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NYSE · USD

HTFC

Horizon Technology Finance Corp

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Tapewire entity
5939
SEC CIK
0001487428
Parsed reports
64

Last 12 months

Inside the activity.

7 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202670
Jul 202600
Aug 202600
Sep 202600
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
June 10, 2026 Filed Jun 10, 2026 20:26 UTC
Trolio Daniel R.Executive VP and CFO
PurchaseCommon Stock 11,500 $4.34 $49,910.00
Disclosure

SEC source: 0001437749-26-020168 · rdgdoc.xml · nonDerivative · entry 1

Trolio Daniel R. · CIK 0001683196 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,023

Read SEC document
June 09, 2026 Filed Jun 10, 2026 20:25 UTC
Seitz Paul GChief Investment Officer
PurchaseCommon Stock 11,477 $4.35 $49,924.95
Disclosure

SEC source: 0001437749-26-020166 · rdgdoc.xml · nonDerivative · entry 1

Seitz Paul G · CIK 0002074870 · Chief Investment Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,242

Read SEC document
June 09, 2026 Filed Jun 10, 2026 20:27 UTC PurchaseCommon Stock 6,000 $4.33 $25,950.00
Disclosure

SEC source: 0001437749-26-020170 · rdgdoc.xml · nonDerivative · entry 1

Goodman Jonathan Joseph · CIK 0001985438 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · As Trustee for Jonathan J. Goodman Revocable Trust

Disclosed balance after: 8,312

Read SEC document
June 09, 2026 Filed Jun 10, 2026 20:24 UTC PurchaseCommon Stock 6,000 $4.36 $26,160.00
Disclosure

SEC source: 0000945621-26-000816 · form4.xml · nonDerivative · entry 1

ALLISON THOMAS J. · CIK 0001575875 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,926

Read SEC document
June 09, 2026 Filed Jun 10, 2026 15:19 UTC
Balkin MichaelDirector · Chief Executive Officer
PurchaseCommon Stock 100,000 $4.34 $434,000.00
Disclosure

SEC source: 0001437749-26-020103 · rdgdoc.xml · nonDerivative · entry 3

Balkin Michael · CIK 0001843078 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 223,527

Read SEC document
June 09, 2026 Filed Jun 11, 2026 21:10 UTC Amendment PurchaseCommon Stock 6,000 $4.36 $26,160.00
Disclosure

SEC source: 0000945621-26-000819 · form4.xml · nonDerivative · entry 1

ALLISON THOMAS J. · CIK 0001575875 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,617

F1 · balance_after: Previously, it was reported that the Reporting Person beneficially owned 55,926 shares of Common Stock following the Reporting Person's purchase of 6,000 shares of Common Stock on June 9, 2026 (the "Reported Transaction"). However, the 55,926 figure omitted shares of Common Stock the Reporting Person had previously acquired pursuant to the Issuer's dividend reinvestment plan. After correction, the number of shares of Common Stock beneficially owned by the Reporting Person following the Reported Transaction was 56,617 shares.

F2 · balance_after: Includes shares of Common Stock received pursuant to the Issuer's dividend reinvestment plan.

Read SEC document
June 09, 2026 Filed Jun 11, 2026 13:00 UTC PurchaseCommon Stock 10,000 $4.37 $43,699.00
Disclosure

SEC source: 0001437749-26-020238 · rdgdoc.xml · nonDerivative · entry 1

O'Connor Kimberley Ann · CIK 0001967292 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Read SEC document
April 14, 2026 Filed Apr 14, 2026 23:22 UTC
Seitz Paul GChief Investment Officer
GrantCommon Stock 142 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-26-012280 · rdgdoc.xml · nonDerivative · entry 1

Seitz Paul G · CIK 0002074870 · Chief Investment Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 742

