Last 12 months
Inside the activity.
0 purchase rows · 282 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 17 |
| Dec 2025 | 0 | 36 |
| Jan 2026 | 0 | 49 |
| Feb 2026 | 0 | 28 |
| Mar 2026 | 0 | 55 |
| Apr 2026 | 0 | 21 |
| May 2026 | 0 | 20 |
| Jun 2026 | 0 | 18 |
| Jul 2026 | 0 | 14 |
| Aug 2026 | 0 | 18 |
| Sep 2026 | 0 | 6 |
| 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 08, 2017 Filed Jun 9, 2017 22:07 UTC |
Carter David MPresident, DRSS Division
|
Exercise / conversionCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509412-17-000005 · primary_doc.xml · nonDerivative · entry 1 Carter David M · CIK 0001509412 · President, DRSS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,413 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed January 5, 2017. Of these RSUs, two tranches of 3,000 each were released on June 8, 2017. F4 · balance_after: Includes 10,551 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 12,000 shares held in Issuer's 401(k) Plan. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 21:42 UTC |
Carrai Phillip DPresident, TTS Division
|
Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509409-17-000005 · primary_doc.xml · derivative · entry 7 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 10,000 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 Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs were granted and previously reported on a Form 4 filed January 5, 2017. Of these RSUs, 10,000 were released on June 8, 2017. F2 · derivative.expiration_date: RSUs were granted and previously reported on a Form 4 filed January 5, 2017. Of these RSUs, 10,000 were released on June 8, 2017. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 21:42 UTC |
Carrai Phillip DPresident, TTS Division
|
Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509409-17-000005 · primary_doc.xml · derivative · entry 6 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 10,000 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 Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs were granted and previously reported on a Form 4 filed January 5, 2017. Of these RSUs, 10,000 were released on June 8, 2017. F2 · derivative.expiration_date: RSUs were granted and previously reported on a Form 4 filed January 5, 2017. Of these RSUs, 10,000 were released on June 8, 2017. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 21:42 UTC |
Carrai Phillip DPresident, TTS Division
|
Tax withholdingCommon Stock | 3,310 | $10.64 | $35,218.40 |
DisclosureSEC source: 0001509409-17-000005 · primary_doc.xml · nonDerivative · entry 4 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,256 F3 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released as reported in this Form 4. F4 · balance_after: Includes 17,074 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 15,247 shares held in Issuer's 401(k) Plan. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 21:42 UTC |
Carrai Phillip DPresident, TTS Division
|
Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509409-17-000005 · primary_doc.xml · nonDerivative · entry 3 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,566 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed January 5, 2017. Of these RSUs, 10,000 were released on June 8, 2017. F4 · balance_after: Includes 17,074 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 15,247 shares held in Issuer's 401(k) Plan. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 21:42 UTC |
Carrai Phillip DPresident, TTS Division
|
Tax withholdingCommon Stock | 3,310 | $10.64 | $35,218.40 |
DisclosureSEC source: 0001509409-17-000005 · primary_doc.xml · nonDerivative · entry 2 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,566 F3 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released as reported in this Form 4. F4 · balance_after: Includes 17,074 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 15,247 shares held in Issuer's 401(k) Plan. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 21:42 UTC |
Carrai Phillip DPresident, TTS Division
|
Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509409-17-000005 · primary_doc.xml · nonDerivative · entry 1 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,876 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed January 5, 2017. Of these RSUs, 10,000 were released on June 8, 2017. F4 · balance_after: Includes 17,074 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 15,247 shares held in Issuer's 401(k) Plan. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 23:32 UTC |
Goodwin Benjamin M.President, PSS Division
|
Exercise / conversionRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001335786-17-000003 · primary_doc.xml · derivative · entry 2 Goodwin Benjamin M. · CIK 0001335786 · President, PSS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 2,000 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 Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 2,000 were released on June 1, 2017. F2 · derivative.expiration_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 2,000 were released on June 1, 2017. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 23:32 UTC |
