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HKHC

Horizon Kinetics Holding Corp

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1286
SEC CIK
0000088000
Parsed reports
189

Last 12 months

Inside the activity.

73 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025210
Dec 2025250
Jan 202600
Feb 202600
Mar 2026150
Apr 202600
May 202620
Jun 202600
Jul 202600
Aug 202680
Sep 202620
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 14, 2021 Filed Nov 17, 2021 00:01 UTC Exercise / conversionCommon Stock 1,666 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000016 · primary_doc.xml · nonDerivative · entry 4

Bailey Leah S · CIK 0001713869 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,666

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 · price: Restricted stock units were settled in shares of common stock upon vesting

Read SEC document
November 14, 2021 Filed Nov 16, 2021 21:22 UTC Exercise / conversionRestricted Stock Unit · Derivative 1,666 $0.00 $0.00
Disclosure

SEC source: 0000088000-21-000015 · primary_doc.xml · derivative · entry 8

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,333

Underlying: Common Stock · 1,666 shares

Expires not disclosed

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_price: Restricted stock units were settled in shares of common stock upon vesting

F3 · derivative.exercise_date: On November 14, 2019, the reporting person was granted 5,000 restricted stock units, vesting in three equal annual installments beginning on the grant date.

F3 · derivative.expiration_date: On November 14, 2019, the reporting person was granted 5,000 restricted stock units, vesting in three equal annual installments beginning on the grant date.

Read SEC document
November 14, 2021 Filed Nov 16, 2021 21:22 UTC Exercise / conversionCommon Stock 1,666 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000015 · primary_doc.xml · nonDerivative · entry 4

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,667

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 · price: Restricted stock units were settled in shares of common stock upon vesting

Read SEC document
November 09, 2021 Filed Nov 10, 2021 22:20 UTC
Arndt David MChief Financial Officer
GrantRestricted Stock Unit 17,500 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000014 · primary_doc.xml · nonDerivative · entry 1

Arndt David M · CIK 0001890242 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,015

F1 · price: On November 9, 2021, the reporting person was granted 17,500 restricted stock units, vesting in three equal annual installments, beginning on the anniversary of the grant date.

Read SEC document
November 09, 2021 Filed Nov 10, 2021 21:59 UTC
Hyman Michael B.Senior Vice President, Sales
GrantRestricted Stock Unit 23,750 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000013 · primary_doc.xml · nonDerivative · entry 3

Hyman Michael B. · CIK 0001566549 · Senior Vice President, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,029

F2 · price: On November 9, 2021, the reporting person was granted 23,750 restricted stock units, vesting in three equal annual installments, beginning on the anniversary of the grant date.

Read SEC document
October 02, 2021 Filed Nov 10, 2021 21:59 UTC
Hyman Michael B.Senior Vice President, Sales
Exercise / conversionRestricted Stock Unit · Derivative 10,279 $0.00 $0.00
Disclosure

SEC source: 0000088000-21-000013 · primary_doc.xml · derivative · entry 5

Hyman Michael B. · CIK 0001566549 · Senior Vice President, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,279

Underlying: Common Stock · 10,279 shares

Expires not disclosed

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_price: Restricted stock units were settled in shares of common stock upon vesting

F3 · derivative.exercise_date: On October 2, 2020, the reporting person was granted 30,837 restricted stock units, vesting in three equal annual installments beginning on the grant date.

F3 · derivative.expiration_date: On October 2, 2020, the reporting person was granted 30,837 restricted stock units, vesting in three equal annual installments beginning on the grant date.

