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Nasdaq · USD

HSTM

HEALTHSTREAM INC

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5059
SEC CIK
0001095565
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624

Last 12 months

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0 purchase rows · 8 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202501
Dec 202502
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202602
Jun 202601
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Aug 202600
Sep 202601
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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 19, 2018 Filed Mar 20, 2018 22:05 UTC
Sousa MichaelSenior Vice President
Disposition to issuerRestricted Share Units · Derivative 7,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020961 · doc4.xml · derivative · entry 6

Sousa Michael · CIK 0001485077 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,250

Underlying: Common Stock · 7,500 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F8 · derivative.exercise_date: Represents the forfeiture of performance-based RSUs granted to the reporting person on September 24, 2015, which were eligible to vest based on certain annual financial performance criteria. Based on the financial performance over the applicable performance period, it was determined 2,500 RSUs would vest and 7,500 RSUs would be forfeited. Of the 7,500 RSUs forfeited, 5,000 represented RSUs granted in 2015 which failed to vest based on a performance period in 2016, but which continued to be eligible for vesting based on the achievement of catch-up performance criteria for a performance period in 2017 (as such concept is referenced in Note (7) above). Based on the financial performance over the catch-up performance period in 2017, all 5,000 of these RSUs were forfeited.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
March 19, 2018 Filed Mar 20, 2018 22:05 UTC
Sousa MichaelSenior Vice President
Exercise / conversionRestricted Share Units · Derivative 2,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020961 · doc4.xml · derivative · entry 5

Sousa Michael · CIK 0001485077 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 2,500 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.

F3 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F7 · derivative.exercise_date: Vesting of these RSUs is contingent upon continued service at the time of vesting and the achievement of certain performance criteria. The performance criteria will be established on an annual basis by the Compensation Committee of the Board of Directors. Up to 15% vest on March 15, 2016 for the period January 1, 2015 through December 31, 2015; up to 20% vest on March 15, 2017 for the period January 1, 2016 through December 31, 2016; up to 20% vest on March 15, 2018 for the period January 1, 2017 through December 31, 2017; up to 20% vest on March 15, 2019 for the period January 1, 2018 through December 31, 2018; and up to 25% vest on March 15, 2020 for the period January 1, 2019 through December 31, 2019. Vesting will be determined based on actual performance. RSUs that do not vest during a performance period may become eligible for vesting during the next performance period. The performance criteria for 2017 was partially achieved, resulting in the vesting of 2,500 RSUs.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
March 19, 2018 Filed Mar 20, 2018 22:05 UTC
Sousa MichaelSenior Vice President
Exercise / conversionRestricted Share Units · Derivative 1,341 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020961 · doc4.xml · derivative · entry 4

Sousa Michael · CIK 0001485077 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,565

Underlying: Common Stock · 1,341 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.

F3 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F6 · derivative.exercise_date: The RSU's are subject to a four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on March 10, 2016, 20% vest on March 10, 2017, 30% vest on March 10, 2018, and the remaining 35% vest on March 10, 2019.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
March 19, 2018 Filed Mar 20, 2018 22:05 UTC
Sousa MichaelSenior Vice President
Exercise / conversionRestricted Share Units · Derivative 1,050 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020961 · doc4.xml · derivative · entry 3

Sousa Michael · CIK 0001485077 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,050 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.

F3 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F4 · derivative.exercise_date: The RSU's are subject to a four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on March 11, 2015, 20% vest on March 11, 2016, 30% vest on March 11, 2017, and the remaining 35% vest on March 11, 2018.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
March 19, 2018 Filed Mar 20, 2018 22:05 UTC
Sousa MichaelSenior Vice President
Tax withholdingCommon Stock 2,079 $24.97 $51,912.63
Disclosure

SEC source: 0001209191-18-020961 · doc4.xml · nonDerivative · entry 2

Sousa Michael · CIK 0001485077 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,835

F2 · shares: Shares withheld for payment of tax liability.

Read SEC document
March 19, 2018 Filed Mar 20, 2018 22:05 UTC
Sousa MichaelSenior Vice President
Exercise / conversionCommon Stock 6,753 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020961 · doc4.xml · nonDerivative · entry 1

Sousa Michael · CIK 0001485077 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,914

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 · shares: Shares acquired on vesting of restricted share units.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:45 UTC GrantRestricted Share Units · Derivative 2,636 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020421 · doc4.xml · derivative · entry 2

Taylor Tate Deborah · CIK 0001500801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,636

Underlying: Common Stock · 2,636 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a three year vesting schedule, contingent upon continued service at the time of vesting. The RSU's vest annually beginning March 15, 2019 in three equal installments.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:42 UTC GrantRestricted Share Units · Derivative 2,636 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020420 · doc4.xml · derivative · entry 2

