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Nasdaq · USD

KLXE

KLX Energy Services Holdings, Inc.

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7414
SEC CIK
0001738827
Parsed reports
252

Last 12 months

Inside the activity.

3 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 202530
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 21, 2022 Filed Mar 22, 2022 21:00 UTC SaleCommon stock 47,384 $7.16 $339,146.24
Disclosure

SEC source: 0000899243-22-011865 · doc4.xml · nonDerivative · entry 2

ROBERTSON CORBIN J JR · CIK 0001194888 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 23,321

F3 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $7.00 to $7.31. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F1 · ownership.nature: These shares are directly held by Robertson QES Investment LLC. The sole manager of Robertson QES Investment LLC is Corbin J. Robertson, Jr.

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March 18, 2022 Filed Mar 22, 2022 21:00 UTC SaleCommon stock 29,295 $7.28 $213,250.02
Disclosure

SEC source: 0000899243-22-011865 · doc4.xml · nonDerivative · entry 1

ROBERTSON CORBIN J JR · CIK 0001194888 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 70,705

F2 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $7.00 to $7.50. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F1 · ownership.nature: These shares are directly held by Robertson QES Investment LLC. The sole manager of Robertson QES Investment LLC is Corbin J. Robertson, Jr.

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March 17, 2022 Filed Mar 17, 2022 20:41 UTC SaleCommon stock 9,690 $7.59 $73,553.88
Disclosure

SEC source: 0000899243-22-011507 · doc4.xml · nonDerivative · entry 5

ROBERTSON CORBIN J JR · CIK 0001194888 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F7 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $7.35 to $7.84. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · ownership.nature: These shares are directly held by QEP Management Co., L.P. The general partner of QEP Management Co., L.P. is QEP Management Co. GP, LLC. Corbin J. Robertson, Jr. may be deemed to be a beneficial owner of these shares due to his additional rights regarding the management of QEP Management Co. GP, LLC.

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March 17, 2022 Filed Mar 17, 2022 20:41 UTC SaleCommon stock 88,068 $7.57 $666,331.29
Disclosure

SEC source: 0000899243-22-011507 · doc4.xml · nonDerivative · entry 4

ROBERTSON CORBIN J JR · CIK 0001194888 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 100,000

F6 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $7.31 to $7.85. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F2 · ownership.nature: These shares are directly held by Robertson QES Investment LLC. The sole manager of Robertson QES Investment LLC is Corbin J. Robertson, Jr.

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March 16, 2022 Filed Mar 17, 2022 20:41 UTC SaleCommon stock 63,507 $8.53 $541,873.48
Disclosure

SEC source: 0000899243-22-011507 · doc4.xml · nonDerivative · entry 3

ROBERTSON CORBIN J JR · CIK 0001194888 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 188,068

F5 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $8.30 to $8.55. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F2 · ownership.nature: These shares are directly held by Robertson QES Investment LLC. The sole manager of Robertson QES Investment LLC is Corbin J. Robertson, Jr.

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March 16, 2022 Filed Mar 17, 2022 20:41 UTC SaleCommon stock 28,082 $7.94 $223,052.52
Disclosure

SEC source: 0000899243-22-011507 · doc4.xml · nonDerivative · entry 2

ROBERTSON CORBIN J JR · CIK 0001194888 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 251,575

F4 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $7.25 to $8.24. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F2 · ownership.nature: These shares are directly held by Robertson QES Investment LLC. The sole manager of Robertson QES Investment LLC is Corbin J. Robertson, Jr.

