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Nasdaq · USD

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Intellicheck, Inc.

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7153
SEC CIK
0001040896
Parsed reports
335

Last 12 months

Inside the activity.

1 purchase rows · 5 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202604
May 202600
Jun 202601
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
December 22, 2017 Filed Dec 22, 2017 19:50 UTC
EMBRY RUSSELL TChief Technology Officer
Exercise / conversionRestricted Stock Unit · Derivative 2,599 $0.00 $0.00
Disclosure

SEC source: 0001493152-17-014985 · form4.xml · derivative · entry 2

EMBRY RUSSELL T · CIK 0001197709 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,599 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.

F3 · shares: Of the 4,363 restricted stock units granted, the reporting person surrendered 1,764 shares for income tax withholding purposes.

F2 · derivative.exercise_date: On May 19, 2016, the reporting person was granted 4,363 restricted stock units, which vested January 2, 2017.

F2 · derivative.expiration_date: On May 19, 2016, the reporting person was granted 4,363 restricted stock units, which vested January 2, 2017.

Read SEC document
December 22, 2017 Filed Dec 22, 2017 19:50 UTC
EMBRY RUSSELL TChief Technology Officer
Exercise / conversionCommon Stock, $.001 par value 2,599 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-17-014985 · form4.xml · nonDerivative · entry 1

EMBRY RUSSELL T · CIK 0001197709 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,599

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
December 08, 2017 Filed Dec 8, 2017 18:30 UTC
White Billy JoeInterim CEO, CFO, Sec & Treas.
Exercise / conversionRestricted Stock Unit · Derivative 8,899 $0.00 $0.00
Disclosure

SEC source: 0001493152-17-014384 · form4.xml · derivative · entry 2

White Billy Joe · CIK 0001546805 · Interim CEO, CFO, Sec & Treas.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,899 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 19, 2016, the reporting person was granted 8,899 restricted stock units which vested on January 2, 2017.

F2 · derivative.expiration_date: On May 19, 2016, the reporting person was granted 8,899 restricted stock units which vested on January 2, 2017.

Read SEC document
December 08, 2017 Filed Dec 8, 2017 18:30 UTC
White Billy JoeInterim CEO, CFO, Sec & Treas.
Exercise / conversionCommon Stock, $.001 par value 8,899 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-17-014384 · form4.xml · nonDerivative · entry 1

White Billy Joe · CIK 0001546805 · Interim CEO, CFO, Sec & Treas.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,624

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
September 29, 2017 Filed Oct 2, 2017 19:42 UTC
Smith Guy LDirector
GrantRestricted Stock Unit · Derivative 5,208 $0.00 Strike: $2.88 $0.00
Disclosure

SEC source: 0001493152-17-011136 · form4.xml · derivative · entry 1

Smith Guy L · CIK 0001326916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,208

Underlying: Common Stock · 5,208 shares

Expires not disclosed

F1 · derivative.expiration_date: Restricted Stock Units shall become earned and vested, and shares of stock shall be issued in settlement of Vested Restricted Stock Units on September 29, 2017.

Read SEC document
August 04, 2017 Filed Aug 4, 2017 20:36 UTC SaleCommon Stock 5,000 $2.48 $12,400.00
Disclosure

SEC source: 0001535264-17-000057 · primary_doc.xml · nonDerivative · entry 2

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,492,043

F2 · shares: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 300,576 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 859,364 Shares held by SSFQP and 332,103 Shares held by SSPE.

F3 · shares: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · price: This is a weighted average price.

F2 · balance_after: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 300,576 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 859,364 Shares held by SSFQP and 332,103 Shares held by SSPE.

F3 · balance_after: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.direct: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 300,576 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 859,364 Shares held by SSFQP and 332,103 Shares held by SSPE.

F3 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 300,576 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 859,364 Shares held by SSFQP and 332,103 Shares held by SSPE.

F3 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
August 03, 2017 Filed Aug 4, 2017 20:36 UTC SaleCommon Stock 100 $2.91 $291.00
Disclosure

SEC source: 0001535264-17-000057 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,497,043

F1 · price: This is a weighted average price.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 20:48 UTC SaleCommon Stock 8,696 $2.86 $24,880.13
Disclosure

SEC source: 0001535264-17-000055 · primary_doc.xml · nonDerivative · entry 2

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,497,143

F2 · shares: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 301,608 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 862,319 Shares held by SSFQP and 333,216 Shares held by SSPE.

F3 · shares: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · price: This is a weighted average price.

