50 $14,537.50
Disclosure

SEC source: 0001209191-21-043446 · doc4.xml · nonDerivative · entry 2

COBB BRIAN J. · CIK 0001854033 · VP of Finance and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,125

Read SEC document
June 22, 2021 Filed Jun 28, 2021 16:42 UTC
COBB BRIAN J.VP of Finance and Controller
Exercise / conversionCommon Stock 11,250 $0.45 $5,062.50
Disclosure

SEC source: 0001209191-21-043446 · doc4.xml · nonDerivative · entry 1

COBB BRIAN J. · CIK 0001854033 · VP of Finance and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,940

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 01, 2021 Filed Jun 2, 2021 16:22 UTC
Ludwig David VanDirector · President of subsidiary
GrantOption to purchase common stock · Derivative 40,000 $0.00 Strike: $2.81 $0.00
Disclosure

SEC source: 0001209191-21-037057 · doc4.xml · derivative · entry 1

Ludwig David Van · CIK 0001628293 · Director · President of subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-06-01

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

Read SEC document
May 17, 2021 Filed May 18, 2021 21:51 UTC
DOVE ROSSDirector · CEO
Exercise / conversionOption to purchase common stock · Derivative 325,000 $0.00 Strike: $0.45 $0.00
Disclosure

SEC source: 0001209191-21-033664 · doc4.xml · derivative · entry 3

DOVE ROSS · CIK 0001245119 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 325,000 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.

F1 · derivative.exercise_date: Options were granted 12/9/2016 and vested 25% annually beginning on the first anniversary of the grant date.

Read SEC document
May 17, 2021 Filed May 18, 2021 21:51 UTC
DOVE ROSSDirector · CEO
Tax withholdingCommon Stock 144,771 $2.95 $427,074.45
Disclosure

SEC source: 0001209191-21-033664 · doc4.xml · nonDerivative · entry 2

DOVE ROSS · CIK 0001245119 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,024,314

Read SEC document
May 17, 2021 Filed May 18, 2021 21:51 UTC
DOVE ROSSDirector · CEO
Exercise / conversionCommon Stock 325,000 $0.45 $146,250.00
Disclosure

SEC source: 0001209191-21-033664 · doc4.xml · nonDerivative · entry 1

DOVE ROSS · CIK 0001245119 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,169,085

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
April 09, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 100 $3.00 $300.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 24

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,562,607

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
April 08, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 24,400 $3.00 $73,200.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 23

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,562,707

F14 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.00 to $3.01, inclusive.

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
April 07, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 17,590 $3.00 $52,770.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 22

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,587,107

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
April 06, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 2,928 $3.00 $8,784.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 21

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,604,697

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
April 05, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 9,033 $3.00 $27,099.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 20

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,607,625

F13 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.00 to $3.02, inclusive.

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
April 01, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 11,020 $2.95 $32,509.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 19

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,616,658

F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $2.96, inclusive.

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
March 31, 2021 Filed Apr 1, 2021 21:41 UTC GrantOption to purchase common stock · Derivative 10,000 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001209191-21-024194 · doc4.xml · derivative · entry 1

Sinsley Barbara A · CIK 0001821535 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-03-31

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

Read SEC document
March 31, 2021 Filed Apr 1, 2021 21:38 UTC GrantOption to purchase common stock · Derivative 10,000 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001209191-21-024189 · doc4.xml · derivative · entry 1

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-03-31

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

Read SEC document
March 31, 2021 Filed Apr 1, 2021 21:32 UTC GrantOption to purchase common stock · Derivative 10,000 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001209191-21-024184 · doc4.xml · derivative · entry 1

Hexner Michael · CIK 0001693277 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-03-31

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

Read SEC document
March 31, 2021 Filed Apr 1, 2021 21:29 UTC GrantOption to purchase common stock · Derivative 10,000 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001209191-21-024179 · doc4.xml · derivative · entry 1

RYAN JAMES BRENDAN · CIK 0001528107 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-03-31

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

Read SEC document
March 31, 2021 Filed Apr 1, 2021 21:26 UTC GrantOption to purchase common stock · Derivative 10,000 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001209191-21-024171 · doc4.xml · derivative · entry 1

Sharpe Kelly S · CIK 0001844350 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-03-31

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

Read SEC document
March 30, 2021 Filed Apr 6, 2021 00:15 UTC
Sklar James EdwardEVP, Gen Counsel & Secretary
Exercise / conversionOption to purchase common stock · Derivative 180,000 $0.00 Strike: $0.45 $0.00
Disclosure

SEC source: 0001209191-21-025519 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 180,000 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.

F1 · derivative.exercise_date: Options were granted 12/9/2016 and vested 25% annually beginning on the first anniversary of the grant date.

Read SEC document
March 30, 2021 Filed Apr 6, 2021 00:15 UTC
Sklar James EdwardEVP, Gen Counsel & Secretary
Tax withholdingCommon Stock 72,490 $2.80 $202,972.00
Disclosure

SEC source: 0001209191-21-025519 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,510

Read SEC document
March 30, 2021 Filed Apr 6, 2021 00:15 UTC
Sklar James EdwardEVP, Gen Counsel & Secretary
Exercise / conversionCommon Stock 180,000 $0.45 $81,000.00
Disclosure

SEC source: 0001209191-21-025519 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,000

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
March 29, 2021 Filed Mar 31, 2021 14:58 UTC Exercise / conversionOption to purchase common stock · Derivative 10,000 $0.00 Strike: $0.69 $0.00
Disclosure

SEC source: 0001209191-21-023712 · doc4.xml · derivative · entry 2

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2021-03-31

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 3/31/2014 and vested 25% annually beginning on the first anniversary of the grant date.