F1 · price: Acquired upon the completion of, and pursuant to, the transactions contemplated by the Agreement and Plan of Merger, dated as of August 7, 2025, by and among Horizon Technology Finance Corporation ("HRZN"), a Delaware corporation, Monroe Capital Corporation ("MRCC"), a Maryland corporation, HMMS, Inc., a Maryland corporation, Monroe Capital BDC Advisors, LLC, a Delaware limited liability company, and Horizon Technology Finance Management LLC, a Delaware limited liability company (the "Merger Agreement"). Pursuant to the Merger Agreement, each share of MRCC common stock, par value $0.001 per share, was converted into the right to receive 0.9402 shares of HRZN common stock, par value $0.001 per share. The market price of HRZN common stock at the close of trading on April 13, 2026, the last trading day prior to closing of the merger, was $4.57.

Read SEC document
April 14, 2026 Filed Apr 14, 2026 23:28 UTC GrantCommon Stock 49,926 Not disclosed Not disclosed
Disclosure

SEC source: 0000945621-26-000574 · form4.xml · nonDerivative · entry 1

ALLISON THOMAS J. · CIK 0001575875 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,926

F1 · price: Acquired upon the completion of, and pursuant to, the transactions contemplated by the Agreement and Plan of Merger, dated as of August 7, 2025, by and among Horizon Technology Finance Corporation ("HRZN"), a Delaware corporation, Monroe Capital Corporation ("MRCC"), a Maryland corporation, HMMS, Inc., a Maryland corporation, Monroe Capital BDC Advisors, LLC, a Delaware limited liability company, and Horizon Technology Finance Management LLC, a Delaware limited liability company (the "Merger Agreement"). Pursuant to the Merger Agreement, each share of MRCC common stock, par value $0.001 per share, was converted into the right to receive 0.9402 shares of HRZN common stock, par value $0.001 per share. The market price of HRZN common stock at the close of trading on April 13, 2026, the last trading day prior to closing of the merger, was $4.57.

Read SEC document
April 14, 2026 Filed Apr 14, 2026 23:21 UTC
Balkin MichaelDirector · Chief Executive Officer
GrantCommon Stock 93,527 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-26-012279 · rdgdoc.xml · nonDerivative · entry 1

Balkin Michael · CIK 0001843078 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,527

F1 · price: Acquired upon the completion of, and pursuant to, the transactions contemplated by the Agreement and Plan of Merger, dated as of August 7, 2025, by and among Horizon Technology Finance Corporation ("HRZN"), a Delaware corporation, Monroe Capital Corporation ("MRCC"), a Maryland corporation, HMMS, Inc., a Maryland corporation, Monroe Capital BDC Advisors, LLC, a Delaware limited liability company, and Horizon Technology Finance Management LLC, a Delaware limited liability company (the "Merger Agreement"). Pursuant to the Merger Agreement, each share of MRCC common stock, par value $0.001 per share, was converted into the right to receive 0.9402 shares of HRZN common stock, par value $0.001 per share. The market price of HRZN common stock at the close of trading on April 13, 2026, the last trading day prior to closing of the merger, was $4.57.

Read SEC document
April 14, 2026 Filed Jun 10, 2026 15:19 UTC
Balkin MichaelDirector · Chief Executive Officer
GrantCommon Stock 93,527 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-26-020103 · rdgdoc.xml · nonDerivative · entry 1

Balkin Michael · CIK 0001843078 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,527

F1 · price: Acquired upon the completion of, and pursuant to, the transactions contemplated by the Agreement and Plan of Merger, dated as of August 7, 2025, by and among Horizon Technology Finance Corporation ("HRZN"), a Delaware corporation, Monroe Capital Corporation ("MRCC"), a Maryland corporation, HMMS, Inc., a Maryland corporation, Monroe Capital BDC Advisors, LLC, a Delaware limited liability company, and Horizon Technology Finance Management LLC, a Delaware limited liability company (the "Merger Agreement"). Pursuant to the Merger Agreement, each share of MRCC common stock, par value $0.001 per share, was converted into the right to receive 0.9402 shares of HRZN common stock, par value $0.001 per share. The market price of HRZN common stock at the close of trading on April 13, 2026, the last trading day prior to closing of the merger, was $4.57.