STEAD WILLIAM · CIK 0001217355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,636

Underlying: Common Stock · 2,636 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a three year vesting schedule, contingent upon continued service at the time of vesting. The RSU's vest annually beginning March 15, 2019 in three equal installments.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:40 UTC GrantRestricted Share Units · Derivative 2,636 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020417 · doc4.xml · derivative · entry 2

SHMERLING MICHAEL D · CIK 0001141207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,636

Underlying: Common Stock · 2,636 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a three year vesting schedule, contingent upon continued service at the time of vesting. The RSU's vest annually beginning March 15, 2019 in three equal installments.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:34 UTC GrantRestricted Share Units · Derivative 2,636 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020415 · doc4.xml · derivative · entry 2

POLLEY DALE W · CIK 0001248025 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,636

Underlying: Common Stock · 2,636 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a three year vesting schedule, contingent upon continued service at the time of vesting. The RSU's vest annually beginning March 15, 2019 in three equal installments.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:37 UTC GrantRestricted Share Units · Derivative 2,636 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020416 · doc4.xml · derivative · entry 2

REBROVICK LINDA · CIK 0001217283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,636

Underlying: Common Stock · 2,636 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a three year vesting schedule, contingent upon continued service at the time of vesting. The RSU's vest annually beginning March 15, 2019 in three equal installments.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:30 UTC GrantRestricted Share Units · Derivative 2,636 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020412 · doc4.xml · derivative · entry 2

MCLAREN JEFFREY L · CIK 0001217354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,636

Underlying: Common Stock · 2,636 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a three year vesting schedule, contingent upon continued service at the time of vesting. The RSU's vest annually beginning March 15, 2019 in three equal installments.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:24 UTC
GORDON FRANKDirector
GrantRestricted Share Units · Derivative 2,636 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020409 · doc4.xml · derivative · entry 6

GORDON FRANK · CIK 0001059231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,636

Underlying: Common Stock · 2,636 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a three year vesting schedule, contingent upon continued service at the time of vesting. The RSU's vest annually beginning March 15, 2019 in three equal installments.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:28 UTC GrantRestricted Share Units · Derivative 2,636 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020411 · doc4.xml · derivative · entry 2

HARRIS C MARTIN · CIK 0001236982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,636

Underlying: Common Stock · 2,636 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a three year vesting schedule, contingent upon continued service at the time of vesting. The RSU's vest annually beginning March 15, 2019 in three equal installments.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:21 UTC GrantRestricted Share Units · Derivative 2,636 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020408 · doc4.xml · derivative · entry 2

DENT THOMPSON · CIK 0001217277 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,636

Underlying: Common Stock · 2,636 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a three year vesting schedule, contingent upon continued service at the time of vesting. The RSU's vest annually beginning March 15, 2019 in three equal installments.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:16 UTC
Sousa MichaelSenior Vice President
GrantRestricted Share Units · Derivative 5,325 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020404 · doc4.xml · derivative · entry 2

Sousa Michael · CIK 0001485077 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,325

Underlying: Common Stock · 5,325 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on March 15, 2019, 20% vest on March 15, 2020, 30% vest on March 15, 2021, and the remaining 35% vest on March 15, 2022.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:09 UTC
FRIST ROBERT A JRDirector · CEO · 10% owner
GrantRestricted Share Units · Derivative 5,325 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020402 · doc4.xml · derivative · entry 10

FRIST ROBERT A JR · CIK 0001217273 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,325

Underlying: Common Stock · 5,325 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on March 15, 2019, 20% vest on March 15, 2020, 30% vest on March 15, 2021, and the remaining 35% vest on March 15, 2022.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:13 UTC
PEARSON J EDWARDSenior Vice President
GrantRestricted Share Units · Derivative 5,325 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020403 · doc4.xml · derivative · entry 2

PEARSON J EDWARD · CIK 0001249921 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,325

Underlying: Common Stock · 5,325 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on March 15, 2019, 20% vest on March 15, 2020, 30% vest on March 15, 2021, and the remaining 35% vest on March 15, 2022.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:05 UTC
HAYDEN GERARD M JRChief Financial Officer
GrantRestricted Share Units · Derivative 4,587 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020400 · doc4.xml · derivative · entry 2

HAYDEN GERARD M JR · CIK 0001223056 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,587

Underlying: Common Stock · 4,587 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on March 15, 2019, 20% vest on March 15, 2020, 30% vest on March 15, 2021, and the remaining 35% vest on March 15, 2022.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 23:01 UTC
Cunningham JeffChief Technology Officer
GrantRestricted Share Units · Derivative 4,587 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020399 · doc4.xml · derivative · entry 2

Cunningham Jeff · CIK 0001712119 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,587