F2 · balance_after: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 301,608 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 862,319 Shares held by SSFQP and 333,216 Shares held by SSPE.

F3 · balance_after: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.direct: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 301,608 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 862,319 Shares held by SSFQP and 333,216 Shares held by SSPE.

F3 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 301,608 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 862,319 Shares held by SSFQP and 333,216 Shares held by SSPE.

F3 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
July 31, 2017 Filed Aug 2, 2017 20:48 UTC SaleCommon Stock 20,000 $3.09 $61,894.00
Disclosure

SEC source: 0001535264-17-000055 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,505,839

F1 · price: This is a weighted average price.

Read SEC document
July 27, 2017 Filed Jul 27, 2017 20:37 UTC SaleCommon Stock 500 $3.43 $1,712.50
Disclosure

SEC source: 0001535264-17-000054 · primary_doc.xml · nonDerivative · entry 4

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,525,839

F2 · shares: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 308,782 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 883,841 Shares held by SSFQP and 333,216 Shares held by SSPE.

F3 · shares: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · price: This is a weighted average price.

F2 · balance_after: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 308,782 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 883,841 Shares held by SSFQP and 333,216 Shares held by SSPE.

F3 · balance_after: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.direct: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 308,782 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 883,841 Shares held by SSFQP and 333,216 Shares held by SSPE.

F3 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 308,782 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 883,841 Shares held by SSFQP and 333,216 Shares held by SSPE.

F3 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
July 26, 2017 Filed Jul 27, 2017 20:37 UTC SaleCommon Stock 2,035 $3.40 $6,926.33
Disclosure

SEC source: 0001535264-17-000054 · primary_doc.xml · nonDerivative · entry 3

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,526,339

F1 · price: This is a weighted average price.

Read SEC document
July 26, 2017 Filed Jul 27, 2017 20:37 UTC SaleCommon Stock 1,100 $3.42 $3,764.97
Disclosure

SEC source: 0001535264-17-000054 · primary_doc.xml · nonDerivative · entry 2

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,528,374

F1 · price: This is a weighted average price.

Read SEC document
July 25, 2017 Filed Jul 27, 2017 20:37 UTC SaleCommon Stock 400 $3.53 $1,412.52
Disclosure

SEC source: 0001535264-17-000054 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,529,474

F1 · price: This is a weighted average price.

Read SEC document
July 24, 2017 Filed Jul 24, 2017 20:45 UTC SaleCommon Stock 13,227 $3.55 $46,889.72
Disclosure

SEC source: 0001535264-17-000053 · primary_doc.xml · nonDerivative · entry 5

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,529,874

F1 · shares: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 309,739 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 886,680 Shares held by SSFQP and 333,455 Shares held by SSPE.

F1 · balance_after: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 309,739 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 886,680 Shares held by SSFQP and 333,455 Shares held by SSPE.

F1 · ownership.direct: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 309,739 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 886,680 Shares held by SSFQP and 333,455 Shares held by SSPE.

F2 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · ownership.nature: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 309,739 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 886,680 Shares held by SSFQP and 333,455 Shares held by SSPE.

F2 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
July 24, 2017 Filed Jul 24, 2017 20:45 UTC SaleCommon Stock 4,358 $3.51 $15,293.09
Disclosure

SEC source: 0001535264-17-000053 · primary_doc.xml · nonDerivative · entry 4

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,543,101

Read SEC document
July 21, 2017 Filed Jul 24, 2017 20:45 UTC SaleCommon Stock 11,100 $3.51 $39,009.84
Disclosure

SEC source: 0001535264-17-000053 · primary_doc.xml · nonDerivative · entry 3

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,547,459

Read SEC document
July 21, 2017 Filed Jul 24, 2017 20:45 UTC SaleCommon Stock 3,250 $3.50 $11,377.60
Disclosure

SEC source: 0001535264-17-000053 · primary_doc.xml · nonDerivative · entry 2

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,558,559

Read SEC document
July 21, 2017 Filed Jul 24, 2017 20:45 UTC SaleCommon Stock 200 $3.50 $700.00
Disclosure

SEC source: 0001535264-17-000053 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,561,809

Read SEC document
July 13, 2017 Filed Jul 13, 2017 20:48 UTC SaleCommon Stock 34,052 $3.70 $125,900.46
Disclosure

SEC source: 0001535264-17-000052 · primary_doc.xml · nonDerivative · entry 3

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,562,009

F1 · price: This is a weighted average price.