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March 16, 2022 Filed Mar 17, 2022 20:38 UTC SaleCommon stock 5,506 $7.14 $39,327.16
Disclosure

SEC source: 0000899243-22-011501 · doc4.xml · nonDerivative · entry 3

Lehner Keefer McGovern · CIK 0001712745 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,050

F3 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $7.09 to $7.15. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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March 15, 2022 Filed Mar 17, 2022 20:34 UTC
Bouthillette MaxSee Remarks
SaleCommon stock 12,992 $8.43 $109,469.29
Disclosure

SEC source: 0000899243-22-011493 · doc4.xml · nonDerivative · entry 2

Bouthillette Max · CIK 0001712741 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,077

F2 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $8.41 to $8.60. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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March 15, 2022 Filed Mar 17, 2022 20:34 UTC
Bouthillette MaxSee Remarks
GrantCommon stock 20,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011493 · doc4.xml · nonDerivative · entry 1

Bouthillette Max · CIK 0001712741 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,069

F1 · shares: Grant of restricted stock vesting in three annual equal installments on February 9th.

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March 15, 2022 Filed Mar 17, 2022 20:41 UTC GrantCommon stock 3,386 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011506 · doc4.xml · nonDerivative · entry 1

Hamermesh Richard · CIK 0001227442 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,397

F1 · shares: Grant of restricted stock vesting one year from the date of grant.

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March 15, 2022 Filed Mar 17, 2022 20:38 UTC GrantCommon stock 3,386 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011502 · doc4.xml · nonDerivative · entry 1

MCCAFFREY THOMAS P · CIK 0001227444 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,140

F1 · shares: Grant of restricted stock vesting one year from the date of grant.

Read SEC document
March 15, 2022 Filed Mar 17, 2022 20:41 UTC GrantCommon stock 3,386 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011507 · doc4.xml · nonDerivative · entry 1

ROBERTSON CORBIN J JR · CIK 0001194888 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,179

F1 · shares: Grant of restricted stock vesting one year from the date of grant.

Read SEC document
March 15, 2022 Filed Mar 17, 2022 20:35 UTC GrantCommon stock 3,386 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011495 · doc4.xml · nonDerivative · entry 1

COLLINS JOHN T · CIK 0001195060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,342

F1 · shares: Grant of restricted stock vesting one year from the date of grant.

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March 15, 2022 Filed Mar 17, 2022 20:32 UTC GrantCommon stock 3,386 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011489 · doc4.xml · nonDerivative · entry 1

Whates John T · CIK 0001543918 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,361

F1 · shares: Grant of restricted stock vesting one year from the date of grant.

Read SEC document
March 15, 2022 Filed Mar 17, 2022 20:38 UTC SaleCommon stock 5,000 $8.33 $41,649.00
Disclosure

SEC source: 0000899243-22-011501 · doc4.xml · nonDerivative · entry 2

Lehner Keefer McGovern · CIK 0001712745 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,556

F2 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $8.12 to $8.66. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
March 15, 2022 Filed Mar 17, 2022 20:38 UTC GrantCommon stock 20,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011501 · doc4.xml · nonDerivative · entry 1

Lehner Keefer McGovern · CIK 0001712745 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,556

F1 · shares: Grant of restricted stock vesting in three annual equal installments on February 9th.

Read SEC document
March 15, 2022 Filed Mar 17, 2022 20:37 UTC GrantCommon stock 38,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011499 · doc4.xml · nonDerivative · entry 1

Baker Christopher J. · CIK 0001714015 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,520

F1 · shares: Grant of restricted stock vesting in three annual equal installments on February 9th.

Read SEC document
March 15, 2022 Filed Mar 17, 2022 20:32 UTC GrantCommon stock 3,386 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011490 · doc4.xml · nonDerivative · entry 1

Eliassen Gunnar W. · CIK 0001715313 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,256

F1 · shares: Grant of restricted stock vesting one year from the date of grant.

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March 15, 2022 Filed Mar 17, 2022 20:37 UTC
Skindlo DagDirector
GrantCommon stock 3,386 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-011500 · doc4.xml · nonDerivative · entry 1

Skindlo Dag · CIK 0001729348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,760

F1 · shares: Grant of restricted stock vesting one year from the date of grant.

