Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 02, 2020 Filed Jun 5, 2020 01:05 UTC |
SMITH STEPHEN MChief Financial Officer
|
SaleCommon Stock | 2,244 | $10.42 | $23,382.48 |
DisclosureSEC source: 0001683168-20-001873 · ownership.xml · nonDerivative · entry 2 SMITH STEPHEN M · CIK 0001185340 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,391 F2 · kind: Represents the number of shares sold to cover the statutory tax withholding obligations in connection with the vesting of Restricted Stock Units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of minimum statutory tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary sale by the Reporting Person. Read SEC document |
| June 02, 2020 Filed Jun 5, 2020 01:05 UTC |
SMITH STEPHEN MChief Financial Officer
|
GrantCommon Stock | 6,636 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-20-001873 · ownership.xml · nonDerivative · entry 1 SMITH STEPHEN M · CIK 0001185340 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,635 F1 · kind: Shares issued pursuant to restricted stock units which vested immediately upon grant and convert into common stock on a one-for-one basis. Read SEC document |
| May 15, 2020 Filed May 19, 2020 20:56 UTC |
Mondor DanChairman & CEO
|
OtherCommon Stock | 2,052 | $4.02 | $8,249.04 |
DisclosureSEC source: 0001683168-20-001678 · ownership.xml · nonDerivative · entry 1 Mondor Dan · CIK 0001432653 · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,919 F1 · kind: Shares acquired through the Company's employee stock purchase program. Read SEC document |
| May 15, 2020 Filed May 19, 2020 20:57 UTC |
Kahn DougEVP of Operations
|
OtherCommon Stock | 2,611 | $4.02 | $10,496.22 |
DisclosureSEC source: 0001683168-20-001680 · ownership.xml · nonDerivative · entry 1 Kahn Doug · CIK 0001811155 · EVP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,611 F1 · kind: Shares acquired through the Company's employee stock purchase program. Read SEC document |
| May 15, 2020 Filed May 19, 2020 20:57 UTC |
SMITH STEPHEN MChief Financial Officer
|
OtherCommon Stock | 2,176 | $4.02 | $8,747.52 |
DisclosureSEC source: 0001683168-20-001679 · ownership.xml · nonDerivative · entry 1 SMITH STEPHEN M · CIK 0001185340 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,999 F1 · kind: Shares acquired through the Company's employee stock purchase program. Read SEC document |
| May 12, 2020 Filed May 15, 2020 01:30 UTC |
Miller BrianDirector · 10% owner
North Sound Trading, LPDirector · 10% owner
North Sound Management, Inc.Director · 10% owner
|
GrantConvertible Notes Due 2025 · Derivative | Not disclosed | $0.00 | $55,544,000.00 |
DisclosureSEC source: 0000950142-20-001358 · es2000746_4-inseego.xml · derivative · entry 2 Miller Brian · CIK 0001749976 · Director · 10% owner North Sound Trading, LP · CIK 0001633979 · Director · 10% owner North Sound Management, Inc. · CIK 0001749646 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires not disclosed F2 · derivative.exercise_price: The Convertible Notes due 2025 will mature on May 1, 2025, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2025 are convertible at any time until the close of business on trading day immediately before the scheduled maturity date, subject to certain limitations, into shares of the Issuer's common stock at an initial conversion price of $12.61 per share of common stock, which is subject to adjustment. F2 · derivative.exercise_date: The Convertible Notes due 2025 will mature on May 1, 2025, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2025 are convertible at any time until the close of business on trading day immediately before the scheduled maturity date, subject to certain limitations, into shares of the Issuer's common stock at an initial conversion price of $12.61 per share of common stock, which is subject to adjustment. F2 · derivative.expiration_date: The Convertible Notes due 2025 will mature on May 1, 2025, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2025 are convertible at any time until the close of business on trading day immediately before the scheduled maturity date, subject to certain limitations, into shares of the Issuer's common stock at an initial conversion price of $12.61 per share of common stock, which is subject to adjustment. F2 · derivative.underlying_shares: The Convertible Notes due 2025 will mature on May 1, 2025, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2025 are convertible at any time until the close of business on trading day immediately before the scheduled maturity date, subject to certain limitations, into shares of the Issuer's common stock at an initial conversion price of $12.61 per share of common stock, which is subject to adjustment. F3 · ownership.nature: The securities are owned directly by North Sound Trading, LP, a Delaware partnership ("North Sound Trading"). Mr. Miller is the sole shareholder of North Sound Management, Inc., a Delaware corporation ("North Sound Management"), which in turn is the general partner of North Sound Trading. Mr. Miller and North Sound Management may be deemed to indirectly own the shares directly owned by North Sound Trading. Each of North Sound Trading and North Sound Management is deemed a director by deputization by virtue of their relationship with Mr. Miller, a director of the Issuer. On May 12, 2020, North Sound Trading LP exchanged all the Convertible Notes due 2022 that it owned for $55,544,000 aggregate principal amount of Convertible Notes due 2025 and a payment of $22,260,826 in cash. The exchange transaction is exempt from Section 16(b) of the Securities Exchange Act by virtue of the exemption provided in Rule 16b-3. Read SEC document |
| May 12, 2020 Filed May 15, 2020 01:30 UTC |
Miller BrianDirector · 10% owner
North Sound Trading, LPDirector · 10% owner
North Sound Management, Inc.Director · 10% owner
|
Disposition to issuerConvertible Notes Due 2022 · Derivative | Not disclosed | $0.00 | $31,116,000.00 |