Read SEC document
October 02, 2021 Filed Nov 10, 2021 21:59 UTC
Hyman Michael B.Senior Vice President, Sales
Exercise / conversionCommon Stock 10,279 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000013 · primary_doc.xml · nonDerivative · entry 2

Hyman Michael B. · CIK 0001566549 · Senior Vice President, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,558

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 · price: Restricted stock units were settled in shares of common stock upon vesting

Read SEC document
October 02, 2021 Filed Nov 17, 2021 00:01 UTC Exercise / conversionRestricted Stock Unit · Derivative 6,667 $0.00 $0.00
Disclosure

SEC source: 0000088000-21-000016 · primary_doc.xml · derivative · entry 7

Bailey Leah S · CIK 0001713869 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,999

Underlying: Common Stock · 6,667 shares

Expires not disclosed

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_price: Restricted stock units were settled in shares of common stock upon vesting

F2 · derivative.exercise_date: On October 2, 2020, the reporting person was granted 20,000 restricted stock units, vesting in three equal annual installments beginning on the grant date

F2 · derivative.expiration_date: On October 2, 2020, the reporting person was granted 20,000 restricted stock units, vesting in three equal annual installments beginning on the grant date

Read SEC document
October 02, 2021 Filed Nov 17, 2021 00:01 UTC Exercise / conversionCommon Stock 6,667 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000016 · primary_doc.xml · nonDerivative · entry 3

Bailey Leah S · CIK 0001713869 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,001

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 · price: Restricted stock units were settled in shares of common stock upon vesting

Read SEC document
October 02, 2021 Filed Nov 16, 2021 21:22 UTC Exercise / conversionRestricted Stock Unit · Derivative 6,667 $0.00 $0.00
Disclosure

SEC source: 0000088000-21-000015 · primary_doc.xml · derivative · entry 7

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,999

Underlying: Common Stock · 6,667 shares

Expires not disclosed

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_price: Restricted stock units were settled in shares of common stock upon vesting

F2 · derivative.exercise_date: On October 2, 2020, the reporting person was granted 20,000 restricted stock units, vesting in three equal annual installments beginning on the grant date.

F2 · derivative.expiration_date: On October 2, 2020, the reporting person was granted 20,000 restricted stock units, vesting in three equal annual installments beginning on the grant date.

Read SEC document
October 02, 2021 Filed Nov 16, 2021 21:22 UTC Exercise / conversionCommon Stock 6,667 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000015 · primary_doc.xml · nonDerivative · entry 3

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,001

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 · price: Restricted stock units were settled in shares of common stock upon vesting

Read SEC document
September 10, 2021 Filed Sep 28, 2021 22:59 UTC
GOLDSTEIN MARK E10% owner · Former CEO and Director
Disposition to issuerCommon Stock 2,020 $2.20 $4,444.00
Disclosure

SEC source: 0000088000-21-000009 · primary_doc.xml · nonDerivative · entry 2

GOLDSTEIN MARK E · CIK 0001106828 · 10% owner · Former CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,836,652

Read SEC document
September 10, 2021 Filed Sep 28, 2021 22:59 UTC
GOLDSTEIN MARK E10% owner · Former CEO and Director
Disposition to issuerCommon Stock 100 $2.30 $230.00
Disclosure

SEC source: 0000088000-21-000009 · primary_doc.xml · nonDerivative · entry 1

GOLDSTEIN MARK E · CIK 0001106828 · 10% owner · Former CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,838,672

Read SEC document
August 25, 2021 Filed Aug 27, 2021 19:18 UTC Exercise / conversionNon-qualified Stock Option (right to buy) · Derivative 30,000 $0.00 Strike: $1.26 $0.00
Disclosure

SEC source: 0000088000-21-000007 · primary_doc.xml · derivative · entry 2

LABER GERALD J · CIK 0001252501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24

Underlying: Common Stock · 30,000 shares

Expires 2021-11-17

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: Option vests 1/36 each month after 11/18/2016.

