Tapewire

Nasdaq · USD

INVE

INVE Technologies, Inc.

Export transactions ↓
Tapewire entity
7037
SEC CIK
0001036044
Parsed reports
280

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
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

JSON API
Reset

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 03, 2020 Filed Mar 3, 2020 23:35 UTC PurchaseCommon Stock 5,501 $4.13 $22,694.38
Disclosure

SEC source: 0001781002-20-000027 · primary_doc.xml · nonDerivative · entry 4

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,114,989

F3 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.085 to $4.15 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F4 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F5 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,520,704 shares and 21 April Fund, LP owns 399,285 shares respectively of these 2,114,989 shares reported in this form.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:35 UTC PurchaseCommon Stock 6,688 $4.46 $29,819.79
Disclosure

SEC source: 0001781002-20-000027 · primary_doc.xml · nonDerivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,109,488

F2 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.39 to $4.49 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F4 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F5 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,520,704 shares and 21 April Fund, LP owns 399,285 shares respectively of these 2,114,989 shares reported in this form.

Read SEC document
March 02, 2020 Filed Mar 3, 2020 23:35 UTC PurchaseCommon Stock 13,212 $4.48 $59,239.97
Disclosure

SEC source: 0001781002-20-000027 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,102,800

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.45 to $4.49 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F4 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F5 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,520,704 shares and 21 April Fund, LP owns 399,285 shares respectively of these 2,114,989 shares reported in this form.

Read SEC document
February 28, 2020 Filed Mar 4, 2020 02:10 UTC
HUMPHREYS STEVENDirector · CEO
Tax withholdingCommon Stock 1,885 $0.00 $0.00
Disclosure

SEC source: 0000899243-20-006861 · doc4.xml · nonDerivative · entry 2

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,165

Read SEC document
February 28, 2020 Filed Mar 4, 2020 02:10 UTC
HUMPHREYS STEVENDirector · CEO
GrantCommon Stock 4,609 $0.00 $0.00
Disclosure

SEC source: 0000899243-20-006861 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,050

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan in lieu of salary. The award is fully vested on the date of grant.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 23:35 UTC PurchaseCommon Stock 100 $4.48 $448.00
Disclosure

SEC source: 0001781002-20-000027 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,089,588

F4 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F5 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,520,704 shares and 21 April Fund, LP owns 399,285 shares respectively of these 2,114,989 shares reported in this form.

Read SEC document
February 24, 2020 Filed Feb 25, 2020 00:00 UTC PurchaseCommon Stock 16,213 $4.79 $77,579.21
Disclosure

SEC source: 0001781002-20-000026 · primary_doc.xml · nonDerivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,089,488

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 02/20/2020, prices ranged from $4.93 to $4.95 per share, inclusive. On 02/21/2020, prices ranged from $4.985 to $4.99 per share, inclusive. On 02/24/2020, prices ranged from $4.67 to $4.80 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,502,853 shares and 21 April Fund, LP owns 391,635 shares respectively of these 2,089,488 shares reported in this form.

Read SEC document
February 21, 2020 Filed Feb 25, 2020 00:00 UTC PurchaseCommon Stock 1,100 $4.99 $5,487.46
Disclosure

SEC source: 0001781002-20-000026 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,073,275

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 02/20/2020, prices ranged from $4.93 to $4.95 per share, inclusive. On 02/21/2020, prices ranged from $4.985 to $4.99 per share, inclusive. On 02/24/2020, prices ranged from $4.67 to $4.80 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,502,853 shares and 21 April Fund, LP owns 391,635 shares respectively of these 2,089,488 shares reported in this form.

Read SEC document
February 20, 2020 Filed Feb 25, 2020 00:00 UTC PurchaseCommon Stock 5,836 $4.95 $28,875.94
Disclosure

SEC source: 0001781002-20-000026 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,072,175

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 02/20/2020, prices ranged from $4.93 to $4.95 per share, inclusive. On 02/21/2020, prices ranged from $4.985 to $4.99 per share, inclusive. On 02/24/2020, prices ranged from $4.67 to $4.80 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,502,853 shares and 21 April Fund, LP owns 391,635 shares respectively of these 2,089,488 shares reported in this form.