F2 · balance_after: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 317,611 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 910,205 Shares held by SSFQP and 334,193 Shares held by SSPE.

F3 · balance_after: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.direct: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 317,611 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 910,205 Shares held by SSFQP and 334,193 Shares held by SSPE.

F3 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 317,611 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 910,205 Shares held by SSFQP and 334,193 Shares held by SSPE.

F3 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
July 12, 2017 Filed Jul 13, 2017 20:48 UTC SaleCommon Stock 1,386 $3.75 $5,197.50
Disclosure

SEC source: 0001535264-17-000052 · primary_doc.xml · nonDerivative · entry 2

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,596,061

F1 · price: This is a weighted average price.

Read SEC document
July 11, 2017 Filed Jul 13, 2017 20:48 UTC SaleCommon Stock 28,014 $3.73 $104,511.83
Disclosure

SEC source: 0001535264-17-000052 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,597,447

F1 · price: This is a weighted average price.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 19:23 UTC
Smith Guy LDirector
GrantRestricted Stock Unit · Derivative 3,856 $0.00 Strike: $3.89 $0.00
Disclosure

SEC source: 0001493152-17-007476 · form4.xml · derivative · entry 1

Smith Guy L · CIK 0001326916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,856

Underlying: Common Stock · 3,856 shares

Expires not disclosed

F1 · derivative.expiration_date: Restricted Stock Units shall become earned and vested, and shares of stock shall be issued in settlement of Vested Restricted Stock Units on June 30, 2017.

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June 07, 2017 Filed Jun 9, 2017 20:12 UTC SaleCommon Stock 5,000 $4.20 $21,020.00
Disclosure

SEC source: 0001535264-17-000049 · primary_doc.xml · nonDerivative · entry 2

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,628,341

F1 · price: This is a weighted average price

F2 · balance_after: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 334,193 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 959,955 Shares held by SSFQP and 334,193 Shares held by SSPE.

F3 · balance_after: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.direct: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 334,193 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 959,955 Shares held by SSFQP and 334,193 Shares held by SSPE.

F3 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 334,193 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 959,955 Shares held by SSFQP and 334,193 Shares held by SSPE.

F3 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 07, 2017 Filed Jun 9, 2017 20:12 UTC SaleCommon Stock 16,000 $4.15 $66,323.20
Disclosure

SEC source: 0001535264-17-000049 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,633,341

F1 · price: This is a weighted average price

F3 · balance_after: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 06, 2017 Filed Jun 6, 2017 20:50 UTC SaleCommon Stock 20,049 $4.11 $82,309.16
Disclosure

SEC source: 0001535264-17-000048 · primary_doc.xml · nonDerivative · entry 6

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,649,341

F2 · shares: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 338,503 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 972,335 Shares held by SSFQP and 338,503 Shares held by SSPE.

F3 · shares: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · price: This is a weighted average price.

F2 · balance_after: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 338,503 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 972,335 Shares held by SSFQP and 338,503 Shares held by SSPE.

F3 · balance_after: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.direct: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 338,503 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 972,335 Shares held by SSFQP and 338,503 Shares held by SSPE.

F3 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 338,503 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 972,335 Shares held by SSFQP and 338,503 Shares held by SSPE.

F3 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 06, 2017 Filed Jun 6, 2017 20:50 UTC SaleCommon Stock 18,242 $4.38 $79,859.83
Disclosure

SEC source: 0001535264-17-000048 · primary_doc.xml · nonDerivative · entry 5

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,669,390

F1 · price: This is a weighted average price.

Read SEC document
June 06, 2017 Filed Jun 6, 2017 20:50 UTC SaleCommon Stock 6,625 $4.36 $28,859.83
Disclosure

SEC source: 0001535264-17-000048 · primary_doc.xml · nonDerivative · entry 4

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,687,632

F1 · price: This is a weighted average price.

Read SEC document
June 05, 2017 Filed Jun 6, 2017 20:50 UTC SaleCommon Stock 800 $4.25 $3,400.00
Disclosure

SEC source: 0001535264-17-000048 · primary_doc.xml · nonDerivative · entry 3

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,694,257

F1 · price: This is a weighted average price.

Read SEC document
June 02, 2017 Filed Jun 6, 2017 20:50 UTC SaleCommon Stock 2,600 $4.26 $11,087.18
Disclosure

SEC source: 0001535264-17-000048 · primary_doc.xml · nonDerivative · entry 2

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,695,057

F1 · price: This is a weighted average price.