DisclosureSEC source: 0000950142-20-001358 · es2000746_4-inseego.xml · derivative · entry 1 Miller Brian · CIK 0001749976 · Director · 10% owner North Sound Trading, LP · CIK 0001633979 · Director · 10% owner North Sound Management, Inc. · CIK 0001749646 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: The Convertible Notes due 2022 will mature on June 15, 2022, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2022 are convertible into cash, shares of the Issuer's common stock, or a combination thereof, at the Issuer's election, at an initial conversion price of $4.70 per share of common stock, which is subject to adjustment. The Convertible Notes due 2022 may be converted by the holder in whole or in part at any time prior to the close of business on the business day immediately preceding December 15, 2021, but subject to certain conditions. F1 · derivative.exercise_date: The Convertible Notes due 2022 will mature on June 15, 2022, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2022 are convertible into cash, shares of the Issuer's common stock, or a combination thereof, at the Issuer's election, at an initial conversion price of $4.70 per share of common stock, which is subject to adjustment. The Convertible Notes due 2022 may be converted by the holder in whole or in part at any time prior to the close of business on the business day immediately preceding December 15, 2021, but subject to certain conditions. F1 · derivative.expiration_date: The Convertible Notes due 2022 will mature on June 15, 2022, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2022 are convertible into cash, shares of the Issuer's common stock, or a combination thereof, at the Issuer's election, at an initial conversion price of $4.70 per share of common stock, which is subject to adjustment. The Convertible Notes due 2022 may be converted by the holder in whole or in part at any time prior to the close of business on the business day immediately preceding December 15, 2021, but subject to certain conditions. F1 · derivative.underlying_shares: The Convertible Notes due 2022 will mature on June 15, 2022, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2022 are convertible into cash, shares of the Issuer's common stock, or a combination thereof, at the Issuer's election, at an initial conversion price of $4.70 per share of common stock, which is subject to adjustment. The Convertible Notes due 2022 may be converted by the holder in whole or in part at any time prior to the close of business on the business day immediately preceding December 15, 2021, but subject to certain conditions. F3 · ownership.nature: The securities are owned directly by North Sound Trading, LP, a Delaware partnership ("North Sound Trading"). Mr. Miller is the sole shareholder of North Sound Management, Inc., a Delaware corporation ("North Sound Management"), which in turn is the general partner of North Sound Trading. Mr. Miller and North Sound Management may be deemed to indirectly own the shares directly owned by North Sound Trading. Each of North Sound Trading and North Sound Management is deemed a director by deputization by virtue of their relationship with Mr. Miller, a director of the Issuer. On May 12, 2020, North Sound Trading LP exchanged all the Convertible Notes due 2022 that it owned for $55,544,000 aggregate principal amount of Convertible Notes due 2025 and a payment of $22,260,826 in cash. The exchange transaction is exempt from Section 16(b) of the Securities Exchange Act by virtue of the exemption provided in Rule 16b-3. Read SEC document |
| May 12, 2020 Filed Aug 7, 2020 22:24 UTC |
Golden Harbor Ltd.Director · 10% owner
|
GrantConvertible Notes Due 2025 · Derivative | Not disclosed | $0.00 | $24,456,000.00 |
DisclosureSEC source: 0000899243-20-021770 · doc4.xml · derivative · entry 2 Golden Harbor Ltd. · CIK 0001747770 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires not disclosed F2 · derivative.exercise_price: The Convertible Notes due 2025 will mature on May 1, 2025, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2025 are convertible at any time until the close of business on trading day immediately before the scheduled maturity date, subject to certain limitations, into shares of the Issuer's common stock at an initial conversion price of $12.61 per share of common stock, which is subject to adjustment. F2 · derivative.exercise_date: The Convertible Notes due 2025 will mature on May 1, 2025, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2025 are convertible at any time until the close of business on trading day immediately before the scheduled maturity date, subject to certain limitations, into shares of the Issuer's common stock at an initial conversion price of $12.61 per share of common stock, which is subject to adjustment. F2 · derivative.expiration_date: The Convertible Notes due 2025 will mature on May 1, 2025, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2025 are convertible at any time until the close of business on trading day immediately before the scheduled maturity date, subject to certain limitations, into shares of the Issuer's common stock at an initial conversion price of $12.61 per share of common stock, which is subject to adjustment. F2 · derivative.underlying_shares: The Convertible Notes due 2025 will mature on May 1, 2025, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2025 are convertible at any time until the close of business on trading day immediately before the scheduled maturity date, subject to certain limitations, into shares of the Issuer's common stock at an initial conversion price of $12.61 per share of common stock, which is subject to adjustment. F3 · ownership.direct: These securities are owned directly by Golden Harbor Ltd. ("Golden Harbor"), which may be deemed to be a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, consisting of Braslyn Ltd., Golden Harbor, Tavistock Financial, LLC and Joseph C. Lewis. Mr. Lewis is the sole indirect beneficial owner of and controls Golden Harbor. On May 12, 2020, Golden Harbor exchanged all the Convertible Notes due 2022 that it owned for $24,456,000 principal amount of Convertible Notes due 2025 and a payment of $9,801,000 in cash. The exchange transaction is exempt from Section 16(b) of the Securities Exchange Act by virtue of the exemption provided in Rule 16b-3. Read SEC document |