Read SEC document
December 16, 2024 Filed Dec 17, 2024 18:23 UTC PurchaseCommon Stock 20,000 $8.53 $170,600.00
Disclosure

SEC source: 0001437749-24-037709 · rdgdoc.xml · nonDerivative · entry 1

Balkin Michael · CIK 0001843078 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Self as Trustee for Michael P. Balkin Revocable Trust dated 11/1/93 as Amended

Disclosed balance after: 20,000

F1 · price: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.

Read SEC document
November 25, 2024 Filed Dec 2, 2024 16:38 UTC
Michaud Gerald A.Director · President
PurchaseCommon Stock 8,000 $9.31 $74,519.20
Disclosure

SEC source: 0001437749-24-036405 · rdgdoc.xml · nonDerivative · entry 1

Michaud Gerald A. · CIK 0001503747 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 169,309

F1 · balance_after: In addition to the shares directly owned by Mr. Michaud, Mr. Michaud is an indirect owner of 485 shares as of the transaction date, which are owned directly by his spouse.

Read SEC document
November 14, 2024 Filed Nov 14, 2024 21:23 UTC PurchaseCommon Stock 4,500 $9.20 $41,400.00
Disclosure

SEC source: 0001437749-24-035325 · rdgdoc.xml · nonDerivative · entry 2

SAVAGE JOSEPH J · CIK 0001197563 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,500

Read SEC document
November 13, 2024 Filed Nov 14, 2024 21:23 UTC PurchaseCommon Stock 5,000 $9.35 $46,750.00
Disclosure

SEC source: 0001437749-24-035325 · rdgdoc.xml · nonDerivative · entry 1

SAVAGE JOSEPH J · CIK 0001197563 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

Read SEC document
August 05, 2024 Filed Aug 5, 2024 19:03 UTC PurchaseCommon Stock 10,000 $10.58 $105,800.00
Disclosure

SEC source: 0001437749-24-024617 · rdgdoc.xml · nonDerivative · entry 1

Balkin Michael · CIK 0001843078 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

F1 · price: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.

Read SEC document
August 05, 2024 Filed Aug 5, 2024 19:09 UTC PurchaseCommon Stock 2,313 $10.81 $25,003.53
Disclosure

SEC source: 0001437749-24-024620 · rdgdoc.xml · nonDerivative · entry 1

Goodman Jonathan Joseph · CIK 0001985438 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · As Trustee for Jonathan J. Goodman Revocable Trust

Disclosed balance after: 2,313

F1 · price: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.

Read SEC document
March 08, 2024 Filed Mar 11, 2024 17:42 UTC
Michaud Gerald A.Director · President
PurchaseCommon Stock 3,650 $11.77 $42,960.50
Disclosure

SEC source: 0001437749-24-007312 · rdgdoc.xml · nonDerivative · entry 1

Michaud Gerald A. · CIK 0001503747 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,244

F1 · price: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.

F2 · balance_after: In addition to the shares directly owned by Mr. Michaud, Mr. Michaud is an indirect owner of 485 shares as of the transaction date, which are owned directly by his spouse.

Read SEC document
December 20, 2022 Filed Dec 21, 2022 19:06 UTC
Michaud Gerald A.Director · President
PurchaseCommon Stock 18,250 $11.03 $201,297.50
Disclosure

SEC source: 0001437749-22-029511 · rdgdoc.xml · nonDerivative · entry 1

Michaud Gerald A. · CIK 0001503747 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,585

F2 · price: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.

F1 · balance_after: In addition to the shares directly owned by Mr. Michaud, Mr. Michaud is an indirect owner of 485 shares as of the transaction date, which are owned directly by his spouse.