Read SEC document
August 25, 2021 Filed Aug 27, 2021 19:18 UTC Exercise / conversionCommon Stock 30,000 $0.00 $0.00
Disclosure

SEC source: 0000088000-21-000007 · primary_doc.xml · nonDerivative · entry 1

LABER GERALD J · CIK 0001252501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

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
August 25, 2021 Filed Aug 30, 2021 14:57 UTC Amendment Exercise / conversionNon-qualified Stock Option (right to buy) · Derivative 30,000 $0.00 Strike: $1.26 $0.00
Disclosure

SEC source: 0000088000-21-000008 · primary_doc.xml · derivative · entry 2

LABER GERALD J · CIK 0001252501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24

Underlying: Common Stock · 30,000 shares

Expires 2021-11-17

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: Option vests 1/36 each month after 11/18/2016.

Read SEC document
August 25, 2021 Filed Aug 30, 2021 14:57 UTC Amendment Exercise / conversionCommon Stock 30,000 $1.26 $37,800.00
Disclosure

SEC source: 0000088000-21-000008 · primary_doc.xml · nonDerivative · entry 1

LABER GERALD J · CIK 0001252501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

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
August 05, 2021 Filed Aug 6, 2021 18:48 UTC Exercise / conversionNon-qualified Stock Option (right to buy) · Derivative 15,000 $0.00 Strike: $1.26 $0.00
Disclosure

SEC source: 0000088000-21-000005 · primary_doc.xml · derivative · entry 2

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,024

Underlying: Common Stock · 15,000 shares

Expires 2021-11-17

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: Option vests 1/36 each month after 11/18/2016.

Read SEC document
August 05, 2021 Filed Aug 6, 2021 18:48 UTC Exercise / conversionCommon Stock 15,000 $1.26 $18,900.00
Disclosure

SEC source: 0000088000-21-000005 · primary_doc.xml · nonDerivative · entry 1

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,000

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
May 28, 2021 Filed Nov 8, 2021 22:42 UTC Exercise / conversionRestricted Stock Unit · Derivative 3,401 $0.00 $0.00
Disclosure

SEC source: 0000088000-21-000012 · primary_doc.xml · derivative · entry 2

LABER GERALD J · CIK 0001252501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,401 shares

Expires not disclosed

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_price: Restricted stock units convert into common stock on a one-for-one basis

F2 · derivative.exercise_date: On May 28, 2021, the Board has approved the acceleration of 3,401 RSU's for this officer prior to his retirement.

F2 · derivative.expiration_date: On May 28, 2021, the Board has approved the acceleration of 3,401 RSU's for this officer prior to his retirement.

Read SEC document
May 28, 2021 Filed Nov 8, 2021 22:42 UTC Exercise / conversionCommon Stock 3,401 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000012 · primary_doc.xml · nonDerivative · entry 1

LABER GERALD J · CIK 0001252501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,735

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 · price: Restricted stock units convert into common stock on a one-for-one basis

Read SEC document
November 16, 2020 Filed Nov 17, 2021 00:01 UTC Exercise / conversionRestricted Stock Unit · Derivative 1,667 $0.00 $0.00
Disclosure

SEC source: 0000088000-21-000016 · primary_doc.xml · derivative · entry 6

Bailey Leah S · CIK 0001713869 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,666

Underlying: Common Stock · 1,667 shares

Expires not disclosed

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_price: Restricted stock units were settled in shares of common stock upon vesting

F3 · derivative.exercise_date: On November 14, 2019, the reporting person was granted 5,000 restricted stock units, vesting in three equal annual installments beginning on the grant date.

F3 · derivative.expiration_date: On November 14, 2019, the reporting person was granted 5,000 restricted stock units, vesting in three equal annual installments beginning on the grant date.