Read SEC document
February 14, 2020 Filed Feb 18, 2020 23:21 UTC Tax withholdingCommon Stock 2,300 $5.11 $11,753.00
Disclosure

SEC source: 0000899243-20-004947 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,557

F1 · balance_after: Includes an aggregate of 68,438 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
February 05, 2020 Filed Feb 5, 2020 22:04 UTC PurchaseCommon Stock 10,113 $4.90 $49,553.70
Disclosure

SEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 5

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,066,339

F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

Read SEC document
February 05, 2020 Filed Feb 8, 2020 01:52 UTC Amendment PurchaseCommon Stock 10,113 $4.90 $49,553.70
Disclosure

SEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 5

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,066,339

F7 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.825 to $4.95 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

Read SEC document
February 04, 2020 Filed Feb 5, 2020 22:04 UTC PurchaseCommon Stock 8,222 $4.83 $39,712.26
Disclosure

SEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 4

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,056,226

F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

Read SEC document
February 04, 2020 Filed Feb 5, 2020 22:04 UTC PurchaseCommon Stock 13,111 $4.99 $65,423.89
Disclosure

SEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,048,004

F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

Read SEC document
February 04, 2020 Filed Feb 8, 2020 01:52 UTC Amendment PurchaseCommon Stock 8,222 $4.83 $39,712.26
Disclosure

SEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 4

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,056,226

F6 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.805 to $4.88 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

Read SEC document
February 04, 2020 Filed Feb 8, 2020 01:52 UTC Amendment PurchaseCommon Stock 13,111 $4.99 $65,423.89
Disclosure

SEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,048,004

F5 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.90 to $5.05 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

Read SEC document
February 03, 2020 Filed Feb 5, 2020 22:04 UTC PurchaseCommon Stock 110,000 $4.87 $535,700.00
Disclosure

SEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,034,893

F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

Read SEC document
February 03, 2020 Filed Feb 5, 2020 22:04 UTC PurchaseCommon Stock 36,889 $4.99 $184,076.11
Disclosure

SEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,924,893

F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

Read SEC document
February 03, 2020 Filed Feb 8, 2020 01:52 UTC Amendment PurchaseCommon Stock 110,000 $4.87 $535,700.00
Disclosure

SEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,034,893

F4 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.795 to $5.10 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

Read SEC document
February 03, 2020 Filed Feb 8, 2020 01:52 UTC Amendment PurchaseCommon Stock 36,889 $4.99 $184,076.11
Disclosure

SEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,924,893

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.95 to $5.00 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

Read SEC document
January 31, 2020 Filed Feb 5, 2020 00:24 UTC Tax withholdingCommon Stock 128 $4.74 $606.72
Disclosure

SEC source: 0000899243-20-002889 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,857

F1 · balance_after: Includes an aggregate of 74,063 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
December 31, 2019 Filed Jan 4, 2020 02:02 UTC Tax withholdingCommon Stock 1,022 $5.64 $5,764.08
Disclosure

SEC source: 0000899243-20-000409 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,985

F1 · balance_after: Includes an aggregate of 74,375 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
November 29, 2019 Filed Dec 3, 2019 23:26 UTC
HUMPHREYS STEVENDirector · CEO
Tax withholdingCommon Stock 883 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-028406 · doc4.xml · nonDerivative · entry 2

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,441

Read SEC document
November 29, 2019 Filed Dec 3, 2019 23:26 UTC
HUMPHREYS STEVENDirector · CEO
GrantCommon Stock 2,556 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-028406 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,324

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 100% on date of grant.

Read SEC document
November 15, 2019 Filed Nov 18, 2019 18:12 UTC Tax withholdingCommon Stock 1,945 $5.07 $9,861.15
Disclosure

SEC source: 0000899243-19-027482 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,007

F1 · balance_after: Includes an aggregate of 76,875 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
November 04, 2019 Filed Nov 13, 2019 18:28 UTC GrantCommon Stock 20,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-027174 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,952

F1 · shares: Shares issuable upon settlement of a restricted stock unit award that vests as to 25% of the underlying shares on November 1, 2020 with additional vesting in equal quarterly installments over the following three years.