| May 12, 2020 Filed Aug 7, 2020 22:24 UTC |
Golden Harbor Ltd.Director · 10% owner
|
Disposition to issuerConvertible Notes Due 2022 · Derivative | Not disclosed | $0.00 | $13,700,000.00 |
DisclosureSEC source: 0000899243-20-021770 · doc4.xml · derivative · entry 1 Golden Harbor Ltd. · CIK 0001747770 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: The Convertible Notes due 2022 will mature on June 15, 2022, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2022 are convertible into cash, shares of the Issuer's common stock, or a combination thereof, at the Issuer's election, at an initial conversion price of $4.70 per share of common stock, which is subject to adjustment. The Convertible Notes due 2022 may be converted by the holder in whole or in part at any time prior to the close of business on the business day immediately preceding December 15, 2021, but subject to certain conditions. F1 · derivative.exercise_date: The Convertible Notes due 2022 will mature on June 15, 2022, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2022 are convertible into cash, shares of the Issuer's common stock, or a combination thereof, at the Issuer's election, at an initial conversion price of $4.70 per share of common stock, which is subject to adjustment. The Convertible Notes due 2022 may be converted by the holder in whole or in part at any time prior to the close of business on the business day immediately preceding December 15, 2021, but subject to certain conditions. F1 · derivative.expiration_date: The Convertible Notes due 2022 will mature on June 15, 2022, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2022 are convertible into cash, shares of the Issuer's common stock, or a combination thereof, at the Issuer's election, at an initial conversion price of $4.70 per share of common stock, which is subject to adjustment. The Convertible Notes due 2022 may be converted by the holder in whole or in part at any time prior to the close of business on the business day immediately preceding December 15, 2021, but subject to certain conditions. F1 · derivative.underlying_shares: The Convertible Notes due 2022 will mature on June 15, 2022, unless earlier converted, redeemed or repurchased. The Convertible Notes due 2022 are convertible into cash, shares of the Issuer's common stock, or a combination thereof, at the Issuer's election, at an initial conversion price of $4.70 per share of common stock, which is subject to adjustment. The Convertible Notes due 2022 may be converted by the holder in whole or in part at any time prior to the close of business on the business day immediately preceding December 15, 2021, but subject to certain conditions. F3 · ownership.direct: These securities are owned directly by Golden Harbor Ltd. ("Golden Harbor"), which may be deemed to be a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, consisting of Braslyn Ltd., Golden Harbor, Tavistock Financial, LLC and Joseph C. Lewis. Mr. Lewis is the sole indirect beneficial owner of and controls Golden Harbor. On May 12, 2020, Golden Harbor exchanged all the Convertible Notes due 2022 that it owned for $24,456,000 principal amount of Convertible Notes due 2025 and a payment of $9,801,000 in cash. The exchange transaction is exempt from Section 16(b) of the Securities Exchange Act by virtue of the exemption provided in Rule 16b-3. Read SEC document |
| May 07, 2020 Filed May 11, 2020 21:09 UTC |
Golden Harbor Ltd.Director · 10% owner
|
OtherCommon Stock | 10,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-012592 · doc4.xml · nonDerivative · entry 1 Golden Harbor Ltd. · CIK 0001747770 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,965,504 F2 · kind: On May 7, 2020, Golden Harbor transferred 10,000,000 shares of common stock of the issuer to Braslyn Ltd. for no consideration. F2 · price: On May 7, 2020, Golden Harbor transferred 10,000,000 shares of common stock of the issuer to Braslyn Ltd. for no consideration. F1 · ownership.direct: These securities are owned directly by Golden Harbor Ltd. ("Golden Harbor"), which may be deemed to be a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, consisting of Braslyn Ltd., Golden Harbor and Joseph C. Lewis. Mr. Lewis is the sole indirect beneficial owner of and controls Golden Harbor. Read SEC document |
| February 05, 2020 Filed May 19, 2020 20:55 UTC |
TUDER JEFFREYDirector
|
GrantCommon Stock | 11,039 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-20-001675 · ownership.xml · nonDerivative · entry 1 TUDER JEFFREY · CIK 0001671976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,585 F1 · shares: Represents restricted stock units scheduled to vest on the one-year anniversary of the grant date. F2 · shares: The restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| February 05, 2020 Filed May 19, 2020 20:54 UTC |
Harland ChristopherDirector
|
GrantCommon Stock | 11,039 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-20-001674 · ownership.xml · nonDerivative · entry 1 Harland Christopher · CIK 0001790755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,039 F1 · shares: Represents restricted stock units scheduled to vest on the one-year anniversary of the grant date. F2 · shares: The restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| February 05, 2020 Filed May 22, 2020 20:37 UTC |
Avery James BDirector
|
GrantCommon Stock | 11,039 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-20-001724 · ownership.xml · nonDerivative · entry 1 Avery James B · CIK 0001747700 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 71,122 F1 · shares: Represents restricted stock units scheduled to vest on the one-year anniversary of the grant date. F2 · shares: The restricted stock units convert into common stock on a one-for-one basis. F3 · balance_after: Mr. Avery is obligated to transfer any shares issued pursuant to any equity awards made to him by the Issuer, or the economic benefits thereof, to Tavistock Financial, LLC. As such, the reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose. F3 · ownership.nature: Mr. Avery is obligated to transfer any shares issued pursuant to any equity awards made to him by the Issuer, or the economic benefits thereof, to Tavistock Financial, LLC. As such, the reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| February 05, 2020 Filed May 26, 2020 20:53 UTC |