Read SEC document
November 16, 2020 Filed Nov 17, 2021 00:01 UTC Exercise / conversionCommon Stock 1,667 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000016 · primary_doc.xml · nonDerivative · entry 2

Bailey Leah S · CIK 0001713869 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,334

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 · price: Restricted stock units were settled in shares of common stock upon vesting

Read SEC document
November 16, 2020 Filed Nov 16, 2021 21:22 UTC Exercise / conversionCommon Stock 1,667 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000015 · primary_doc.xml · nonDerivative · entry 2

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,334

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 · price: Restricted stock units were settled in shares of common stock upon vesting

Read SEC document
November 14, 2020 Filed Nov 16, 2021 21:22 UTC Exercise / conversionRestricted Stock Unit · Derivative 1,667 $0.00 $0.00
Disclosure

SEC source: 0000088000-21-000015 · primary_doc.xml · derivative · entry 6

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,666

Underlying: Common Stock · 1,667 shares

Expires not disclosed

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_price: Restricted stock units were settled in shares of common stock upon vesting

F3 · derivative.exercise_date: On November 14, 2019, the reporting person was granted 5,000 restricted stock units, vesting in three equal annual installments beginning on the grant date.

F3 · derivative.expiration_date: On November 14, 2019, the reporting person was granted 5,000 restricted stock units, vesting in three equal annual installments beginning on the grant date.

Read SEC document
October 02, 2020 Filed Oct 6, 2020 20:55 UTC GrantRestricted Stock Unit · Derivative 20,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000088000-20-000009 · primary_doc.xml · derivative · entry 1

LABER GERALD J · CIK 0001252501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The Restricted Period begins on the Grant Date and one-third of the RSUs will become Vested Units on the Grant Date and on each anniversary of the Grant Date (each anniversary a "Lapse Date"), until the award is fully vested on the second anniversary of the Grant Date.

F2 · derivative.expiration_date: Any unvested RSUs will be forfeited on the second anniversary of the grant date.

Read SEC document
October 02, 2020 Filed Oct 6, 2020 20:45 UTC GrantRestricted Stock Unit · Derivative 20,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000088000-20-000008 · primary_doc.xml · derivative · entry 1

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The Restricted Period begins on the Grant Date and one-third of the RSUs will become Vested Units on the Grant Date and on each anniversary of the Grant Date (each anniversary a "Lapse Date"), until the award is fully vested on the second anniversary of the Grant Date.

F2 · derivative.expiration_date: Any unvested RSUs will be forfeited on the second anniversary of the grant date.

Read SEC document
October 02, 2020 Filed Oct 6, 2020 20:38 UTC GrantRestricted Stock Unit · Derivative 20,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000088000-20-000007 · primary_doc.xml · derivative · entry 1

Bailey Leah S · CIK 0001713869 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The Restricted Period begins on the Grant Date and one-third of the RSUs will become Vested Units on the Grant Date and on each anniversary of the Grant Date (each anniversary a "Lapse Date"), until the award is fully vested on the second anniversary of the Grant Date.

F2 · derivative.expiration_date: Any unvested RSUs will be forfeited on the second anniversary of the grant date.

Read SEC document
October 02, 2020 Filed Oct 6, 2020 20:17 UTC
Hyman Michael B.Senior Vice President, Sales
GrantRestricted Stock Unit · Derivative 237,443 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000088000-20-000006 · primary_doc.xml · derivative · entry 1

Hyman Michael B. · CIK 0001566549 · Senior Vice President, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,443

Underlying: Common Stock · 237,443 shares

Expires not disclosed

F1 · derivative.exercise_date: The Restricted Period begins on the Grant Date and one-third of the RSUs will become Vested Units on the Grant Date and on each anniversary of the Grant Date (each anniversary a "Lapse Date"), until the award is fully vested on the second anniversary of the Grant Date.

F2 · derivative.expiration_date: Any unvested RSUs will be forfeited on the second anniversary of the grant date.

Read SEC document
October 02, 2020 Filed Oct 6, 2020 19:58 UTC
Paprzycki Kevin A.Chief Financial Officer
GrantRestricted Stock Unit · Derivative 51,848 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000088000-20-000005 · primary_doc.xml · derivative · entry 1

Paprzycki Kevin A. · CIK 0001738972 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,848

Underlying: Common Stock · 51,848 shares

Expires not disclosed

F1 · derivative.exercise_date: The Restricted Period begins on the Grant Date and one-third of the RSUs will become Vested Units on the Grant Date and on each anniversary of the Grant Date (each anniversary a "Lapse Date"), until the award is fully vested on the second anniversary date.