Underlying: Common Stock · 4,587 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on March 15, 2019, 20% vest on March 15, 2020, 30% vest on March 15, 2021, and the remaining 35% vest on March 15, 2022.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 15, 2018 Filed Mar 16, 2018 22:57 UTC
Collier Michael ManningSVP, BusDev and GenCounsel
GrantRestricted Share Units · Derivative 4,587 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020391 · doc4.xml · derivative · entry 2

Collier Michael Manning · CIK 0001715401 · SVP, BusDev and GenCounsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,587

Underlying: Common Stock · 4,587 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The RSU's are subject to a four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on March 15, 2019, 20% vest on March 15, 2020, 30% vest on March 15, 2021, and the remaining 35% vest on March 15, 2022.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 14, 2018 Filed Mar 15, 2018 16:21 UTC
HAYDEN GERARD M JRChief Financial Officer
SaleCommon Stock 15,000 $24.63 $369,379.50
Disclosure

SEC source: 0001209191-18-019772 · doc4.xml · nonDerivative · entry 1

HAYDEN GERARD M JR · CIK 0001223056 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,401

F1 · price: This transaction was executed in multiple trades at prices ranging from $24.45 to $24.78. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Read SEC document
March 07, 2018 Filed Mar 7, 2018 23:24 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $12.23 $0.00
Disclosure

SEC source: 0001209191-18-017828 · doc4.xml · derivative · entry 5

Taylor Tate Deborah · CIK 0001500801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2019-05-26

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 07, 2018 Filed Mar 7, 2018 23:24 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $12.23 $0.00
Disclosure

SEC source: 0001209191-18-017828 · doc4.xml · derivative · entry 4

Taylor Tate Deborah · CIK 0001500801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2019-05-26

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 07, 2018 Filed Mar 7, 2018 23:24 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $12.23 $0.00
Disclosure

SEC source: 0001209191-18-017828 · doc4.xml · derivative · entry 3

Taylor Tate Deborah · CIK 0001500801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2019-05-26

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 07, 2018 Filed Mar 7, 2018 23:24 UTC SaleCommon Stock 12,000 $24.32 $291,799.20
Disclosure

SEC source: 0001209191-18-017828 · doc4.xml · nonDerivative · entry 2

Taylor Tate Deborah · CIK 0001500801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,856

F1 · price: This transaction was executed in multiple trades at prices ranging from $24.15 to $24.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Read SEC document
March 07, 2018 Filed Mar 7, 2018 23:24 UTC Exercise / conversionCommon Stock 15,000 $12.23 $183,450.00
Disclosure

SEC source: 0001209191-18-017828 · doc4.xml · nonDerivative · entry 1

Taylor Tate Deborah · CIK 0001500801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,856

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 07, 2018 Filed Mar 7, 2018 23:22 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $4.66 $0.00
Disclosure

SEC source: 0001209191-18-017821 · doc4.xml · derivative · entry 7

REBROVICK LINDA · CIK 0001217283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-06-28

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 07, 2018 Filed Mar 7, 2018 23:22 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $4.66 $0.00
Disclosure

SEC source: 0001209191-18-017821 · doc4.xml · derivative · entry 6

REBROVICK LINDA · CIK 0001217283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-06-28

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 07, 2018 Filed Mar 7, 2018 23:22 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $4.66 $0.00
Disclosure

SEC source: 0001209191-18-017821 · doc4.xml · derivative · entry 5

REBROVICK LINDA · CIK 0001217283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-06-28

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 07, 2018 Filed Mar 7, 2018 23:22 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 6,000 $0.00 Strike: $2.99 $0.00
Disclosure

SEC source: 0001209191-18-017821 · doc4.xml · derivative · entry 4

REBROVICK LINDA · CIK 0001217283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2018-05-29

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.

Read SEC document
March 07, 2018 Filed Mar 7, 2018 23:22 UTC SaleCommon Stock 21,000 $24.20 $508,200.00
Disclosure

SEC source: 0001209191-18-017821 · doc4.xml · nonDerivative · entry 3

REBROVICK LINDA · CIK 0001217283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,006

F1 · price: This transaction was executed in multiple trades at prices ranging from $24.20 to $24.41. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Read SEC document
March 07, 2018 Filed Mar 7, 2018 23:22 UTC Exercise / conversionCommon Stock 15,000 $4.66 $69,900.00
Disclosure

SEC source: 0001209191-18-017821 · doc4.xml · nonDerivative · entry 2

REBROVICK LINDA · CIK 0001217283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,006

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 07, 2018 Filed Mar 7, 2018 23:22 UTC Exercise / conversionCommon Stock 6,000 $2.99 $17,940.00
Disclosure

SEC source: 0001209191-18-017821 · doc4.xml · nonDerivative · entry 1

REBROVICK LINDA · CIK 0001217283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,006