Miller BrianDirector
North Sound Trading, LPDirector
North Sound Management, Inc.Director
|
GrantCommon Stock | 11,039 | $0.00 | $0.00 |
DisclosureSEC source: 0000950142-20-001406 · es2000768_4-inseego.xml · nonDerivative · entry 1 Miller Brian · CIK 0001749976 · Director North Sound Trading, LP · CIK 0001633979 · Director North Sound Management, Inc. · CIK 0001749646 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,122 F1 · shares: Restricted stock units scheduled to vest on the one-year anniversary of the grant date. F2 · shares: The restricted stock units convert into common stock on a one-for-one basis. F3 · balance_after: Includes 42,521 restricted stock units scheduled to vest over a three-year period, with one-third vesting on each anniversary of October 25, 2018, the grant date, and 17,562 restricted stock units that vested in full on February 14, 2020. F4 · ownership.direct: The restricted stock units are owned directly by Brian Miller. Read SEC document |
| November 15, 2019 Filed Nov 19, 2019 21:16 UTC |
SMITH STEPHEN MChief Financial Officer
|
OtherCommon Stock | 2,176 | $4.02 | $8,748.61 |
DisclosureSEC source: 0001022652-19-000047 · wf-form4_157419815380124.xml · nonDerivative · entry 1 SMITH STEPHEN M · CIK 0001185340 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,823 F1 · kind: Shares acquired through the Company's employee stock purchase program. Read SEC document |
| November 15, 2019 Filed Nov 19, 2019 21:08 UTC |
Mondor DanDirector · Chairman and CEO
|
OtherCommon Stock | 2,052 | $4.02 | $8,250.07 |
DisclosureSEC source: 0001022652-19-000045 · wf-form4_157419771712113.xml · nonDerivative · entry 1 Mondor Dan · CIK 0001432653 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,867 F1 · kind: Shares acquired through the Company's employee stock purchase program. Read SEC document |
| October 31, 2019 Filed Nov 4, 2019 23:35 UTC |
Harland ChristopherDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001022652-19-000039 · wf-form4_157291048861834.xml · nonDerivative · entry 1 Harland Christopher · CIK 0001790755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 F1 · shares: The restricted stock units are scheduled to vest over a three-year period, with one-third vesting on each anniversary of the grant date through the third anniversary of the grant date. F2 · shares: The restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| August 09, 2019 Filed Aug 13, 2019 20:26 UTC |
Miller BrianDirector
North Sound Trading, LPDirector
North Sound Management, Inc.Director
|
GrantSeries E Fixed-Rate Cumulative Perpetual Preferred Stock | 3,000 | $1,000.00 | $3,000,000.00 |
DisclosureSEC source: 0000950142-19-001768 · es1900999_4-inseego.xml · nonDerivative · entry 1 Miller Brian · CIK 0001749976 · Director North Sound Trading, LP · CIK 0001633979 · Director North Sound Management, Inc. · CIK 0001749646 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,000 F1 · ownership.nature: The shares are owned directly by North Sound Trading, LP, a Delaware partnership ("North Sound Trading"). Mr. Miller is the sole shareholder of North Sound Management, Inc., a Delaware corporation ("North Sound Management"), which in turn is the general partner of North Sound Trading. Mr. Miller and North Sound Management may be deemed to indirectly own the shares directly owned by North Sound Trading. Each of North Sound Trading and North Sound Management is deemed a director by deputization by virtue of their relationship with Mr. Miller, a director of the Issuer. Read SEC document |
| August 09, 2019 Filed Aug 13, 2019 17:14 UTC |
Golden Harbor Ltd.Director · 10% owner
LEWIS JOSEPHDirector · 10% owner
|
GrantSeries E Cumulative Perpetual Preferred Stock | 7,000 | $1,000.00 | $7,000,000.00 |
DisclosureSEC source: 0000899243-19-021644 · doc4.xml · nonDerivative · entry 1 Golden Harbor Ltd. · CIK 0001747770 · Director · 10% owner LEWIS JOSEPH · CIK 0001015747 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 F1 · security: The Series E Preferred Stock is not convertible into common stock of the issuer, nor does it have any voting rights unless otherwise required by law. F2 · ownership.direct: These securities are owned directly by Golden Harbor Ltd ("Golden Harbor"), which may be deemed to be a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, consisting of Golden Harbor and Joseph C. Lewis. Mr. Lewis is the sole indirect beneficial owner of and controls Golden Harbor. Each of Golden Harbor and Mr. Lewis is deemed a director by deputization by virtue of their relationship with Jim Avery, a director of the issuer. Read SEC document |
| July 10, 2019 Filed Jul 12, 2019 21:01 UTC |
Miller BrianDirector
North Sound Trading, LPDirector
North Sound Management, Inc.Director
|
PurchaseConvertible Note · Derivative | Not disclosed | $33,073,967.50 Strike: $4.70 | $25,466,000.00 |
DisclosureSEC source: 0000950142-19-001553 · es1900900_4-inseego.xml · derivative · entry 3 Miller Brian · CIK 0001749976 · Director North Sound Trading, LP · CIK 0001633979 · Director North Sound Management, Inc. · CIK 0001749646 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires not disclosed F5 · derivative.exercise_price: The convertible note will mature on June 15, 2022, unless earlier converted, redeemed or repurchased. The convertible note is convertible into cash, shares of the Issuer's common stock, or a combination thereof, at the Issuer's election, at an initial conversion price of $4.70 per share of common stock, which is subject to adjustment. The convertible note may be converted by the holder in whole or in part at any time prior to the close of business on the business day immediately preceding December 15, 2021, but subject to certain conditions. F5 · derivative.exercise_date: The convertible note will mature on June 15, 2022, unless earlier converted, redeemed or repurchased. The convertible note is convertible into cash, shares of the Issuer's common stock, or a combination thereof, at the Issuer's election, at an initial