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March 04, 2022 Filed Mar 8, 2022 21:00 UTC SaleCommon stock 28,585 $10.00 $285,952.91
Disclosure

SEC source: 0000899243-22-010045 · doc4.xml · nonDerivative · entry 1

Baker Christopher J. · CIK 0001714015 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,520

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for tax and estate planning purposes.

F2 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $10.00 to $10.01. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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March 03, 2022 Filed Mar 3, 2022 21:00 UTC SaleCommon stock 1,500 $9.00 $13,500.00
Disclosure

SEC source: 0000899243-22-009246 · doc4.xml · nonDerivative · entry 3

Baker Christopher J. · CIK 0001714015 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,105

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for tax and estate planning purposes.

Read SEC document
March 02, 2022 Filed Mar 3, 2022 21:00 UTC SaleCommon stock 6,000 $7.04 $42,226.20
Disclosure

SEC source: 0000899243-22-009246 · doc4.xml · nonDerivative · entry 2

Baker Christopher J. · CIK 0001714015 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,605

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for tax and estate planning purposes.

F2 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $7.00 to $7.10. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
March 02, 2022 Filed Mar 3, 2022 21:00 UTC SaleCommon stock 3,000 $7.05 $21,150.00
Disclosure

SEC source: 0000899243-22-009246 · doc4.xml · nonDerivative · entry 1

Baker Christopher J. · CIK 0001714015 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,605

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for tax and estate planning purposes.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 21:00 UTC SaleCommon stock 3,080 $6.75 $20,776.14
Disclosure

SEC source: 0000899243-22-009247 · doc4.xml · nonDerivative · entry 1

Lehner Keefer McGovern · CIK 0001712745 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,556

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for tax and estate planning purposes.

F2 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $6.36 to $7.35. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
February 26, 2022 Filed Sep 2, 2022 21:00 UTC
Bouthillette MaxSee Remarks
Tax withholdingCommon stock 5,517 $6.16 $33,984.72
Disclosure

SEC source: 0000899243-22-030340 · doc4.xml · nonDerivative · entry 1

Bouthillette Max · CIK 0001712741 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,560

F1 · shares: This Form 4 is filed to correct an administrative error to report the securities previously withheld by the Company as payment of tax liability incident to the February 26, 2022 vesting of securities previously issued in accordance with Rule 16b-3. The shares withheld by the Company are kept in the Company's treasury account and there is no third-party trade associated with the withholding.

F2 · balance_after: The Column 5 tally is based on the number of shares reported as beneficially owned in the reporting person's most recently filed Form 4.

Read SEC document
February 26, 2022 Filed Sep 2, 2022 21:00 UTC Tax withholdingCommon stock 742 $6.16 $4,570.72
Disclosure

SEC source: 0000899243-22-030339 · doc4.xml · nonDerivative · entry 1

Stanford Geoffrey C · CIK 0001563798 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,867

F1 · shares: This Form 4 is filed to correct an administrative error to report the securities previously withheld by the Company as payment of tax liability incident to the February 26, 2022 vesting of securities previously issued in accordance with Rule 16b-3. The shares withheld by the Company are kept in the Company's treasury account and there is no third-party trade associated with the withholding.

F2 · balance_after: The Column 5 tally is based on the number of shares reported as beneficially owned in the reporting person's most recently filed Form 4.

Read SEC document
February 26, 2022 Filed Sep 2, 2022 21:00 UTC Tax withholdingCommon stock 6,586 $6.16 $40,569.76
Disclosure

SEC source: 0000899243-22-030337 · doc4.xml · nonDerivative · entry 1

Lehner Keefer McGovern · CIK 0001712745 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,464

F1 · shares: This Form 4 is filed to correct an administrative error to report the securities previously withheld by the Company as payment of tax liability incident to the February 26, 2022 vesting of securities previously issued in accordance with Rule 16b-3. The shares withheld by the Company are kept in the Company's treasury account and there is no third-party trade associated with the withholding.