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 05, 2018 Filed Mar 5, 2018 21:04 UTC
GORDON FRANKDirector
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $12.23 $0.00
Disclosure

SEC source: 0001209191-18-016361 · doc4.xml · derivative · entry 10

GORDON FRANK · CIK 0001059231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2019-05-26

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 05, 2018 Filed Mar 5, 2018 21:04 UTC
GORDON FRANKDirector
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $12.23 $0.00
Disclosure

SEC source: 0001209191-18-016361 · doc4.xml · derivative · entry 9

GORDON FRANK · CIK 0001059231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2019-05-26

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 05, 2018 Filed Mar 5, 2018 21:04 UTC
GORDON FRANKDirector
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $12.23 $0.00
Disclosure

SEC source: 0001209191-18-016361 · doc4.xml · derivative · entry 8

GORDON FRANK · CIK 0001059231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2019-05-26

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 05, 2018 Filed Mar 5, 2018 21:04 UTC
GORDON FRANKDirector
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $4.66 $0.00
Disclosure

SEC source: 0001209191-18-016361 · doc4.xml · derivative · entry 7

GORDON FRANK · CIK 0001059231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-06-28

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 05, 2018 Filed Mar 5, 2018 21:04 UTC
GORDON FRANKDirector
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $4.66 $0.00
Disclosure

SEC source: 0001209191-18-016361 · doc4.xml · derivative · entry 6

GORDON FRANK · CIK 0001059231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-06-28

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 05, 2018 Filed Mar 5, 2018 21:04 UTC
GORDON FRANKDirector
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $4.66 $0.00
Disclosure

SEC source: 0001209191-18-016361 · doc4.xml · derivative · entry 5

GORDON FRANK · CIK 0001059231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-06-28

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 05, 2018 Filed Mar 5, 2018 21:04 UTC
GORDON FRANKDirector
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 6,000 $0.00 Strike: $2.99 $0.00
Disclosure

SEC source: 0001209191-18-016361 · doc4.xml · derivative · entry 4

GORDON FRANK · CIK 0001059231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2018-05-29

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.

Read SEC document
March 05, 2018 Filed Mar 5, 2018 21:04 UTC
GORDON FRANKDirector
Exercise / conversionCommon Stock 15,000 $12.23 $183,450.00
Disclosure

SEC source: 0001209191-18-016361 · doc4.xml · nonDerivative · entry 3

GORDON FRANK · CIK 0001059231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,529

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 05, 2018 Filed Mar 5, 2018 21:04 UTC
GORDON FRANKDirector
Exercise / conversionCommon Stock 15,000 $4.66 $69,900.00
Disclosure

SEC source: 0001209191-18-016361 · doc4.xml · nonDerivative · entry 2

GORDON FRANK · CIK 0001059231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,529

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 05, 2018 Filed Mar 5, 2018 21:04 UTC
GORDON FRANKDirector
Exercise / conversionCommon Stock 6,000 $2.99 $17,940.00
Disclosure

SEC source: 0001209191-18-016361 · doc4.xml · nonDerivative · entry 1

GORDON FRANK · CIK 0001059231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,529

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 01, 2018 Filed Mar 1, 2018 20:18 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $12.23 $0.00
Disclosure

SEC source: 0001209191-18-014872 · doc4.xml · derivative · entry 9

HARRIS C MARTIN · CIK 0001236982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2019-05-26

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 01, 2018 Filed Mar 1, 2018 20:18 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $12.23 $0.00
Disclosure

SEC source: 0001209191-18-014872 · doc4.xml · derivative · entry 8

HARRIS C MARTIN · CIK 0001236982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2019-05-26

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 01, 2018 Filed Mar 1, 2018 20:18 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $12.23 $0.00
Disclosure

SEC source: 0001209191-18-014872 · doc4.xml · derivative · entry 7

HARRIS C MARTIN · CIK 0001236982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2019-05-26

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 01, 2018 Filed Mar 1, 2018 20:18 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 3,750 $0.00 Strike: $5.99 $0.00
Disclosure

SEC source: 0001209191-18-014872 · doc4.xml · derivative · entry 6

HARRIS C MARTIN · CIK 0001236982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,750 shares

Expires 2018-10-25

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 01, 2018 Filed Mar 1, 2018 20:18 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 3,750 $0.00 Strike: $5.99 $0.00
Disclosure

SEC source: 0001209191-18-014872 · doc4.xml · derivative · entry 5

HARRIS C MARTIN · CIK 0001236982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,750 shares

Expires 2018-10-25

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 01, 2018 Filed Mar 1, 2018 20:18 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 3,750 $0.00 Strike: $5.99 $0.00
Disclosure

SEC source: 0001209191-18-014872 · doc4.xml · derivative · entry 4

HARRIS C MARTIN · CIK 0001236982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,750 shares

Expires 2018-10-25

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

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