conversion price of $4.70 per share of common stock, which is subject to adjustment. The convertible note may be converted by the holder in whole or in part at any time prior to the close of business on the business day immediately preceding December 15, 2021, but subject to certain conditions. F5 · derivative.expiration_date: The convertible note will mature on June 15, 2022, unless earlier converted, redeemed or repurchased. The convertible note is convertible into cash, shares of the Issuer's common stock, or a combination thereof, at the Issuer's election, at an initial conversion price of $4.70 per share of common stock, which is subject to adjustment. The convertible note may be converted by the holder in whole or in part at any time prior to the close of business on the business day immediately preceding December 15, 2021, but subject to certain conditions. F5 · derivative.underlying_shares: The convertible note will mature on June 15, 2022, unless earlier converted, redeemed or repurchased. The convertible note is convertible into cash, shares of the Issuer's common stock, or a combination thereof, at the Issuer's election, at an initial conversion price of $4.70 per share of common stock, which is subject to adjustment. The convertible note may be converted by the holder in whole or in part at any time prior to the close of business on the business day immediately preceding December 15, 2021, but subject to certain conditions. F1 · ownership.nature: The shares and convertible notes are owned directly by North Sound Trading, LP, a Delaware partnership ("North Sound Trading"). Mr. Miller is the sole shareholder of North Sound Management, Inc., a Delaware corporation ("North Sound Management"), which in turn is the general partner of North Sound Trading. Mr. Miller and North Sound Management may be deemed to indirectly own the shares and convertible notes directly owned by North Sound Trading. Each of North Sound Trading and North Sound Management is deemed a director by deputization by virtue of their relationship with Mr. Miller, a director of the Issuer. Read SEC document |
| July 10, 2019 Filed Jul 12, 2019 21:01 UTC |
Miller BrianDirector
North Sound Trading, LPDirector
North Sound Management, Inc.Director
|
SaleCommon Stock | 3,900,000 | $4.80 | $18,720,000.00 |
DisclosureSEC source: 0000950142-19-001553 · es1900900_4-inseego.xml · nonDerivative · entry 1 Miller Brian · CIK 0001749976 · Director North Sound Trading, LP · CIK 0001633979 · Director North Sound Management, Inc. · CIK 0001749646 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,401,995 F1 · ownership.nature: The shares and convertible notes are owned directly by North Sound Trading, LP, a Delaware partnership ("North Sound Trading"). Mr. Miller is the sole shareholder of North Sound Management, Inc., a Delaware corporation ("North Sound Management"), which in turn is the general partner of North Sound Trading. Mr. Miller and North Sound Management may be deemed to indirectly own the shares and convertible notes directly owned by North Sound Trading. Each of North Sound Trading and North Sound Management is deemed a director by deputization by virtue of their relationship with Mr. Miller, a director of the Issuer. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 00:25 UTC |
Mondor DanDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 18,811 | $4.91 | $92,362.01 |
DisclosureSEC source: 0001022652-19-000027 · wf-form4_156211352297890.xml · nonDerivative · entry 2 Mondor Dan · CIK 0001432653 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,815 F2 · kind: Automatic disposition of shares back to Issuer (and subsequent cancellation thereof) solely to satisfy immediate payroll tax withholding obligation triggered by the vesting of restricted stock. The Reporting Person received no proceeds from this transaction. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 00:25 UTC |
Mondor DanDirector · Chairman and CEO
|
GrantCommon Stock | 54,399 | $0.00 | $0.00 |
DisclosureSEC source: 0001022652-19-000027 · wf-form4_156211352297890.xml · nonDerivative · entry 1 Mondor Dan · CIK 0001432653 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,626 F1 · kind: The restricted stock units are scheduled to vest immediately upon grant and convert into common stock on a one-for-one basis. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 00:21 UTC |
SMITH STEPHEN MChief Financial Officer
|
Tax withholdingCommon Stock | 6,570 | $4.91 | $32,258.70 |
DisclosureSEC source: 0001022652-19-000025 · wf-form4_156211324859994.xml · nonDerivative · entry 2 SMITH STEPHEN M · CIK 0001185340 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,647 F2 · kind: Automatic disposition of shares back to Issuer (and subsequent cancellation thereof) solely to satisfy immediate payroll tax withholding obligation triggered by the vesting of restricted stock. The Reporting Person received no proceeds from this transaction. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 00:21 UTC |
SMITH STEPHEN MChief Financial Officer
|
GrantCommon Stock | 19,160 | $0.00 | $0.00 |
DisclosureSEC source: 0001022652-19-000025 · wf-form4_156211324859994.xml · nonDerivative · entry 1 SMITH STEPHEN M · CIK 0001185340 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,217 F1 · kind: The restricted stock units are scheduled to vest immediately upon grant and convert into common stock on a one-for-one basis. Read SEC document |
| May 15, 2019 Filed May 16, 2019 23:17 UTC |
Mondor DanDirector · Chairman and CEO
|
OtherCommon Stock | 2,588 | $3.19 | $8,249.25 |
DisclosureSEC source: 0001022652-19-000021 · wf-form4_155804861470496.xml · nonDerivative · entry 1 Mondor Dan · CIK 0001432653 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,227 F1 · kind: Shares acquired through the Company's employee stock purchase program. Read SEC document |
| May 15, 2019 Filed May 16, 2019 22:48 UTC |
SMITH STEPHEN MChief Financial Officer
|
OtherCommon Stock | 2,745 | $3.19 | $8,749.69 |
DisclosureSEC source: 0001022652-19-000019 · wf-form4_155804690421494.xml · nonDerivative · entry 1 SMITH STEPHEN M · CIK 0001185340 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,057 F1 · kind: Shares acquired through the Company's employee stock purchase program. Read SEC document |