Read SEC document
December 09, 2022 Filed Dec 12, 2022 14:30 UTC
Pomeroy Robert D. Jr.Director · CEO and Chairman of the Board
PurchaseCommon Stock 600 $13.03 $7,818.00
Disclosure

SEC source: 0001437749-22-028839 · rdgdoc.xml · nonDerivative · entry 2

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CEO and Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · As custodian for grandchildren

Disclosed balance after: 8,717

F2 · price: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.

Read SEC document
December 09, 2022 Filed Dec 12, 2022 14:30 UTC
Pomeroy Robert D. Jr.Director · CEO and Chairman of the Board
PurchaseCommon Stock 4,000 $13.03 $52,120.00
Disclosure

SEC source: 0001437749-22-028839 · rdgdoc.xml · nonDerivative · entry 1

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CEO and Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,821

F1 · price: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.

Read SEC document
December 06, 2022 Filed Dec 7, 2022 15:27 UTC
Michaud Gerald A.Director · President
PurchaseCommon Stock 4,000 $12.90 $51,600.00
Disclosure

SEC source: 0001437749-22-028617 · rdgdoc.xml · nonDerivative · entry 1

Michaud Gerald A. · CIK 0001503747 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,335

F1 · price: The price reported in Column 4 is a weighted average price as of the transaction date. These shares were purchased in multiple transactions at prices ranging from $12.875 to $12.90, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.

F2 · balance_after: In addition to the shares directly owned by Mr. Michaud, Mr. Michaud is an indirect owner of 485 shares as of the transaction date, which are owned directly by his spouse.

Read SEC document
November 16, 2022 Filed Nov 17, 2022 16:07 UTC
Trolio Daniel R.Executive VP and CFO
PurchaseCommon Stock 758 $13.04 $9,884.32
Disclosure

SEC source: 0001437749-22-027595 · rdgdoc.xml · nonDerivative · entry 1

Trolio Daniel R. · CIK 0001683196 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,374

Read SEC document
September 29, 2022 Filed Sep 30, 2022 12:34 UTC PurchaseCommon Stock 500 $9.88 $4,940.00
Disclosure

SEC source: 0001437749-22-023280 · rdgdoc.xml · nonDerivative · entry 1

Mahoney Edmund V. · CIK 0001503745 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,169.474

Read SEC document
June 21, 2022 Filed Jun 22, 2022 15:42 UTC
Pomeroy Robert D. Jr.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 4,000 $11.30 $45,200.00
Disclosure

SEC source: 0001415889-22-006833 · form4-06222022_080625.xml · nonDerivative · entry 1

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,127

Read SEC document
May 16, 2022 Filed May 17, 2022 18:35 UTC PurchaseCommon Stock 10,000 $12.23 $122,300.00
Disclosure

SEC source: 0001415889-22-005108 · form4-05172022_110550.xml · nonDerivative · entry 1

SAVAGE JOSEPH J · CIK 0001197563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Read SEC document
May 12, 2022 Filed May 12, 2022 21:12 UTC PurchaseCommon Stock 5,000 $11.82 $59,100.00
Disclosure

SEC source: 0001415889-22-004917 · form4-05122022_020521.xml · nonDerivative · entry 1

SAVAGE JOSEPH J · CIK 0001197563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Read SEC document
May 10, 2022 Filed May 11, 2022 19:40 UTC PurchaseCommon Stock 414 $12.00 $4,968.00
Disclosure

SEC source: 0001415889-22-004829 · form4-05112022_120529.xml · nonDerivative · entry 1

Trolio Daniel R. · CIK 0001683196 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,532

Read SEC document
May 09, 2022 Filed May 11, 2022 17:14 UTC
Michaud Gerald A.Director · PRESIDENT
PurchaseCommon Stock 3,050 $12.06 $36,783.00
Disclosure

SEC source: 0001415889-22-004822 · form4-05112022_100524.xml · nonDerivative · entry 1

Michaud Gerald A. · CIK 0001503747 · Director · PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,899