Goodwin Benjamin M.President, PSS Division
|
Exercise / conversionCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001335786-17-000003 · primary_doc.xml · nonDerivative · entry 1 Goodwin Benjamin M. · CIK 0001335786 · President, PSS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,788 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 2,000 were released on June 1, 2017. F3 · balance_after: Includes 2,352 shares purchased through Issuer's Employee Stock Purchase Plan. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 15:29 UTC |
CARANO BANDEL LDirector · 10% owner
OAK X AFFILIATES FUND LP10% owner
OAK INVESTMENT PARTNERS IX L P10% owner
OAK IX AFFILIATES FUND LP10% owner
OAK IX AFFILIATES FUND A LP10% owner
|
GrantDirector Option (Right to Buy) · Derivative | 1,326 | Not disclosed Strike: $10.56 | Not disclosed |
DisclosureSEC source: 0001183755-17-000003 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,142 Underlying: Common Stock · 1,326 shares Expires 2027-05-31 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective May 31, 2017. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 171 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 3 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,152 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 23:41 UTC |
Lund Deanna HEVP & CFO
|
Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094718-17-000006 · primary_doc.xml · derivative · entry 3 Lund Deanna H · CIK 0001094718 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 Underlying: Common Stock · 6,000 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 Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 6,000 were released on May 31, 2017. F2 · derivative.expiration_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 6,000 were released on May 31, 2017. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 23:41 UTC |
Lund Deanna HEVP & CFO
|
Tax withholdingCommon Stock | 2,200 | $10.28 | $22,616.00 |
DisclosureSEC source: 0001094718-17-000006 · primary_doc.xml · nonDerivative · entry 2 Lund Deanna H · CIK 0001094718 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,440 F3 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released as reported in this Form 4. F4 · balance_after: Includes 16,626 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 14,747 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 23:41 UTC |
Lund Deanna HEVP & CFO
|
Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094718-17-000006 · primary_doc.xml · nonDerivative · entry 1 Lund Deanna H · CIK 0001094718 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,640 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 6,000 were released on May 31, 2017. F4 · balance_after: Includes 16,626 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 14,747 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 19:49 UTC |
MILLS THOMAS E IVPresident, MS Division
|
Exercise / conversionRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001080997-17-000004 · primary_doc.xml · derivative · entry 3 MILLS THOMAS E IV · CIK 0001080997 · President, MS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 2,000 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 Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 2,000 were released on May 31, 2017. F2 · derivative.expiration_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 2,000 were released on May 31, 2017. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 19:49 UTC |
MILLS THOMAS E IVPresident, MS Division
|
Tax withholdingCommon Stock | 590 | $10.28 | $6,065.20 |
DisclosureSEC source: 0001080997-17-000004 · primary_doc.xml · nonDerivative · entry 2 MILLS THOMAS E IV · CIK 0001080997 · President, MS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,742 F3 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released as reported in this Form 4. F4 · balance_after: Includes 10,190 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 8,369 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 19:49 UTC |
MILLS THOMAS E IVPresident, MS Division
|
Exercise / conversionCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001080997-17-000004 · primary_doc.xml · nonDerivative · entry 1 MILLS THOMAS E IV · CIK 0001080997 · President, MS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,332 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 2,000 were released on May 31, 2017. F4 · balance_after: Includes 10,190 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 8,369 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 23:21 UTC |
Carter David MPresident, DRSS Division
|