F2 · derivative.expiration_date: Any unvested RSUs will be forfeited on the second anniversary of the grant date.

Read SEC document
October 02, 2020 Filed Oct 6, 2020 19:43 UTC
GOLDSTEIN MARK EDirector · COB/President/CEO · 10% owner
GrantRestricted Stock Unit · Derivative 93,358 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000088000-20-000004 · primary_doc.xml · derivative · entry 1

GOLDSTEIN MARK E · CIK 0001106828 · Director · COB/President/CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,358

Underlying: Common Stock · 93,358 shares

Expires not disclosed

F1 · derivative.exercise_date: The Restricted Period begins on the Grant Date and one-third of the RSUs will become Vested Units on the Grant Date and on each anniversary of the Grant Date (each anniversary a "Lapse Date"), until the award is fully vested on the second anniversary of the Grant Date.

F2 · derivative.expiration_date: Any unvested RSUs will be forfeited on the second anniversary of the grant date.

Read SEC document
October 02, 2020 Filed Mar 18, 2021 17:51 UTC Amendment
Hyman Michael B.Executive VP, Sales
GrantRestricted Stock Unit · Derivative 30,837 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000088000-21-000004 · primary_doc.xml · derivative · entry 1

Hyman Michael B. · CIK 0001566549 · Executive VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,837

Underlying: Common Stock · 30,837 shares

Expires not disclosed

F1 · derivative.exercise_date: The Restricted Period begins on the Grant Date and one-third of the RSUs will become Vested Units on the Grant Date and on each anniversary of the Grant Date (each anniversary a "Lapse Date"), until the award is fully vested on the second anniversary of the Grant Date.

F2 · derivative.expiration_date: Any unvested RSUs will be forfeited on the second anniversary of the Grant Date.

Read SEC document
October 02, 2020 Filed Nov 10, 2021 21:59 UTC
Hyman Michael B.Senior Vice President, Sales
Exercise / conversionRestricted Stock Unit · Derivative 10,279 $0.00 $0.00
Disclosure

SEC source: 0000088000-21-000013 · primary_doc.xml · derivative · entry 4

Hyman Michael B. · CIK 0001566549 · Senior Vice President, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,558

Underlying: Common Stock · 10,279 shares

Expires not disclosed

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_price: Restricted stock units were settled in shares of common stock upon vesting

F3 · derivative.exercise_date: On October 2, 2020, the reporting person was granted 30,837 restricted stock units, vesting in three equal annual installments beginning on the grant date.

F3 · derivative.expiration_date: On October 2, 2020, the reporting person was granted 30,837 restricted stock units, vesting in three equal annual installments beginning on the grant date.

Read SEC document
October 02, 2020 Filed Nov 10, 2021 21:59 UTC
Hyman Michael B.Senior Vice President, Sales
Exercise / conversionCommon Stock 10,279 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000013 · primary_doc.xml · nonDerivative · entry 1

Hyman Michael B. · CIK 0001566549 · Senior Vice President, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,279

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 · price: Restricted stock units were settled in shares of common stock upon vesting

Read SEC document
October 02, 2020 Filed Nov 17, 2021 00:01 UTC Exercise / conversionRestricted Stock Unit · Derivative 6,667 $0.00 $0.00
Disclosure

SEC source: 0000088000-21-000016 · primary_doc.xml · derivative · entry 5

Bailey Leah S · CIK 0001713869 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,333

Underlying: Common Stock · 6,667 shares

Expires not disclosed

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_price: Restricted stock units were settled in shares of common stock upon vesting

F2 · derivative.exercise_date: On October 2, 2020, the reporting person was granted 20,000 restricted stock units, vesting in three equal annual installments beginning on the grant date