Read SEC document
May 06, 2022 Filed May 9, 2022 19:40 UTC
Pomeroy Robert D. Jr.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 1,000 $12.57 $12,570.00
Disclosure

SEC source: 0001415889-22-004765 · form4-05092022_120500.xml · nonDerivative · entry 2

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Indirect · As custodian for grandhildren

Disclosed balance after: 7,674

Read SEC document
May 06, 2022 Filed May 9, 2022 19:40 UTC
Pomeroy Robert D. Jr.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 4,000 $12.73 $50,904.00
Disclosure

SEC source: 0001415889-22-004765 · form4-05092022_120500.xml · nonDerivative · entry 1

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,539

Read SEC document
December 06, 2021 Filed Dec 6, 2021 20:32 UTC
Michaud Gerald A.Director · PRESIDENT
PurchaseCommon Stock 3,450 $15.87 $54,751.50
Disclosure

SEC source: 0001415889-21-005724 · form4-12062021_121232.xml · nonDerivative · entry 1

Michaud Gerald A. · CIK 0001503747 · Director · PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,300.97

F1 · price: The price reported in Column 4 is a weighted average price as of the transaction date. These shares were purchased in multiple transactions at prices ranging from $15.85 to $15.87, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.

Read SEC document
December 06, 2021 Filed Dec 7, 2021 14:49 UTC
Pomeroy Robert D. Jr.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 600 $16.13 $9,678.00
Disclosure

SEC source: 0001415889-21-005736 · form4-12072021_061223.xml · nonDerivative · entry 2

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Indirect · As custodian for grandhildren

Disclosed balance after: 6,448

F1 · price: The price reported in Column 4 is a weighted average price as of the transaction date. These shares were purchased in multiple transactions at prices ranging from $16.12 to $16.14, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer

Read SEC document
December 06, 2021 Filed Dec 7, 2021 14:49 UTC
Pomeroy Robert D. Jr.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 2,500 $16.11 $40,275.00
Disclosure

SEC source: 0001415889-21-005736 · form4-12072021_061223.xml · nonDerivative · entry 1

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,244

Read SEC document
May 06, 2021 Filed May 6, 2021 17:23 UTC
Pomeroy Robert D. Jr.Director · Chief Executive Officer
PurchaseCommon Stock 600 $16.36 $9,816.00
Disclosure

SEC source: 0001638599-21-000445 · doc4_7207.xml · nonDerivative · entry 2

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · As custodian for grandchildren

Disclosed balance after: 5,475

Read SEC document
May 06, 2021 Filed May 6, 2021 17:23 UTC
Pomeroy Robert D. Jr.Director · Chief Executive Officer
PurchaseCommon Stock 2,500 $16.34 $40,850.00
Disclosure

SEC source: 0001638599-21-000445 · doc4_7207.xml · nonDerivative · entry 1

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,073

Read SEC document
May 04, 2021 Filed May 5, 2021 19:34 UTC
Michaud Gerald A.Director · President
PurchaseCommon Stock 2,500 $16.19 $40,475.00
Disclosure

SEC source: 0001638599-21-000443 · doc4_7206.xml · nonDerivative · entry 1

Michaud Gerald A. · CIK 0001503747 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,078

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.18 to $16.20, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 18:06 UTC
Michaud Gerald A.Director · President
PurchaseCommon Stock 11,300 $13.30 $150,290.00
Disclosure

SEC source: 0001638599-21-000331 · doc4_7152.xml · nonDerivative · entry 1

Michaud Gerald A. · CIK 0001503747 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,578

Read SEC document
March 05, 2021 Filed Mar 8, 2021 15:02 UTC
Pomeroy Robert D. Jr.Director · Chief Executive Officer
PurchaseCommon Stock 5,000 $13.25 $66,250.00
Disclosure