Exercise / conversionRestricted Stock Units · Derivative | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509412-17-000004 · primary_doc.xml · derivative · entry 3 Carter David M · CIK 0001509412 · President, DRSS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,000 Underlying: Common Stock · 4,000 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 Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 4,000 were released on May 31, 2017. F2 · derivative.expiration_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 4,000 were released on May 31, 2017. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 23:21 UTC |
Carter David MPresident, DRSS Division
|
Tax withholdingCommon Stock | 1,288 | $10.28 | $13,240.64 |
DisclosureSEC source: 0001509412-17-000004 · primary_doc.xml · nonDerivative · entry 2 Carter David M · CIK 0001509412 · President, DRSS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,344 F3 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released as reported in this Form 4. F4 · balance_after: Includes 10,551 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 11,931 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 23:21 UTC |
Carter David MPresident, DRSS Division
|
Exercise / conversionCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509412-17-000004 · primary_doc.xml · nonDerivative · entry 1 Carter David M · CIK 0001509412 · President, DRSS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,632 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 4,000 were released on May 31, 2017. F4 · balance_after: Includes 10,551 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 11,931 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 23:11 UTC |
Carrai Phillip DPresident, TTS Division
|
Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509409-17-000004 · primary_doc.xml · derivative · entry 4 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 Underlying: Common Stock · 6,000 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 Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 6,000 were released on May 31, 2017. F2 · derivative.expiration_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 6,000 were released on May 31, 2017. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 23:11 UTC |
Carrai Phillip DPresident, TTS Division
|
Tax withholdingCommon Stock | 1,932 | $10.28 | $19,860.96 |
DisclosureSEC source: 0001509409-17-000004 · primary_doc.xml · nonDerivative · entry 2 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,769 F3 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released as reported in this Form 4. F4 · balance_after: Includes 17,074 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 15,140 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 23:11 UTC |
Carrai Phillip DPresident, TTS Division
|
Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509409-17-000004 · primary_doc.xml · nonDerivative · entry 1 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,701 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 6,000 were released on May 31, 2017. F4 · balance_after: Includes 17,074 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 15,140 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 30, 2017 Filed May 30, 2017 23:23 UTC |
DEMARCO ERIC MDirector · President & CEO
|
PurchaseCommon Stock | 10,000 | $10.57 | $105,690.00 |
DisclosureSEC source: 0001082440-17-000002 · primary_doc.xml · nonDerivative · entry 1 DEMARCO ERIC M · CIK 0001082440 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 444,953 F1 · shares: Open market purchase of Issuer's common stock made in accordance with Issuer's trading policies. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.50 to $10.65 inclusive. The Reporting Person undertakes to provide to Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4. F2 · balance_after: Includes 29,302 shares purchased through Issuer's Employee Stock Purchase Plan and 14,906 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 26, 2017 Filed May 27, 2017 00:18 UTC |
Lund Deanna HEVP & CFO
|
Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094718-17-000005 · primary_doc.xml · derivative · entry 3 Lund Deanna H · CIK 0001094718 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,000 Underlying: Common Stock · 6,000 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 Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 6,000 were released on May 26, 2017. F2 · derivative.expiration_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 6,000 were released on May 26, 2017. Read SEC document |
| May 26, 2017 Filed May 27, 2017 00:18 UTC |
Lund Deanna HEVP & CFO
|
Tax withholdingCommon Stock | 2,200 | $9.70 | $21,340.00 |
DisclosureSEC source: 0001094718-17-000005 · primary_doc.xml · nonDerivative · entry 2 Lund Deanna H · CIK 0001094718 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,640 F3 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released as reported in this Form 4. F4 · balance_after: Includes 16,626 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 14,747 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 26, 2017 Filed May 27, 2017 00:18 UTC |