F2 · balance_after: The Column 5 tally is based on the number of shares reported as beneficially owned in the reporting person's most recently filed Form 4.

Read SEC document
February 26, 2022 Filed Sep 2, 2022 21:00 UTC Tax withholdingCommon stock 19,763 $6.16 $121,740.08
Disclosure

SEC source: 0000899243-22-030338 · doc4.xml · nonDerivative · entry 1

Baker Christopher J. · CIK 0001714015 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,757

F1 · shares: This Form 4 is filed to correct an administrative error to report the securities previously withheld by the Company as payment of tax liability incident to the February 26, 2022 vesting of securities previously issued in accordance with Rule 16b-3. The shares withheld by the Company are kept in the Company's treasury account and there is no third-party trade associated with the withholding.

F2 · balance_after: The Column 5 tally is based on the number of shares reported as beneficially owned in the reporting person's most recently filed Form 4.

Read SEC document
February 24, 2022 Filed Feb 25, 2022 20:00 UTC SaleCommon stock 3,080 $5.40 $16,625.53
Disclosure

SEC source: 0000899243-22-007963 · doc4.xml · nonDerivative · entry 1

Lehner Keefer McGovern · CIK 0001712745 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,636

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for tax and estate planning purposes.

F2 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $5.15 to $5.87. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
February 09, 2022 Filed Feb 11, 2022 20:00 UTC
Bouthillette MaxSee Remarks
Tax withholdingCommon stock 4,743 $5.12 $24,284.16
Disclosure

SEC source: 0000899243-22-005981 · doc4.xml · nonDerivative · entry 1

Bouthillette Max · CIK 0001712741 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,069

Read SEC document
February 09, 2022 Filed Feb 11, 2022 20:00 UTC Tax withholdingCommon stock 467 $5.12 $2,391.04
Disclosure

SEC source: 0000899243-22-005979 · doc4.xml · nonDerivative · entry 1

Stanford Geoffrey C · CIK 0001563798 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,609

Read SEC document
February 09, 2022 Filed Feb 11, 2022 20:00 UTC Tax withholdingCommon stock 7,014 $5.12 $35,911.68
Disclosure

SEC source: 0000899243-22-005980 · doc4.xml · nonDerivative · entry 1

Lehner Keefer McGovern · CIK 0001712745 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,716

Read SEC document
February 09, 2022 Filed Feb 11, 2022 20:00 UTC Tax withholdingCommon stock 8,000 $5.12 $40,960.00
Disclosure

SEC source: 0000899243-22-005982 · doc4.xml · nonDerivative · entry 1

Baker Christopher J. · CIK 0001714015 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,605

Read SEC document
February 09, 2022 Filed Apr 18, 2022 16:44 UTC
Bouthillette MaxSee Remarks
Exercise / conversionRSU (cash-settled) · Derivative 3,565 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-014987 · doc4.xml · derivative · entry 7

Bouthillette Max · CIK 0001712741 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,534

Underlying: Common stock · 3,565 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each RSU (cash-settled) represents the economic equivalent of one share of common stock, settleable solely in cash.

F2 · derivative.exercise_date: The RSUs (cash-settled) vested or will vest on the following schedule: 3,565 units on 2/9/2021, 3,565 units on 2/9/22, and 2,534 units on 2/9/23.

F2 · derivative.expiration_date: The RSUs (cash-settled) vested or will vest on the following schedule: 3,565 units on 2/9/2021, 3,565 units on 2/9/22, and 2,534 units on 2/9/23.

Read SEC document
February 09, 2022 Filed Apr 18, 2022 16:44 UTC
Bouthillette MaxSee Remarks
Disposition to issuerCommon stock 3,565 $5.12 $18,252.80
Disclosure

SEC source: 0000899243-22-014987 · doc4.xml · nonDerivative · entry 4

Bouthillette Max · CIK 0001712741 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,077

F3 · balance_after: The Column 5 tally is based on the number of shares reported as beneficially owned in the reporting person's most recently filed Form 4.