F2 · derivative.expiration_date: On October 2, 2020, the reporting person was granted 20,000 restricted stock units, vesting in three equal annual installments beginning on the grant date

Read SEC document
October 02, 2020 Filed Nov 17, 2021 00:01 UTC Exercise / conversionCommon Stock 6,667 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000016 · primary_doc.xml · nonDerivative · entry 1

Bailey Leah S · CIK 0001713869 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,667

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 · price: Restricted stock units were settled in shares of common stock upon vesting

Read SEC document
October 02, 2020 Filed Nov 16, 2021 21:22 UTC Exercise / conversionRestricted Stock Unit · Derivative 6,667 $0.00 $0.00
Disclosure

SEC source: 0000088000-21-000015 · primary_doc.xml · derivative · entry 5

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,333

Underlying: Common Stock · 6,667 shares

Expires not disclosed

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_price: Restricted stock units were settled in shares of common stock upon vesting

F2 · derivative.exercise_date: On October 2, 2020, the reporting person was granted 20,000 restricted stock units, vesting in three equal annual installments beginning on the grant date.

F2 · derivative.expiration_date: On October 2, 2020, the reporting person was granted 20,000 restricted stock units, vesting in three equal annual installments beginning on the grant date.

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October 02, 2020 Filed Nov 16, 2021 21:22 UTC Exercise / conversionCommon Stock 6,667 Not disclosed Not disclosed
Disclosure

SEC source: 0000088000-21-000015 · primary_doc.xml · nonDerivative · entry 1

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,667

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 · price: Restricted stock units were settled in shares of common stock upon vesting

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October 02, 2020 Filed Oct 28, 2022 21:02 UTC
Arndt David MChief Financial Officer
GrantCommon Stock 4,545 $0.00 $0.00
Disclosure

SEC source: 0001890242-22-000001 · primary_doc.xml · nonDerivative · entry 1

Arndt David M · CIK 0001890242 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,045

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August 28, 2020 Filed Sep 1, 2020 21:23 UTC Exercise / conversionNon-qualified Stock Option (right to buy) · Derivative 6,000 $0.00 Strike: $1.25 $0.00
Disclosure

SEC source: 0000088000-20-000003 · primary_doc.xml · derivative · entry 2

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 6,000 shares

Expires 2020-08-30

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

F1 · derivative.exercise_date: Option vested 1/2 on 08/31/2015 and 1/2 on 08/31/2016.

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August 28, 2020 Filed Sep 1, 2020 21:23 UTC Exercise / conversionCommon Stock 6,000 $1.25 $7,500.00
Disclosure

SEC source: 0000088000-20-000003 · primary_doc.xml · nonDerivative · entry 1

Neri Philip A · CIK 0001526527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,000

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
August 28, 2020 Filed Sep 1, 2020 21:15 UTC Exercise / conversionNon-qualified Stock Option (right to buy) · Derivative 20,000 $0.00 Strike: $1.25 $0.00
Disclosure

SEC source: 0000088000-20-000002 · primary_doc.xml · derivative · entry 2

LABER GERALD J · CIK 0001252501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 20,000 shares

Expires 2020-08-30

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

F1 · derivative.exercise_date: Option vested 1/2 on 08/31/2015 and 1/2 on 08/31/2016.

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August 28, 2020 Filed Sep 1, 2020 21:15 UTC Exercise / conversionCommon Stock 20,000 $1.25 $25,000.00
Disclosure

SEC source: 0000088000-20-000002 · primary_doc.xml · nonDerivative · entry 1

LABER GERALD J · CIK 0001252501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,000

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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August 28, 2020 Filed Sep 1, 2020 21:07 UTC
GOLDSTEIN MARK EDirector · COB/President/CEO · 10% owner
Exercise / conversionIncentive Stock Option (right to buy) · Derivative 25,000 $0.00 Strike: $1.38 $0.00
Disclosure

SEC source: 0000088000-20-000001 · primary_doc.xml · derivative · entry 6

GOLDSTEIN MARK E · CIK 0001106828 · Director · COB/President/CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 25,000 shares

Expires 2020-08-30

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

F1 · derivative.exercise_date: Option vested 1/2 on 08/31/2015 and 1/2 on 08/31/2016.