Lund Deanna HEVP & CFO
|
Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094718-17-000005 · primary_doc.xml · nonDerivative · entry 1 Lund Deanna H · CIK 0001094718 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,840 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 6,000 were released on May 26, 2017. F4 · balance_after: Includes 16,626 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 14,747 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 26, 2017 Filed May 26, 2017 20:47 UTC |
MILLS THOMAS E IVPresident, MS Division
|
Exercise / conversionRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001080997-17-000003 · primary_doc.xml · derivative · entry 3 MILLS THOMAS E IV · CIK 0001080997 · President, MS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 2,000 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 Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 2,000 were released on May 26, 2017. F2 · derivative.expiration_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 2,000 were released on May 26, 2017. Read SEC document |
| May 26, 2017 Filed May 26, 2017 20:47 UTC |
MILLS THOMAS E IVPresident, MS Division
|
Tax withholdingCommon Stock | 590 | $9.70 | $5,723.00 |
DisclosureSEC source: 0001080997-17-000003 · primary_doc.xml · nonDerivative · entry 2 MILLS THOMAS E IV · CIK 0001080997 · President, MS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,332 F3 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released as reported in this Form 4. F4 · balance_after: Includes 10,190 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 8,369 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 26, 2017 Filed May 26, 2017 20:47 UTC |
MILLS THOMAS E IVPresident, MS Division
|
Exercise / conversionCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001080997-17-000003 · primary_doc.xml · nonDerivative · entry 1 MILLS THOMAS E IV · CIK 0001080997 · President, MS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,922 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 2,000 were released on May 26, 2017. F4 · balance_after: Includes 10,190 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 8,369 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 26, 2017 Filed May 27, 2017 00:37 UTC |
Carter David MPresident, DRSS Division
|
Exercise / conversionRestricted Stock Units · Derivative | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509412-17-000003 · primary_doc.xml · derivative · entry 3 Carter David M · CIK 0001509412 · President, DRSS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common Stock · 4,000 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 Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 4,000 were released on May 26, 2017. F2 · derivative.expiration_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 4,000 were released on May 26, 2017. Read SEC document |
| May 26, 2017 Filed May 27, 2017 00:37 UTC |
Carter David MPresident, DRSS Division
|
Tax withholdingCommon Stock | 1,288 | $9.70 | $12,493.60 |
DisclosureSEC source: 0001509412-17-000003 · primary_doc.xml · nonDerivative · entry 2 Carter David M · CIK 0001509412 · President, DRSS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,632 F3 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released as reported in this Form 4. F4 · balance_after: Includes 10,551 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 11,931 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 26, 2017 Filed May 27, 2017 00:37 UTC |
Carter David MPresident, DRSS Division
|
Exercise / conversionCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509412-17-000003 · primary_doc.xml · nonDerivative · entry 1 Carter David M · CIK 0001509412 · President, DRSS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,920 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 4,000 were released on May 26, 2017. F4 · balance_after: Includes 10,551 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 11,931 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 26, 2017 Filed May 27, 2017 00:28 UTC |
Carrai Phillip DPresident, TTS Division
|
Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509409-17-000003 · primary_doc.xml · derivative · entry 4 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,000 Underlying: Common Stock · 6,000 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 Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 6,000 were released on May 26, 2017. F2 · derivative.expiration_date: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 6,000 were released on May 26, 2017. Read SEC document |
| May 26, 2017 Filed May 27, 2017 00:28 UTC |
Carrai Phillip DPresident, TTS Division
|
Tax withholdingCommon Stock | 1,932 | $9.70 | $18,740.40 |