| March 28, 2019 Filed Mar 29, 2019 17:00 UTC |
Golden Harbor Ltd.Director · 10% owner
LEWIS JOSEPH10% owner
|
GrantWarrant (right to purchase) · Derivative | 1,875,000 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0000899243-19-009269 · doc4.xml · derivative · entry 3 Golden Harbor Ltd. · CIK 0001747770 · Director · 10% owner LEWIS JOSEPH · CIK 0001015747 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,875,000 Underlying: Common Stock · 1,875,000 shares Expires 2022-06-30 F1 · ownership.direct: These securities are owned directly by Golden Harbor Ltd ("Golden Harbor"), which may be deemed to be a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, consisting of Golden Harbor and Joseph C. Lewis. Mr. Lewis is the sole indirect beneficial owner of and controls Golden Harbor. Read SEC document |
| March 28, 2019 Filed Mar 29, 2019 17:00 UTC |
Golden Harbor Ltd.Director · 10% owner
LEWIS JOSEPH10% owner
|
Exercise / conversionWarrant (right to purchase) · Derivative | 3,166,275 | $0.00 Strike: $2.52 | $0.00 |
DisclosureSEC source: 0000899243-19-009269 · doc4.xml · derivative · entry 2 Golden Harbor Ltd. · CIK 0001747770 · Director · 10% owner LEWIS JOSEPH · CIK 0001015747 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,166,275 shares Expires 2023-08-06 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 · ownership.direct: These securities are owned directly by Golden Harbor Ltd ("Golden Harbor"), which may be deemed to be a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, consisting of Golden Harbor and Joseph C. Lewis. Mr. Lewis is the sole indirect beneficial owner of and controls Golden Harbor. Read SEC document |
| March 28, 2019 Filed Mar 29, 2019 17:00 UTC |
Golden Harbor Ltd.Director · 10% owner
LEWIS JOSEPH10% owner
|
Exercise / conversionCommon Stock | 3,166,275 | $2.52 | $7,979,013.00 |
DisclosureSEC source: 0000899243-19-009269 · doc4.xml · nonDerivative · entry 1 Golden Harbor Ltd. · CIK 0001747770 · Director · 10% owner LEWIS JOSEPH · CIK 0001015747 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,965,504 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 · ownership.direct: These securities are owned directly by Golden Harbor Ltd ("Golden Harbor"), which may be deemed to be a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, consisting of Golden Harbor and Joseph C. Lewis. Mr. Lewis is the sole indirect beneficial owner of and controls Golden Harbor. Read SEC document |
| March 28, 2019 Filed Mar 29, 2019 20:59 UTC |
Miller BrianDirector · 10% owner
North Sound Trading, LPDirector · 10% owner
North Sound Management, Inc.Director · 10% owner
|
GrantWarrant (right to purchase) · Derivative | 625,000 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0000950142-19-000662 · es1900446_4-inseego.xml · derivative · entry 4 Miller Brian · CIK 0001749976 · Director · 10% owner North Sound Trading, LP · CIK 0001633979 · Director · 10% owner North Sound Management, Inc. · CIK 0001749646 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 625,000 Underlying: Common Stock · 625,000 shares Expires 2022-06-30 F1 · ownership.nature: The shares and warrants are owned directly by North Sound Trading, LP, a Delaware partnership ("North Sound Trading"). Mr. Miller is the sole shareholder of North Sound Management, Inc., a Delaware corporation ("North Sound Management"), which in turn is the general partner of North Sound Trading. Mr. Miller and North Sound Management may be deemed to indirectly own the shares directly owned by North Sound Trading. Each of North Sound Trading and North Sound Management is deemed a director by deputization by virtue of their relationship with Mr. Miller, a director of the Issuer. The exercise of the warrant to acquire 1,055,425 shares of common stock and the acquisition of the warrant to acquire 625,000 shares of common stock are each transactions that are exempt from Section 16(b) pursuant to Section 16b-3. Read SEC document |
| March 28, 2019 Filed Mar 29, 2019 20:59 UTC |
Miller BrianDirector · 10% owner
North Sound Trading, LPDirector · 10% owner
North Sound Management, Inc.Director · 10% owner
|
Exercise / conversionWarrant (right to purchase) · Derivative | 1,055,425 | $0.00 Strike: $2.52 | $0.00 |
DisclosureSEC source: 0000950142-19-000662 · es1900446_4-inseego.xml · derivative · entry 3 Miller Brian · CIK 0001749976 · Director · 10% owner North Sound Trading, LP · CIK 0001633979 · Director · 10% owner North Sound Management, Inc. · CIK 0001749646 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,055,425 shares Expires 2023-08-06 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 · ownership.nature: The shares and warrants are owned directly by North Sound Trading, LP, a Delaware partnership ("North Sound Trading"). Mr. Miller is the sole shareholder of North Sound Management, Inc., a Delaware corporation ("North Sound Management"), which in turn is the general partner of North Sound Trading. Mr. Miller and North Sound Management may be deemed to indirectly own the shares directly owned by North Sound Trading. Each of North Sound Trading and North Sound Management is deemed a director by deputization by virtue of their relationship with Mr. Miller, a director of the Issuer. The exercise of the warrant to acquire 1,055,425 shares of common stock and the acquisition of the warrant to acquire 625,000 shares of common stock are each transactions that are exempt from Section 16(b) pursuant to Section 16b-3. Read SEC document |
| March 28, 2019 Filed Mar 29, 2019 20:59 UTC |
Miller BrianDirector · 10% owner
North Sound Trading, LPDirector · 10% owner
North Sound Management, Inc.Director · 10% owner
|
Exercise / conversionCommon Stock | 1,055,425 | $2.52 | $2,659,671.00 |