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August 28, 2020 Filed Sep 1, 2020 21:07 UTC
GOLDSTEIN MARK EDirector · COB/President/CEO · 10% owner
Exercise / conversionCommon Stock 25,000 $1.38 $34,375.00
Disclosure

SEC source: 0000088000-20-000001 · primary_doc.xml · nonDerivative · entry 1

GOLDSTEIN MARK E · CIK 0001106828 · Director · COB/President/CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 572,222

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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November 14, 2019 Filed Nov 18, 2019 22:22 UTC
Hyman Michael B.Senior Vice President, Sales
GrantRestricted Stock Unit · Derivative 55,310 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000088000-19-000011 · primary_doc.xml · derivative · entry 1

Hyman Michael B. · CIK 0001566549 · Senior Vice President, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,310

Underlying: Common Stock · 55,310 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSUs have performance and time-based vesting requirements. The award amount that vests on the third anniversary of the grant date will be equal to 28,493, 44,775, or 55,310 shares, depending on whether the Company's common stock achieves a specified per share market price for a 30 consecutive trading day period during the term of the award.

F2 · derivative.expiration_date: Any unvested RSUs will be forfeited on the third anniversary of the grant date.

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November 14, 2019 Filed Nov 18, 2019 22:09 UTC
Paprzycki Kevin A.Chief Financial Officer
GrantRestricted Stock Unit · Derivative 65,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000088000-19-000010 · primary_doc.xml · derivative · entry 1

Paprzycki Kevin A. · CIK 0001738972 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSUs have performance and time-based vesting requirements. The award amount that vests on the third anniversary of the grant date will be equal to 38,011, 55,000, or 65,000 shares, depending on whether the Company's common stock achieves a specified per share market price for a 30 consecutive trading day period during the term of the award.

F2 · derivative.expiration_date: Any unvested RSUs will be forfeited on the third anniversary of the grant date.

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November 14, 2019 Filed Nov 18, 2019 21:58 UTC
GOLDSTEIN MARK EDirector · COB/President/CEO · 10% owner
GrantRestricted Stock Unit · Derivative 122,255 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000088000-19-000009 · primary_doc.xml · derivative · entry 1

GOLDSTEIN MARK E · CIK 0001106828 · Director · COB/President/CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,255

Underlying: Common Stock · 122,255 shares

Expires not disclosed

F1 · derivative.exercise_date: The RSUs have performance and time-based vesting requirements. The award amount that vests on the third anniversary of the grant date will be equal to 58,454, 96,588 or 122,255 shares, depending on whether the Company's common stock achieves a specified per share market price for a 30 consecutive trading day period during the term of the award.

F2 · derivative.expiration_date: Any unvested RSUs will be forfeited on the third anniversary of the grant date.

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November 14, 2019 Filed Nov 18, 2019 16:49 UTC GrantRestricted Stock Unit · Derivative 5,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000088000-19-000008 · primary_doc.xml · derivative · entry 1

Summers Andrew · CIK 0001571767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · derivative.expiration_date: The restricted stock units vest and awards are settled in three equal installments on each anniversary of the grant date through the third anniversary of the grant date.

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November 14, 2019 Filed Nov 18, 2019 16:31 UTC GrantRestricted Stock Unit · Derivative 5,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000088000-19-000006 · primary_doc.xml · derivative · entry 1

Bailey Leah S · CIK 0001713869 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · derivative.expiration_date: The restricted stock units vests and awards are settled in three equal installments on each anniversary of the grant date through the third anniversary of the grant date.

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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.