DisclosureSEC source: 0001509409-17-000003 · primary_doc.xml · nonDerivative · entry 2 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,701 F3 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released as reported in this Form 4. F4 · balance_after: Includes 17,074 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 15,140 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 26, 2017 Filed May 27, 2017 00:28 UTC |
Carrai Phillip DPresident, TTS Division
|
Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001509409-17-000003 · primary_doc.xml · nonDerivative · entry 1 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,633 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 6,000 were released on May 26, 2017. F4 · balance_after: Includes 17,074 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 15,140 shares held in Issuer's 401(k) Plan. Read SEC document |
| May 25, 2017 Filed May 27, 2017 00:07 UTC |
Cervantes de Burgreen MariaVP & Corporate Controller
|
Tax withholdingCommon Stock | 437 | $9.93 | $4,339.41 |
DisclosureSEC source: 0001675014-17-000002 · primary_doc.xml · nonDerivative · entry 1 Cervantes de Burgreen Maria · CIK 0001675014 · VP & Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,641 F1 · shares: Restricted Stock Units ("RSUs") were previously reported in Table I on a Form 3 filed May 20, 2016 ("Form 3"). Of these RSUs, 1,000 RSUs were released on May 25, 2017 and shares were withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released. F2 · balance_after: Includes 323 shares purchased through Issuer's Employee Stock Purchase Plan; approximately 1,439 shares held in Issuer's 401(k) Plan; and 10,000 RSUs that vest on May 12, 2021, subject to the terms of the RSU agreement, as reported on the Form 3. Read SEC document |
| May 24, 2017 Filed May 26, 2017 23:57 UTC |
Goodwin Benjamin M.President, PSS Division
|
Exercise / conversionRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001335786-17-000002 · primary_doc.xml · derivative · entry 2 Goodwin Benjamin M. · CIK 0001335786 · President, PSS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 2,000 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. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer's common stock. F1 · derivative.exercise_date: Restricted Stock Units (RSUs) granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 2,000 were released on May 24, 2017. F1 · derivative.expiration_date: Restricted Stock Units (RSUs) granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 2,000 were released on May 24, 2017. Read SEC document |
| May 24, 2017 Filed May 26, 2017 23:57 UTC |
Goodwin Benjamin M.President, PSS Division
|
Exercise / conversionCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001335786-17-000002 · primary_doc.xml · nonDerivative · entry 1 Goodwin Benjamin M. · CIK 0001335786 · President, PSS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,788 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 · shares: Restricted Stock Units (RSUs) granted and previously reported on a Form 4 filed January 7, 2014. Of these RSUs, 2,000 were released on May 24, 2017. F3 · balance_after: Includes 2,352 shares purchased through Issuer's Employee Stock Purchase Plan. Read SEC document |
| April 10, 2017 Filed Apr 13, 2017 00:42 UTC |
Fendley Steven S.President, US Division
|
GrantRestricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001695434-17-000002 · primary_doc.xml · derivative · entry 3 Fendley Steven S. · CIK 0001695434 · President, US Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F4 · derivative.exercise_date: 50,000 RSUs vest 100% on the five year anniversary of the date of grant, unless earlier vested or terminated pursuant to the terms of the RSU agreement. The other 50,000 RSUs vest 20% upon each 10% increase in the closing market price of the Issuer's common stock measured from the RSU grant date through the 10-year anniversary of the RSU grant date, unless earlier vested or terminated pursuant to the terms of the RSU agreement (provided that such increase in the closing market price of common stock is sustained for twenty consecutive trading days). F4 · derivative.expiration_date: 50,000 RSUs vest 100% on the five year anniversary of the date of grant, unless earlier vested or terminated pursuant to the terms of the RSU agreement. The other 50,000 RSUs vest 20% upon each 10% increase in the closing market price of the Issuer's common stock measured from the RSU grant date through the 10-year anniversary of the RSU grant date, unless earlier vested or terminated pursuant to the terms of the RSU agreement (provided that such increase in the closing market price of common stock is sustained for twenty consecutive trading days). Read SEC document |
| April 10, 2017 Filed Apr 13, 2017 00:42 UTC |
Fendley Steven S.President, US Division
|