Read SEC document
February 09, 2022 Filed Apr 18, 2022 16:44 UTC
Bouthillette MaxSee Remarks
Exercise / conversionCommon stock 3,565 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-014987 · doc4.xml · nonDerivative · entry 3

Bouthillette Max · CIK 0001712741 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,642

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each RSU (cash-settled) represents the economic equivalent of one share of common stock, settleable solely in cash.

F3 · balance_after: The Column 5 tally is based on the number of shares reported as beneficially owned in the reporting person's most recently filed Form 4.

Read SEC document
February 09, 2022 Filed Apr 18, 2022 16:45 UTC Exercise / conversionRSU (cash-settled) · Derivative 559 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-014988 · doc4.xml · derivative · entry 7

Stanford Geoffrey C · CIK 0001563798 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 397

Underlying: Common stock · 559 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each RSU (cash-settled) represents the economic equivalent of one share of common stock, settleable solely in cash.

F2 · derivative.exercise_date: The RSUs (cash-settled) vested or will vest on the following schedule: 559 units on 2/9/2021, 559 units on 2/9/22, and 397 units on 2/9/23.

F2 · derivative.expiration_date: The RSUs (cash-settled) vested or will vest on the following schedule: 559 units on 2/9/2021, 559 units on 2/9/22, and 397 units on 2/9/23.

Read SEC document
February 09, 2022 Filed Apr 18, 2022 16:45 UTC Disposition to issuerCommon stock 559 $5.12 $2,862.08
Disclosure

SEC source: 0000899243-22-014988 · doc4.xml · nonDerivative · entry 4

Stanford Geoffrey C · CIK 0001563798 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,609

F3 · balance_after: The Column 5 tally is based on the number of shares reported as beneficially owned in the reporting person's most recently filed Form 4.

Read SEC document
February 09, 2022 Filed Apr 18, 2022 16:45 UTC Exercise / conversionCommon stock 559 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-014988 · doc4.xml · nonDerivative · entry 3

Stanford Geoffrey C · CIK 0001563798 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,168

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each RSU (cash-settled) represents the economic equivalent of one share of common stock, settleable solely in cash.

F3 · balance_after: The Column 5 tally is based on the number of shares reported as beneficially owned in the reporting person's most recently filed Form 4.

Read SEC document
February 09, 2022 Filed Apr 18, 2022 16:44 UTC Exercise / conversionRSU (cash-settled) · Derivative 6,579 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-014986 · doc4.xml · derivative · entry 7

Baker Christopher J. · CIK 0001714015 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,067

Underlying: Common stock · 6,579 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each RSU (cash-settled) represents the economic equivalent of one share of common stock, settleable solely in cash.

F2 · derivative.exercise_date: The RSUs (cash-settled) vested or will vest on the following schedule: 6,579 units on 2/9/2021, 6,579 units on 2/9/22, and 5,067 units on 2/9/23.

F2 · derivative.expiration_date: The RSUs (cash-settled) vested or will vest on the following schedule: 6,579 units on 2/9/2021, 6,579 units on 2/9/22, and 5,067 units on 2/9/23.

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February 09, 2022 Filed Apr 18, 2022 16:44 UTC Disposition to issuerCommon stock 6,579 $5.12 $33,684.48
Disclosure

SEC source: 0000899243-22-014986 · doc4.xml · nonDerivative · entry 4

Baker Christopher J. · CIK 0001714015 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,520

F3 · balance_after: The Column 5 tally is based on the number of shares reported as beneficially owned in the reporting person's most recently filed Form 4.