Read SEC document
June 02, 2017 Filed Jun 6, 2017 20:50 UTC SaleCommon Stock 140 $4.21 $589.40
Disclosure

SEC source: 0001535264-17-000048 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,697,657

F1 · price: This is a weighted average price.

Read SEC document
May 25, 2017 Filed May 25, 2017 21:04 UTC SaleCommon Stock 100 $4.15 $415.00
Disclosure

SEC source: 0001535264-17-000045 · primary_doc.xml · nonDerivative · entry 7

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,697,797

F2 · shares: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 348,449 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,000,899 Shares held by SSFQP and 348,449 Shares held by SSPE.

F3 · shares: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · price: This is a weighted average price.

F2 · balance_after: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 348,449 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,000,899 Shares held by SSFQP and 348,449 Shares held by SSPE.

F3 · balance_after: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.direct: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 348,449 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,000,899 Shares held by SSFQP and 348,449 Shares held by SSPE.

F3 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 348,449 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,000,899 Shares held by SSFQP and 348,449 Shares held by SSPE.

F3 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 25, 2017 Filed May 25, 2017 21:04 UTC SaleCommon Stock 21,360 $4.09 $87,428.62
Disclosure

SEC source: 0001535264-17-000045 · primary_doc.xml · nonDerivative · entry 5

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,709,307

F1 · price: This is a weighted average price.

Read SEC document
May 24, 2017 Filed May 25, 2017 21:04 UTC SaleCommon Stock 16,357 $4.26 $69,636.66
Disclosure

SEC source: 0001535264-17-000045 · primary_doc.xml · nonDerivative · entry 4

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,730,667

F1 · price: This is a weighted average price.

Read SEC document
May 24, 2017 Filed May 25, 2017 21:04 UTC SaleCommon Stock 34,691 $4.26 $147,891.20
Disclosure

SEC source: 0001535264-17-000045 · primary_doc.xml · nonDerivative · entry 3

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,747,024

F1 · price: This is a weighted average price.

Read SEC document
May 24, 2017 Filed May 25, 2017 21:04 UTC SaleCommon Stock 38,871 $4.22 $163,876.25
Disclosure

SEC source: 0001535264-17-000045 · primary_doc.xml · nonDerivative · entry 2

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,781,715

F1 · price: This is a weighted average price.

Read SEC document
May 23, 2017 Filed May 25, 2017 21:04 UTC SaleCommon Stock 1,100 $3.85 $4,239.95
Disclosure

SEC source: 0001535264-17-000045 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,820,586

F1 · price: This is a weighted average price.

Read SEC document
May 22, 2017 Filed May 23, 2017 20:51 UTC SaleCommon Stock 1 $3.90 $3.90
Disclosure

SEC source: 0001535264-17-000044 · primary_doc.xml · nonDerivative · entry 3

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,821,686

F2 · shares: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 373,855 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,073,978 Shares held by SSFQP and 373,853 Shares held by SSPE.

F3 · shares: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · price: This is a weighted average price.

F2 · balance_after: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 373,855 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,073,978 Shares held by SSFQP and 373,853 Shares held by SSPE.

F3 · balance_after: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.direct: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 373,855 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,073,978 Shares held by SSFQP and 373,853 Shares held by SSPE.

F3 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 373,855 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,073,978 Shares held by SSFQP and 373,853 Shares held by SSPE.

F3 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 19, 2017 Filed May 23, 2017 20:51 UTC SaleCommon Stock 7,227 $3.88 $28,056.66
Disclosure

SEC source: 0001535264-17-000044 · primary_doc.xml · nonDerivative · entry 2

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,821,687

F1 · price: This is a weighted average price.

Read SEC document
May 19, 2017 Filed May 23, 2017 20:51 UTC SaleCommon Stock 5,881 $3.85 $22,650.08
Disclosure

SEC source: 0001535264-17-000044 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,828,914

F1 · price: This is a weighted average price.

Read SEC document
May 16, 2017 Filed May 17, 2017 20:21 UTC SaleCommon Stock 5,250 $3.88 $20,372.63
Disclosure

SEC source: 0001535264-17-000043 · primary_doc.xml · nonDerivative · entry 3

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,834,795

F2 · shares: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 376,545 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,081,707 Shares held by SSFQP and 376,543 Shares held by SSPE.

F3 · shares: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · price: This is a weighted average price.

F2 · balance_after: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 376,545 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,081,707 Shares held by SSFQP and 376,543 Shares held by SSPE.