GrantRestricted Stock Units · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001695434-17-000002 · primary_doc.xml · derivative · entry 2 Fendley Steven S. · CIK 0001695434 · President, US Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F3 · derivative.exercise_date: RSUs vest 25% on each anniversary of the date of grant, unless earlier vested or terminated pursuant to the terms of the RSU agreement. F3 · derivative.expiration_date: RSUs vest 25% on each anniversary of the date of grant, unless earlier vested or terminated pursuant to the terms of the RSU agreement. Read SEC document |
| April 10, 2017 Filed Apr 13, 2017 00:42 UTC |
Fendley Steven S.President, US Division
|
GrantRestricted Stock Units · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001695434-17-000002 · primary_doc.xml · derivative · entry 1 Fendley Steven S. · CIK 0001695434 · President, US Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs vest 20% on each anniversary of the date of grant, unless earlier vested or terminated pursuant to the terms of the RSU agreement. F2 · derivative.expiration_date: RSUs vest 20% on each anniversary of the date of grant, unless earlier vested or terminated pursuant to the terms of the RSU agreement. Read SEC document |
| April 05, 2017 Filed Apr 8, 2017 00:09 UTC |
Lund Deanna HEVP & CFO
|
Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094718-17-000004 · primary_doc.xml · derivative · entry 3 Lund Deanna H · CIK 0001094718 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 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 restricted stock unit (RSU) represents a contingent right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: RSUs were granted and previously reported on a Form 4 filed March 29, 2007 and released on April 5, 2017. F2 · derivative.expiration_date: RSUs were granted and previously reported on a Form 4 filed March 29, 2007 and released on April 5, 2017. Read SEC document |
| April 05, 2017 Filed Apr 8, 2017 00:09 UTC |
Lund Deanna HEVP & CFO
|
Tax withholdingCommon Stock | 3,758 | $8.01 | $30,101.58 |
DisclosureSEC source: 0001094718-17-000004 · primary_doc.xml · nonDerivative · entry 2 Lund Deanna H · CIK 0001094718 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,738 F3 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released as reported in this Form 4. F4 · balance_after: Includes 16,626 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 14,645 shares held in Issuer's 401(k) Plan. Read SEC document |
| April 05, 2017 Filed Apr 8, 2017 00:09 UTC |
Lund Deanna HEVP & CFO
|
Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094718-17-000004 · primary_doc.xml · nonDerivative · entry 1 Lund Deanna H · CIK 0001094718 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,496 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. F2 · shares: RSUs were granted and previously reported on a Form 4 filed March 29, 2007 and released on April 5, 2017. F4 · balance_after: Includes 16,626 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 14,645 shares held in Issuer's 401(k) Plan. Read SEC document |
| March 15, 2017 Filed Mar 16, 2017 15:41 UTC |
CARANO BANDEL LDirector · 10% owner
OAK X AFFILIATES FUND LP10% owner
OAK INVESTMENT PARTNERS IX L P10% owner
OAK IX AFFILIATES FUND LP10% owner
OAK IX AFFILIATES FUND A LP10% owner
|
GrantDirector Option (Right to Buy) · Derivative | 1,892 | Not disclosed Strike: $7.40 | Not disclosed |
DisclosureSEC source: 0001183755-17-000002 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,071 Underlying: Common Stock · 1,892 shares Expires 2027-03-15 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective March 15, 2017. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 244 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 4 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,644 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| March 07, 2017 Filed Mar 8, 2017 10:00 UTC |
CARANO BANDEL LDirector · 10% owner
OAK X AFFILIATES FUND LP10% owner
OAK INVESTMENT PARTNERS IX L P10% owner
OAK IX AFFILIATES FUND LP10% owner
OAK IX AFFILIATES FUND A LP10% owner
|
PurchaseCommon Stock | 275,862 | $7.25 | $1,999,999.50 |
DisclosureSEC source: 0001183755-17-000001 · edgar.xml · nonDerivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · SEE FOOTNOTES Disclosed balance after: 13,540,305 F1 · balance_after: The 13,540,305 shares of Common Stock are directly owned as follows:(i)11,000,000 shares directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"), (ii)267,786 shares directly owned by Oak Investment Partners IX, Limited Partnership ("Oak IX"), (iii)2,853 shares directly owned by Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"), (iv)6,427 shares directly owned by Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"), (v)1,630,960 shares directly owned by Oak Investment Partners X, Limited Partnership ("Oak X") of which 271,503 shares were purchased pursuant to a public offering of the Issuer that closed on March 7, 2017, (vi)26,181 shares directly owned by Oak X Affiliates Fund, Limited Partnership of which 4,359 shares were purchased pursuant to a public offering of the