DisclosureSEC source: 0000950142-19-000662 · es1900446_4-inseego.xml · nonDerivative · entry 1 Miller Brian · CIK 0001749976 · Director · 10% owner North Sound Trading, LP · CIK 0001633979 · Director · 10% owner North Sound Management, Inc. · CIK 0001749646 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 10,301,995 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 · ownership.nature: The shares and warrants are owned directly by North Sound Trading, LP, a Delaware partnership ("North Sound Trading"). Mr. Miller is the sole shareholder of North Sound Management, Inc., a Delaware corporation ("North Sound Management"), which in turn is the general partner of North Sound Trading. Mr. Miller and North Sound Management may be deemed to indirectly own the shares directly owned by North Sound Trading. Each of North Sound Trading and North Sound Management is deemed a director by deputization by virtue of their relationship with Mr. Miller, a director of the Issuer. The exercise of the warrant to acquire 1,055,425 shares of common stock and the acquisition of the warrant to acquire 625,000 shares of common stock are each transactions that are exempt from Section 16(b) pursuant to Section 16b-3. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 00:16 UTC |
Miller BrianDirector · 10% owner
North Sound Management, Inc.10% owner
North Sound Trading, LP10% owner
|
GrantCommon Stock | 17,562 | $0.00 | $0.00 |
DisclosureSEC source: 0000950142-19-000318 · es1900277_4-inseego.xml · nonDerivative · entry 1 Miller Brian · CIK 0001749976 · Director · 10% owner North Sound Management, Inc. · CIK 0001749646 · 10% owner North Sound Trading, LP · CIK 0001633979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,083 F1 · shares: The restricted stock units will vest in full on the first anniversary of the grant date. F2 · shares: The restricted stock units convert into common stock on a one-for-one basis. F3 · ownership.direct: The shares are owned directly by Mr. Miller. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 21:30 UTC |
Avery James BDirector
|
GrantCommon Stock | 17,562 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-004057 · doc4.xml · nonDerivative · entry 2 Avery James B · CIK 0001747700 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 60,083 F2 · shares: The restricted stock units convert into common stock on a one-for-one basis. F3 · shares: The restricted stock units are scheduled to vest in full on the first anniversary of the grant date. F4 · ownership.nature: Mr. Avery is obligated to transfer any shares issued pursuant to any equity awards made to him by the Issuer, or the economic benefits thereof, to Tavistock Financial LLC. As such, the reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 21:30 UTC |
Avery James BDirector
|
GrantCommon Stock | 42,521 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-004057 · doc4.xml · nonDerivative · entry 1 Avery James B · CIK 0001747700 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 42,151 F1 · shares: The restricted stock units are scheduled to vest over a three-year period, with one-third vesting on the first anniversary of the grant date, one-third vesting on the second anniversary of the grant date and one-third vesting on the third anniversary of the grant date. F2 · shares: The restricted stock units convert into common stock on a one-for-one basis. F4 · ownership.nature: Mr. Avery is obligated to transfer any shares issued pursuant to any equity awards made to him by the Issuer, or the economic benefits thereof, to Tavistock Financial LLC. As such, the reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 21:13 UTC |
PONS ROBERT MDirector
|
GrantStock Option (Right to Buy) · Derivative | 28,466 | $0.00 Strike: $4.70 | $0.00 |
DisclosureSEC source: 0001022652-19-000006 · wf-form4_155061077697978.xml · derivative · entry 2 PONS ROBERT M · CIK 0001274520 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,466 Underlying: Common Stock · 28,466 shares Expires 2029-02-14 Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 21:13 UTC |
PONS ROBERT MDirector
|
GrantCommon Stock | 8,781 | $0.00 | $0.00 |
DisclosureSEC source: 0001022652-19-000006 · wf-form4_155061077697978.xml · nonDerivative · entry 1 PONS ROBERT M · CIK 0001274520 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,333 F1 · shares: The restricted stock units convert into common stock on a one-for-one basis. F2 · shares: The restricted stock units will vest in full on the first anniversary of the grant date. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 21:06 UTC |
TUDER JEFFREYDirector
|
GrantStock Option (Right to Buy) · Derivative | 28,466 | $0.00 Strike: $4.70 | $0.00 |
DisclosureSEC source: 0001022652-19-000004 · wf-form4_155061040424553.xml · derivative · entry 2 TUDER JEFFREY · CIK 0001671976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,466 Underlying: Common Stock · 28,466 shares Expires 2029-02-14 Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 21:06 UTC |
TUDER JEFFREYDirector
|
GrantCommon Stock | 8,781 | $0.00 | $0.00 |
DisclosureSEC source: 0001022652-19-000004 · wf-form4_155061040424553.xml · nonDerivative · entry 1 TUDER JEFFREY · CIK 0001671976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,546 F1 · shares: The restricted stock units will vest in full on the first anniversary of the grant date. F2 · shares: The restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| February 14, 2019 Filed Feb 13, 2020 20:35 UTC Amendment |
Avery James BDirector
|
GrantCommon Stock | 17,562 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-004467 · doc4a.xml · nonDerivative · entry 2 Avery James B · CIK 0001747700 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 60,083 F2 · shares: The restricted stock units convert into common stock on a one-for-one basis. F3 · shares: The restricted stock units are scheduled to vest in full on July 1, 2020. F5 · shares: Mr. Avery is filing this amendment to reflect the amended vesting schedules for the grants of restricted stock units. F4 · ownership.nature: Mr. Avery is obligated to transfer any shares issued pursuant to any equity awards made to him by the Issuer, or the economic benefits thereof, to Tavistock Financial, LLC. As such, the reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| February 14, 2019 Filed Feb 13, 2020 20:35 UTC Amendment |
Avery James BDirector
|