F2 · balance_after: Includes an aggregate of 62,500 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
November 01, 2019 Filed Nov 4, 2019 22:37 UTC Tax withholdingCommon Stock 432 $4.95 $2,138.40
Disclosure

SEC source: 0000899243-19-026586 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,952

F1 · balance_after: Includes an aggregate of 62,500 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
October 01, 2019 Filed Oct 2, 2019 17:28 UTC Tax withholdingCommon Stock 864 $5.32 $4,596.48
Disclosure

SEC source: 0000899243-19-024628 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,384

F1 · balance_after: Includes an aggregate of 63,750 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
September 09, 2019 Filed Sep 11, 2019 18:37 UTC
HUMPHREYS STEVENDirector · CEO
Tax withholdingCommon Stock 6,541 $4.80 $31,396.80
Disclosure

SEC source: 0000899243-19-023309 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,768

Read SEC document
September 01, 2019 Filed Sep 4, 2019 21:51 UTC OtherSeries B Non-Voting Convertible Preferred Stock, $0.001 par · Derivative 2,000,000 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001567619-19-017897 · doc1.xml · derivative · entry 3

First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner

First Eagle Holdings, Inc. · CIK 0001637141 · 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 · 2,000,000 shares

Expires not disclosed

F4 · derivative.exercise_price: See Exhibit 99.1; Note 4.

F2 · kind: See Exhibit 99.1; Note 2.

F2 · shares: See Exhibit 99.1; Note 2.

F4 · derivative.exercise_date: See Exhibit 99.1; Note 4.

F4 · derivative.expiration_date: See Exhibit 99.1; Note 4.

F4 · derivative.underlying_shares: See Exhibit 99.1; Note 4.

F2 · balance_after: See Exhibit 99.1; Note 2.

F5 · ownership.nature: See Exhibit 99.1; Note 5.

Read SEC document
September 01, 2019 Filed Sep 4, 2019 21:51 UTC OtherSeries B Non-Voting Convertible Preferred Stock, $0.001 par · Derivative 3,000,000 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001567619-19-017897 · doc1.xml · derivative · entry 2

First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner

First Eagle Holdings, Inc. · CIK 0001637141 · 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 · 3,000,000 shares

Expires not disclosed

F1 · security: See Exhibit 99.1; Note 1.

F4 · derivative.exercise_price: See Exhibit 99.1; Note 4.

F2 · kind: See Exhibit 99.1; Note 2.

F2 · shares: See Exhibit 99.1; Note 2.

F4 · derivative.exercise_date: See Exhibit 99.1; Note 4.

F4 · derivative.expiration_date: See Exhibit 99.1; Note 4.

F4 · derivative.underlying_shares: See Exhibit 99.1; Note 4.

F2 · balance_after: See Exhibit 99.1; Note 2.

Read SEC document
September 01, 2019 Filed Sep 4, 2019 21:51 UTC OtherCommon Stock 1,853,004 $0.00 $0.00
Disclosure

SEC source: 0001567619-19-017897 · doc1.xml · nonDerivative · entry 1

First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner

First Eagle Holdings, Inc. · CIK 0001637141 · 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

F1 · security: See Exhibit 99.1; Note 1.

F2 · kind: See Exhibit 99.1; Note 2.

F2 · shares: See Exhibit 99.1; Note 2.

F2 · balance_after: See Exhibit 99.1; Note 2.

F3 · ownership.nature: See Exhibit 99.1; Note 3.

Read SEC document
August 15, 2019 Filed Aug 19, 2019 21:29 UTC Tax withholdingCommon Stock 1,945 $5.00 $9,725.00
Disclosure

SEC source: 0000899243-19-022060 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,248

F1 · balance_after: Includes an aggregate of 66,250 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
August 05, 2019 Filed Aug 8, 2019 01:16 UTC GrantCommon Stock 13,220 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-021313 · doc4.xml · nonDerivative · entry 1

Braun Robin R. · CIK 0001778883 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,220

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 1/12th monthly beginning the vesting commencement date of June 1, 2019. Vested shares will be delivered to the reporting person on the earlier of (i) three years from the initial vesting start date of the award or (ii) the separation of service.

Read SEC document
August 05, 2019 Filed Aug 8, 2019 01:17 UTC GrantCommon Stock 13,709 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-021314 · doc4.xml · nonDerivative · entry 1

Shapiro Nina B. · CIK 0001678757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,877

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 1/12th monthly beginning the vesting commencement date of June 1, 2019. Vested shares will be delivered to the reporting person on the earlier of (i) three years from the initial vesting start date of the award or (ii) the separation of service.

Read SEC document
August 05, 2019 Filed Aug 8, 2019 01:16 UTC GrantCommon Stock 19,585 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-021312 · doc4.xml · nonDerivative · entry 1

OUSLEY JAMES E · CIK 0001200933 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,325

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 1/12th monthly beginning the vesting commencement date of June 1, 2019. Vested shares will be delivered to the reporting person on the earlier of (i) three years from the initial vesting start date of the award or (ii) the separation of service.