Issuer that closed on March 7, 2017 ("Oak X Affiliates", together with Oak XIII, Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, and Oak X, "Oak Funds"). F2 · balance_after: Continuation of Footnote 1 - (vii) 606,098 shares directly owned by Bandel L. Carano, a Director of Kratos Defense & Security Solutions, Inc. No other reporting person has any pecuniary interest in these shares. F1 · ownership.nature: The 13,540,305 shares of Common Stock are directly owned as follows:(i)11,000,000 shares directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"), (ii)267,786 shares directly owned by Oak Investment Partners IX, Limited Partnership ("Oak IX"), (iii)2,853 shares directly owned by Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"), (iv)6,427 shares directly owned by Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"), (v)1,630,960 shares directly owned by Oak Investment Partners X, Limited Partnership ("Oak X") of which 271,503 shares were purchased pursuant to a public offering of the Issuer that closed on March 7, 2017, (vi)26,181 shares directly owned by Oak X Affiliates Fund, Limited Partnership of which 4,359 shares were purchased pursuant to a public offering of the Issuer that closed on March 7, 2017 ("Oak X Affiliates", together with Oak XIII, Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, and Oak X, "Oak Funds"). F2 · ownership.nature: Continuation of Footnote 1 - (vii) 606,098 shares directly owned by Bandel L. Carano, a Director of Kratos Defense & Security Solutions, Inc. No other reporting person has any pecuniary interest in these shares. F3 · ownership.nature: Mr. Carano a Managing Member of (i) Oak Associates XIII, LLC, the General Partner of Oak XIII, (ii) Oak Associates IX, LLC, the General Partner of Oak IX, (iii) Oak IX Affiliates, LLC, the General Partner of each of Oak IX Affiliates and Oak IX Affiliates-A, (iv) Oak Associates X, LLC, the General Partner of Oak X, and (v) Oak X Affiliates, LLC, the General Partner of Oak X Affiliates. Read SEC document |
| February 07, 2017 Filed Feb 10, 2017 01:45 UTC |
Lund Deanna HEVP & CFO
|
Tax withholdingCommon Stock | 8,107 | $8.28 | $67,125.96 |
DisclosureSEC source: 0001094718-17-000003 · primary_doc.xml · nonDerivative · entry 1 Lund Deanna H · CIK 0001094718 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,991 F1 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares vested as reported on a Form 4 filed February 1, 2017 and released February 7, 2017. F2 · balance_after: Includes 16,626 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 14,140 shares held in Issuer's 401(k) Plan. Read SEC document |
| January 30, 2017 Filed Feb 2, 2017 02:05 UTC |
Lund Deanna HEVP & CFO
|
Exercise / conversionRestricted Stock Units · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094718-17-000002 · primary_doc.xml · derivative · entry 2 Lund Deanna H · CIK 0001094718 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 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. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer's common stock. F1 · derivative.exercise_date: Common Stock issued to reporting person pursuant to vested shares under Restricted Stock Unit (RSU) granted on January 30, 2007, which vest 100% on the tenth anniversary of the date of grant. F1 · derivative.expiration_date: Common Stock issued to reporting person pursuant to vested shares under Restricted Stock Unit (RSU) granted on January 30, 2007, which vest 100% on the tenth anniversary of the date of grant. Read SEC document |
| January 30, 2017 Filed Feb 2, 2017 02:05 UTC |
Lund Deanna HEVP & CFO
|
Exercise / conversionCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094718-17-000002 · primary_doc.xml · nonDerivative · entry 1 Lund Deanna H · CIK 0001094718 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,059 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 · shares: Common Stock issued to reporting person pursuant to vested shares under Restricted Stock Unit (RSU) granted on January 30, 2007, which vest 100% on the tenth anniversary of the date of grant. F3 · balance_after: Includes 16,626 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 14,101 shares held in Issuer's 401(k) Plan. Read SEC document |
| January 27, 2017 Filed Feb 1, 2017 01:55 UTC |
Carrai Phillip DPresident, TTS Division
|
Tax withholdingCommon Stock | 10,581 | $7.40 | $78,299.40 |
DisclosureSEC source: 0001509409-17-000002 · primary_doc.xml · nonDerivative · entry 1 Carrai Phillip D · CIK 0001509409 · President, TTS Division 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,865 F1 · shares: Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares vested as reported on a Form 4 filed January 5, 2017 and released January 27, 2017. F2 · balance_after: Includes 17,074 shares purchased through Issuer's Employee Stock Purchase Plan and 14,372 shares held in Issuer's 401(k) Plan. 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.