Read SEC document
March 29, 2021 Filed Mar 31, 2021 14:58 UTC Exercise / conversionCommon Stock 10,000 $0.69 $6,900.00
Disclosure

SEC source: 0001209191-21-023712 · doc4.xml · nonDerivative · entry 1

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,389

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
March 29, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 1,505 $2.95 $4,439.75
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 18

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,627,678

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
March 26, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 28,679 $2.95 $84,603.05
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 17

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,629,183

F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $2.97, inclusive.

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
March 25, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 50,000 $2.92 $146,000.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 16

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,657,862

F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.90 to $2.99, inclusive.

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
March 24, 2021 Filed May 11, 2021 21:28 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 10,000 $0.00 Strike: $0.24 $0.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · derivative · entry 31

SILBER ALLAN C · CIK 0001009161 · 10% owner

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.

F16 · derivative.exercise_date: Options originally vested 25% annually beginning on the first anniversary of the grant date. Unvested options accelerated on the reporting person's resignation as a director.

Read SEC document
March 24, 2021 Filed May 11, 2021 21:28 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 25,000 $0.00 Strike: $0.45 $0.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · derivative · entry 30

SILBER ALLAN C · CIK 0001009161 · 10% owner

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.

F16 · derivative.exercise_date: Options originally vested 25% annually beginning on the first anniversary of the grant date. Unvested options accelerated on the reporting person's resignation as a director.

Read SEC document
March 24, 2021 Filed May 11, 2021 21:28 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 10,000 $0.00 Strike: $0.48 $0.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · derivative · entry 29

SILBER ALLAN C · CIK 0001009161 · 10% owner

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.

F16 · derivative.exercise_date: Options originally vested 25% annually beginning on the first anniversary of the grant date. Unvested options accelerated on the reporting person's resignation as a director.

Read SEC document
March 24, 2021 Filed May 11, 2021 21:28 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 10,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · derivative · entry 28

SILBER ALLAN C · CIK 0001009161 · 10% owner

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.

F16 · derivative.exercise_date: Options originally vested 25% annually beginning on the first anniversary of the grant date. Unvested options accelerated on the reporting person's resignation as a director.

Read SEC document
March 24, 2021 Filed May 11, 2021 21:28 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 10,000 $0.00 Strike: $0.53 $0.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · derivative · entry 27

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 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.

F16 · derivative.exercise_date: Options originally vested 25% annually beginning on the first anniversary of the grant date. Unvested options accelerated on the reporting person's resignation as a director.

Read SEC document
March 24, 2021 Filed May 11, 2021 21:28 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 10,000 $0.00 Strike: $0.83 $0.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · derivative · entry 26

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 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.

F16 · derivative.exercise_date: Options originally vested 25% annually beginning on the first anniversary of the grant date. Unvested options accelerated on the reporting person's resignation as a director.

Read SEC document
March 24, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 1,200 $2.97 $3,564.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 15

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,707,862

F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.96 to $2.98, inclusive.

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

Read SEC document
March 24, 2021 Filed May 11, 2021 21:28 UTC Tax withholdingCommon Stock 12,262 $2.94 $36,050.28
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 9

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,697

Read SEC document
March 24, 2021 Filed May 11, 2021 21:28 UTC Exercise / conversionCommon Stock 10,000 $0.24 $2,400.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 8

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 386,959

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
March 24, 2021 Filed May 11, 2021 21:28 UTC Exercise / conversionCommon Stock 25,000 $0.45 $11,250.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 7

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 376,959

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
March 24, 2021 Filed May 11, 2021 21:28 UTC Exercise / conversionCommon Stock 10,000 $0.48 $4,800.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 6

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 351,959

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
March 24, 2021 Filed May 11, 2021 21:28 UTC Exercise / conversionCommon Stock 10,000 $0.40 $4,000.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 5

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341,959

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
March 24, 2021 Filed May 11, 2021 21:28 UTC Exercise / conversionCommon Stock 10,000 $0.53 $5,300.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 4

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,959

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
March 24, 2021 Filed May 11, 2021 21:28 UTC Exercise / conversionCommon Stock 10,000 $0.83 $8,300.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 3

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,959

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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March 23, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 13,800 $2.99 $41,262.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 14

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,709,062

F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.01, inclusive.

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

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March 22, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 250,000 $2.99 $747,500.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 13

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,722,862

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.97 to $3.04, inclusive.

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

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March 19, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 35,652 $2.96 $105,529.92
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 12

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 3,972,862

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $2.99, inclusive.

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

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March 18, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 43,172 $2.98 $128,652.56
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 11

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 4,008,514

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.00, inclusive.

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

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March 17, 2021 Filed May 11, 2021 21:28 UTC SaleCommon Stock 50,000 $2.94 $147,000.00
Disclosure

SEC source: 0001209191-21-031774 · doc4.xml · nonDerivative · entry 10

SILBER ALLAN C · CIK 0001009161 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Anglian Holdings, LLC

Disclosed balance after: 4,051,686

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.93 to $2.95, inclusive.

F4 · ownership.nature: Anglian Holdings, LLC is a limited liability company solely owned by the reporting person.

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