Read SEC document
August 05, 2019 Filed Aug 8, 2019 01:16 UTC
KREMEN GARYDirector
GrantCommon Stock 15,668 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-021311 · doc4.xml · nonDerivative · entry 1

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,501

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 1/12th monthly beginning the vesting commencement date of June 1, 2019. Vested shares will be delivered to the reporting person on the earlier of (i) three years from the initial vesting start date of the award or (ii) the separation of service.

Read SEC document
July 01, 2019 Filed Jul 1, 2019 22:50 UTC Tax withholdingCommon Stock 864 $5.32 $4,596.48
Disclosure

SEC source: 0000899243-19-018697 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,193

F1 · balance_after: Includes an aggregate of 71,875 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
June 14, 2019 Filed Jun 17, 2019 21:40 UTC
HUMPHREYS STEVENDirector · CEO
PurchaseCommon Stock 2,000 $5.09 $10,180.00
Disclosure

SEC source: 0000899243-19-017216 · doc4.xml · nonDerivative · entry 3

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,309

F1 · balance_after: Includes an aggregrate of 18,916 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
June 14, 2019 Filed Jun 17, 2019 21:40 UTC
HUMPHREYS STEVENDirector · CEO
PurchaseCommon Stock 2,000 $4.98 $9,960.00
Disclosure

SEC source: 0000899243-19-017216 · doc4.xml · nonDerivative · entry 2

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,309

F1 · balance_after: Includes an aggregrate of 18,916 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
June 14, 2019 Filed Jun 17, 2019 21:40 UTC
HUMPHREYS STEVENDirector · CEO
PurchaseCommon Stock 6,000 $4.92 $29,520.00
Disclosure

SEC source: 0000899243-19-017216 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,309

F1 · balance_after: Includes an aggregrate of 18,916 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
June 12, 2019 Filed Jun 13, 2019 22:20 UTC
KREMEN GARYDirector
PurchaseCommon Stock 20,000 $4.99 $99,800.00
Disclosure

SEC source: 0000899243-19-016876 · doc4.xml · nonDerivative · entry 1

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,833

Read SEC document
June 11, 2019 Filed Jun 12, 2019 23:48 UTC
KREMEN GARYDirector
PurchaseCommon Stock 529 $4.90 $2,592.10
Disclosure

SEC source: 0000899243-19-016687 · doc4.xml · nonDerivative · entry 3

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,833

Read SEC document
June 11, 2019 Filed Jun 12, 2019 23:48 UTC
KREMEN GARYDirector
PurchaseCommon Stock 440 $4.89 $2,151.60
Disclosure

SEC source: 0000899243-19-016687 · doc4.xml · nonDerivative · entry 2

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,304

Read SEC document
June 10, 2019 Filed Jun 12, 2019 23:48 UTC
KREMEN GARYDirector
PurchaseCommon Stock 3,197 $4.80 $15,345.60
Disclosure

SEC source: 0000899243-19-016687 · doc4.xml · nonDerivative · entry 1

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,864

Read SEC document
June 07, 2019 Filed Jun 11, 2019 22:27 UTC
HUMPHREYS STEVENDirector · CEO
Tax withholdingCommon Stock 6,541 $4.85 $31,723.85
Disclosure

SEC source: 0000899243-19-016469 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,309

F1 · balance_after: Includes an aggregrate of 18,916 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
May 15, 2019 Filed May 16, 2019 23:45 UTC Tax withholdingCommon Stock 1,917 $5.03 $9,642.51
Disclosure

SEC source: 0000899243-19-013892 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,057

F1 · balance_after: Includes an aggregate of 74,375 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
April 01, 2019 Filed Apr 2, 2019 21:17 UTC Tax withholdingCommon Stock 3,796 $4.89 $18,562.44
Disclosure

SEC source: 0000899243-19-009616 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,974

F1 · balance_after: Includes an aggregate of 80,000 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
March 08, 2019 Filed Mar 13, 2019 00:37 UTC
HUMPHREYS STEVENDirector · CEO
Tax withholdingCommon Stock 7,369 $5.38 $39,645.22
Disclosure

SEC source: 0000899243-19-007381 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,850

F1 · balance_after: Includes an aggregrate of 37,832 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 21:25 UTC Tax withholdingCommon Stock 2,299 $5.00 $11,495.00
Disclosure

SEC source: 0000899243-19-004055 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,770

F1 · balance_after: Includes an aggregate of 90,000 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

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.