GrantCommon Stock | 42,521 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-004467 · doc4a.xml · nonDerivative · entry 1 Avery James B · CIK 0001747700 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 42,521 F1 · shares: The restricted stock units are scheduled to vest over a three-year period, with one-third vesting on July 1, 2020, one-third vesting on October 25, 2020 and one-third vesting on October 25, 2021. F2 · shares: The restricted stock units convert into common stock on a one-for-one basis. F5 · shares: Mr. Avery is filing this amendment to reflect the amended vesting schedules for the grants of restricted stock units. F4 · ownership.nature: Mr. Avery is obligated to transfer any shares issued pursuant to any equity awards made to him by the Issuer, or the economic benefits thereof, to Tavistock Financial, LLC. As such, the reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 24, 2019 Filed Jan 28, 2019 21:10 UTC |
Mondor DanDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 18,495 | $5.25 | $97,098.75 |
DisclosureSEC source: 0001022652-19-000002 · wf-form4_154870983462145.xml · nonDerivative · entry 2 Mondor Dan · CIK 0001432653 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,639 F2 · kind: Automatic disposition of shares back to Issuer (and subsequent cancellation thereof) solely to satisfy immediate payroll tax withholding obligation triggered by the vesting of restricted stock. The Reporting Person received no proceeds from this transaction. Read SEC document |
| January 24, 2019 Filed Jan 28, 2019 21:10 UTC |
Mondor DanDirector · Chairman and CEO
|
GrantCommon Stock | 56,410 | $0.00 | $0.00 |
DisclosureSEC source: 0001022652-19-000002 · wf-form4_154870983462145.xml · nonDerivative · entry 1 Mondor Dan · CIK 0001432653 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,134 F1 · kind: The restricted stock units are scheduled to vest immediately upon grant and convert into common stock on a one-for-one basis. Read SEC document |
| December 19, 2018 Filed Dec 20, 2018 06:05 UTC |
Golden Harbor Ltd.10% owner
LEWIS JOSEPH10% owner
|
PurchaseCommon Stock | 9,752,729 | $3.00 | $29,258,187.00 |
DisclosureSEC source: 0000899243-18-031448 · doc4.xml · nonDerivative · entry 1 Golden Harbor Ltd. · CIK 0001747770 · 10% owner LEWIS JOSEPH · CIK 0001015747 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,799,229 F1 · shares: Pursuant to a Stock Purchase Agreement dated December 4, 2018, as amended, between Golden Harbor Ltd. ("Golden Harbor") and Continental General Insurance Company ("Continental"), Golden Harbor purchased, and Continental sold, 9,752,729 shares of Common Stock. F2 · ownership.direct: These securities are owned directly by Golden Harbor, which may be deemed to be a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, consisting of Golden Harbor and Joseph C. Lewis. Mr. Lewis is the sole indirect beneficial owner of and controls Golden Harbor. Read SEC document |
| December 19, 2018 Filed Dec 20, 2018 15:15 UTC |
North Sound Trading, LP10% owner
North Sound Management, Inc.10% owner
Miller BrianDirector · 10% owner
|
PurchaseCommon Stock | 1,721,070 | $3.00 | $5,163,210.00 |
DisclosureSEC source: 0000950142-18-002430 · es1801327_4-inseego.xml · nonDerivative · entry 1 North Sound Trading, LP · CIK 0001633979 · 10% owner North Sound Management, Inc. · CIK 0001749646 · 10% owner Miller Brian · CIK 0001749976 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,246,570 F1 · ownership.direct: The shares are owned directly by North Sound Trading, LP, a Delaware partnership ("North Sound Trading"). Mr. Miller is the sole shareholder of North Sound Management, Inc., a Delaware corporation, which in turn is the general partner of North Sound Trading. Mr. Miller may be deemed to indirectly own the shares directly owned by North Sound Trading. Mr. Miller is a director of the Issuer. Read SEC document |
| December 19, 2018 Filed Dec 27, 2018 21:16 UTC |
Continental Insurance Group, Ltd.10% owner
HC2 Holdings 2, Inc.10% owner
INNOVATE Corp.10% owner
CONTINENTAL GENERAL INSURANCE CO10% owner · Member of 10% Owner Group
Continental Insurance, Inc.10% owner
|
SaleCommon Stock | 11,473,799 | $3.00 | $34,421,397.00 |
DisclosureSEC source: 0001006837-18-000159 · wf-form4_154594535900753.xml · nonDerivative · entry 1 Continental Insurance Group, Ltd. · CIK 0001663139 · 10% owner HC2 Holdings 2, Inc. · CIK 0001619368 · 10% owner HC2 HOLDINGS, INC. · CIK 0001006837 · 10% owner CONTINENTAL GENERAL INSURANCE CO · CIK 0000024046 · 10% owner · Member of 10% Owner Group Continental Insurance, Inc. · CIK 0001663143 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Group Disclosed balance after: 0 F1 · ownership.nature: Following the transactions reported herein, none of the Reporting Persons owns any shares of Common Stock of the Issuer. Read SEC document |
| November 28, 2018 Filed Nov 30, 2018 21:43 UTC |
TUDER JEFFREYDirector
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 35,033 | $1.25 Strike: $1.25 | $43,791.25 |
DisclosureSEC source: 0001022652-18-000090 · wf-form4_154361417443155.xml · derivative · entry 3 TUDER JEFFREY · CIK 0001671976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,033 shares Expires 2027-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 28, 2018 Filed Nov 30, 2018 21:43 UTC |
TUDER JEFFREYDirector
|
SaleCommon Stock | 35,033 | $3.76 | $131,615.48 |
DisclosureSEC source: 0001022652-18-000090 · wf-form4_154361417443155.xml · nonDerivative · entry 2 TUDER JEFFREY · CIK 0001671976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,765 F1 · price: Weighted-average price at which shares were sold on the listed date between the range of $3.735 and $3.810 per share. The reporting person undertakes to provide upon request to the SEC Staff, the Issuer, or a security holder of the Issuer information regarding the number of shares sold at each price. Read SEC document |
| November 28, 2018 Filed Nov 30, 2018 21:43 UTC |
TUDER JEFFREYDirector
|
Exercise / conversionCommon Stock | 35,033 | $1.25 | $43,791.25 |
DisclosureSEC source: 0001022652-18-000090 · wf-form4_154361417443155.xml · nonDerivative · entry 1 TUDER JEFFREY · CIK 0001671976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,798 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.