F3 · balance_after: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.direct: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 376,545 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,081,707 Shares held by SSFQP and 376,543 Shares held by SSPE.

F3 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 376,545 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,081,707 Shares held by SSFQP and 376,543 Shares held by SSPE.

F3 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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May 15, 2017 Filed May 17, 2017 20:21 UTC SaleCommon Stock 14,602 $4.06 $59,234.47
Disclosure

SEC source: 0001535264-17-000043 · primary_doc.xml · nonDerivative · entry 2

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,840,045

F1 · price: This is a weighted average price.

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May 15, 2017 Filed May 17, 2017 20:21 UTC SaleCommon Stock 20,400 $3.97 $81,039.00
Disclosure

SEC source: 0001535264-17-000043 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,854,647

F1 · price: This is a weighted average price.

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May 11, 2017 Filed May 11, 2017 20:52 UTC SaleCommon Stock 41,538 $3.44 $142,741.18
Disclosure

SEC source: 0001535264-17-000041 · primary_doc.xml · nonDerivative · entry 6

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,875,047

F2 · shares: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 384,806 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,105,437 Shares held by SSFQP and 384,804 Shares held by SSPE.

F3 · shares: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · price: This is a weighted average price.

F2 · balance_after: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 384,806 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,105,437 Shares held by SSFQP and 384,804 Shares held by SSPE.

F3 · balance_after: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.direct: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 384,806 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,105,437 Shares held by SSFQP and 384,804 Shares held by SSPE.

F3 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Fund III QP, L.P. (SSFQP), Special Situations Private Equity Fund, L.P. (SSPE and together with CAYMAN and SSFQP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 384,806 Shares of common stock of the Issuer (the Shares) held by CAYMAN, 1,105,437 Shares held by SSFQP and 384,804 Shares held by SSPE.

F3 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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May 11, 2017 Filed May 11, 2017 20:52 UTC SaleCommon Stock 13,635 $3.34 $45,523.17
Disclosure

SEC source: 0001535264-17-000041 · primary_doc.xml · nonDerivative · entry 5

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,916,585

F1 · price: This is a weighted average price.

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May 10, 2017 Filed May 11, 2017 20:52 UTC SaleCommon Stock 2,002 $3.48 $6,966.96
Disclosure

SEC source: 0001535264-17-000041 · primary_doc.xml · nonDerivative · entry 4

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,930,220

F1 · price: This is a weighted average price.

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May 09, 2017 Filed May 11, 2017 20:52 UTC SaleCommon Stock 11,100 $3.53 $39,192.99
Disclosure

SEC source: 0001535264-17-000041 · primary_doc.xml · nonDerivative · entry 3

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,932,222

F1 · price: This is a weighted average price.

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May 09, 2017 Filed May 11, 2017 20:52 UTC SaleCommon Stock 30,207 $3.53 $106,524.99
Disclosure

SEC source: 0001535264-17-000041 · primary_doc.xml · nonDerivative · entry 2

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,943,322

F1 · price: This is a weighted average price.

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May 09, 2017 Filed May 11, 2017 20:52 UTC SaleCommon Stock 11,493 $3.47 $39,920.94
Disclosure

SEC source: 0001535264-17-000041 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 1,973,529

F1 · price: This is a weighted average price.

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March 31, 2017 Filed Apr 4, 2017 15:20 UTC
Smith Guy LDirector
GrantRestricted Stock Unit · Derivative 5,747 $0.00 Strike: $2.61 $0.00
Disclosure

SEC source: 0001493152-17-003451 · form4.xml · derivative · entry 1

Smith Guy L · CIK 0001326916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,747

Underlying: Common Stock · 5,747 shares

Expires not disclosed

F1 · derivative.expiration_date: Restricted Stock Units shall become earned and vested, and shares of stock shall be issued in settlement of Vested Restricted Stock Units on March 31, 2017.

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March 31, 2017 Filed Apr 4, 2017 15:19 UTC GrantRestricted Stock Unit · Derivative 766 $0.00 Strike: $2.61 $0.00
Disclosure

SEC source: 0001493152-17-003450 · form4.xml · derivative · entry 1

Georges William P · CIK 0001617187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766

Underlying: Common Stock · 766 shares

Expires not disclosed

F1 · derivative.expiration_date: Restricted Stock Units shall become earned and vested, and shares of stock shall be issued in settlement of Vested Restricted Stock Units on March 31, 2017.

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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.