SEC source: 0001638599-21-000329 · doc4_7151.xml · nonDerivative · entry 1

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,986

Read SEC document
March 05, 2021 Filed Mar 9, 2021 20:44 UTC Amendment
Pomeroy Robert D. Jr.Director · Chief Executive Officer
PurchaseCommon Stock 5,000 $13.25 $66,250.00
Disclosure

SEC source: 0001638599-21-000333 · doc4a_7156.xml · nonDerivative · entry 1

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,877

Read SEC document
June 04, 2020 Filed Jun 4, 2020 21:11 UTC
Pomeroy Robert D. Jr.Director · Chief Executive Officer
PurchaseCommon Stock 10,000 $11.70 $117,000.00
Disclosure

SEC source: 0001638599-20-000550 · doc4_6735.xml · nonDerivative · entry 1

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,204

Read SEC document
June 02, 2020 Filed Jun 3, 2020 16:42 UTC
Michaud Gerald A.Director · President
PurchaseCommon Stock 14,900 $11.38 $169,562.00
Disclosure

SEC source: 0001638599-20-000534 · doc4_6716.xml · nonDerivative · entry 1

Michaud Gerald A. · CIK 0001503747 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,844

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.34 to $11.50, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.

Read SEC document
May 05, 2020 Filed May 6, 2020 17:45 UTC
Trolio Daniel R.Senior VP and CFO
PurchaseCommons Stock 538 $9.31 $5,006.63
Disclosure

SEC source: 0001638599-20-000415 · doc4_6657.xml · nonDerivative · entry 1

Trolio Daniel R. · CIK 0001683196 · Senior VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 962

Read SEC document
March 31, 2020 Filed Mar 31, 2020 19:45 UTC PurchaseCommon Stock 6,500 $8.43 $54,795.00
Disclosure

SEC source: 0001638599-20-000357 · doc4_6624.xml · nonDerivative · entry 1

SAVAGE JOSEPH J · CIK 0001197563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

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March 25, 2020 Filed Mar 25, 2020 18:56 UTC PurchaseCommon Stock 2,000 $8.91 $17,820.00
Disclosure

SEC source: 0001638599-20-000340 · doc4_6618.xml · nonDerivative · entry 1

SAVAGE JOSEPH J · CIK 0001197563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,500

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March 20, 2020 Filed Mar 20, 2020 14:57 UTC PurchaseCommon Stock 8,000 $7.57 $60,560.00
Disclosure

SEC source: 0001638599-20-000329 · doc4_6612.xml · nonDerivative · entry 1

SAVAGE JOSEPH J · CIK 0001197563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,500

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March 18, 2020 Filed Mar 18, 2020 21:53 UTC
Pomeroy Robert D. Jr.Director · Chief Executive Officer
PurchaseCommon Stock 4,000 $5.98 $23,920.00
Disclosure

SEC source: 0001638599-20-000320 · doc4_6605.xml · nonDerivative · entry 1

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,408

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March 13, 2020 Filed Mar 16, 2020 15:33 UTC
Pomeroy Robert D. Jr.Director · Chief Executive Officer
PurchaseCommon Stock 800 $10.33 $8,264.00
Disclosure

SEC source: 0001638599-20-000297 · doc4_6592.xml · nonDerivative · entry 2

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · As custodian for grandchildren

Disclosed balance after: 4,336.6

F1 · ownership.direct: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.28 to $10.44, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.

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March 13, 2020 Filed Mar 16, 2020 15:33 UTC
Pomeroy Robert D. Jr.Director · Chief Executive Officer
PurchaseCommon Stock 4,000 $10.75 $43,000.00
Disclosure

SEC source: 0001638599-20-000297 · doc4_6592.xml · nonDerivative · entry 1

Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,498

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March 12, 2020 Filed Mar 16, 2020 16:55 UTC PurchaseCommon Stock 2,000 $9.64 $19,280.00
Disclosure

SEC source: 0001638599-20-000300 · doc4_6591.xml · nonDerivative · entry 1

Sarsynski Elaine A · CIK 0001552249 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

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