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February 09, 2022 Filed Apr 18, 2022 16:44 UTC Exercise / conversionCommon stock 6,579 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-014986 · doc4.xml · nonDerivative · entry 3

Baker Christopher J. · CIK 0001714015 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,099

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each RSU (cash-settled) represents the economic equivalent of one share of common stock, settleable solely in cash.

F3 · balance_after: The Column 5 tally is based on the number of shares reported as beneficially owned in the reporting person's most recently filed Form 4.

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February 09, 2022 Filed Apr 18, 2022 16:40 UTC Exercise / conversionRSU (cash-settled) · Derivative 5,228 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-014982 · doc4.xml · derivative · entry 7

Lehner Keefer McGovern · CIK 0001712745 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,716

Underlying: Common stock · 5,228 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each RSU (cash-settled) represents the economic equivalent of one share of common stock, settleable solely in cash.

F2 · derivative.exercise_date: The RSUs (cash-settled) vested or will vest on the following schedule: 5,228 units on 2/9/2021, 5,228 units on 2/9/22, and 3,716 units on 2/9/23.

F2 · derivative.expiration_date: The RSUs (cash-settled) vested or will vest on the following schedule: 5,228 units on 2/9/2021, 5,228 units on 2/9/22, and 3,716 units on 2/9/23.

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February 09, 2022 Filed Apr 18, 2022 16:40 UTC Disposition to issuerCommon stock 5,228 $5.12 $26,767.36
Disclosure

SEC source: 0000899243-22-014982 · doc4.xml · nonDerivative · entry 4

Lehner Keefer McGovern · CIK 0001712745 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,050

F3 · balance_after: The Column 5 tally is based on the number of shares reported as beneficially owned in the reporting person's most recently filed Form 4.

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February 09, 2022 Filed Apr 18, 2022 16:40 UTC Exercise / conversionCommon stock 5,228 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-014982 · doc4.xml · nonDerivative · entry 3

Lehner Keefer McGovern · CIK 0001712745 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,278

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each RSU (cash-settled) represents the economic equivalent of one share of common stock, settleable solely in cash.

F3 · balance_after: The Column 5 tally is based on the number of shares reported as beneficially owned in the reporting person's most recently filed Form 4.

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December 30, 2021 Filed Dec 30, 2021 21:00 UTC
Bouthillette MaxSee Remarks
SaleCommon stock 2,000 $3.05 $6,100.00
Disclosure

SEC source: 0000899243-21-050131 · doc4.xml · nonDerivative · entry 2

Bouthillette Max · CIK 0001712741 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,812

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December 29, 2021 Filed Dec 30, 2021 21:00 UTC
Bouthillette MaxSee Remarks
SaleCommon stock 14,975 $3.08 $46,103.53
Disclosure

SEC source: 0000899243-21-050131 · doc4.xml · nonDerivative · entry 1

Bouthillette Max · CIK 0001712741 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,812

F1 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $3.05 to $3.12. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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December 01, 2021 Filed Dec 3, 2021 21:00 UTC SaleCommon stock 3,964 $3.81 $15,104.43
Disclosure

SEC source: 0000899243-21-046867 · doc4.xml · nonDerivative · entry 1

Lehner Keefer McGovern · CIK 0001712745 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,730

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for tax and estate planning purposes.

F2 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions on one day at prices ranging from $3.52 to $4.06. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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December 01, 2021 Filed Dec 3, 2021 21:00 UTC SaleCommon stock 1,857 $4.06 $7,539.42
Disclosure

SEC source: 0000899243-21-046866 · doc4.xml · nonDerivative · entry 1

Baker Christopher J. · CIK 0001714015 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,605

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for tax and estate planning purposes.

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November 04, 2021 Filed Nov 5, 2021 21:30 UTC SaleCommon stock 1,500 $5.00 $7,500.00
Disclosure

SEC source: 0000899243-21-043418 · doc4.xml · nonDerivative · entry 1

Baker Christopher J. · CIK 0001714015 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,462

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for tax and estate planning purposes.

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