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Nasdaq · USD

LOCO

El Pollo Loco Holdings, Inc.

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Tapewire entity
5532
SEC CIK
0001606366
Parsed reports
215

Last 12 months

Inside the activity.

0 purchase rows · 20 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 202603
Jul 2026011
Aug 202606
Sep 202600
Oct 202600

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 28, 2023 Filed Mar 28, 2023 16:50 UTC
Kehler Dean C10% owner
Bloom Jay R10% owner
OtherCommon Stock 5,182,564 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-021419 · doc4.xml · nonDerivative · entry 2

Kehler Dean C · CIK 0001322745 · 10% owner

Trimaran Capital, L.L.C. · CIK 0001322395 · 10% owner

Bloom Jay R · CIK 0001322747 · 10% owner

Trimaran Pollo Partners, L.L.C. · CIK 0001376508 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 5,182,564

F3 · kind: Represents shares received by Trimaran Fund II, L.L.C., Trimaran Parallel Fund II, L.P., and Trimaran Capital, L.L.C in a ratable distribution by Trimaran Pollo Partners, L.L.C. for no consideration.

F4 · ownership.nature: Represents shares held directly by Trimaran Capital, L.L.C., Trimaran Fund II, L.L.C. and Trimaran Parallel Fund II, L.P. Trimaran Investments II, L.L.C. is the special member of Trimaran Fund II, L.L.C. and the special limited partner of Trimaran Parallel Fund II, L.P. Mr. Bloom and Mr. Kehler are the managing members of Trimaran Capital, L.L.C. and Trimaran Investments II, L.L.C. Each of Mr. Bloom and Mr. Kehler may be deemed a beneficial owner of shares of the issuer's common stock held by Trimaran Capital, L.L.C., Trimaran Fund II, L.L.C. and Trimaran Parallel Fund II, L.P., but disclaims beneficial ownership thereof, except to the extent of his respective pecuniary interest therein.

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March 28, 2023 Filed Mar 28, 2023 16:50 UTC
Kehler Dean C10% owner
Bloom Jay R10% owner
OtherCommon Stock 11,116,638 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-021419 · doc4.xml · nonDerivative · entry 1

Kehler Dean C · CIK 0001322745 · 10% owner

Trimaran Capital, L.L.C. · CIK 0001322395 · 10% owner

Bloom Jay R · CIK 0001322747 · 10% owner

Trimaran Pollo Partners, L.L.C. · CIK 0001376508 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 95,602

F1 · kind: Trimaran Pollo Partners, L.L.C. distributed these shares to all of its members on a ratable basis, for no consideration.

F2 · ownership.nature: Represents shares held directly by Trimaran Pollo Partners, L.L.C. Trimaran Capital, L.L.C. is the managing member of Trimaran Pollo Partners, L.L.C. Mr. Bloom and Mr. Kehler are the managing members of Trimaran Capital, L.L.C. Each of Trimaran Capital, L.L.C., Mr. Bloom and Mr. Kehler may be deemed a beneficial owner of shares of the issuer's common stock held by Trimaran Pollo Partners, L.L.C., but disclaims beneficial ownership thereof, except to the extent of its or respective pecuniary interest therein.

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March 28, 2023 Filed Mar 28, 2023 20:50 UTC OtherCommon Stock 75,926 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-021421 · doc4.xml · nonDerivative · entry 1

Maselli Michael G. · CIK 0001614590 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,764

F1 · kind: Represents shares received in a ratable distribution, for no consideration.

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January 18, 2023 Filed Apr 7, 2025 20:03 UTC SaleCommon Stock 20,011 $11.06 $221,321.66
Disclosure

SEC source: 0001415889-25-010288 · form4-04072025_080455.xml · nonDerivative · entry 1

Borgese Samuel N. · CIK 0001614645 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,865

F1 · shares: The transaction occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 18, 2022.

F2 · price: This reflects a weighted-average price. These shares were sold in multiple transactions at prices ranging from $10.88 to $11.36 per share, inclusive.

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November 08, 2022 Filed Nov 10, 2022 21:12 UTC
Hollandsworth MariaCHIEF OPERATING OFFICER
GrantCommon Stock 4,496 $11.12 $49,995.52
Disclosure

SEC source: 0001415889-22-011282 · form4-11102022_091132.xml · nonDerivative · entry 1

Hollandsworth Maria · CIK 0001951501 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,496

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in one installment on the first anniversary of the date of the grant.

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October 15, 2022 Filed Oct 18, 2022 18:25 UTC
Roberts LauranceDirector · CEO & PRESIDENT
Tax withholdingCommon Stock 4,590 $10.54 $48,378.60
Disclosure

SEC source: 0001415889-22-010628 · form4-10182022_111013.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · Director · CEO & PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,243

F1 · shares: The reporting person vested in 13,123 shares of common stock, of which the issuer retained 4,590 shares to satisfy the reporting person's tax obligation upon vesting of the restricted stock award. The price quoted in column 4 is the issuer's closing share price on October 14, 2022

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August 31, 2022 Filed Sep 2, 2022 16:31 UTC
Bloom Jay R10% owner
Kehler Dean CDirector · 10% owner
OtherCommon Stock 5,534,303 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-048513 · doc4.xml · nonDerivative · entry 1

Trimaran Pollo Partners, L.L.C. · CIK 0001376508 · 10% owner

Trimaran Capital, L.L.C. · CIK 0001322395 · 10% owner

Bloom Jay R · CIK 0001322747 · 10% owner

Kehler Dean C · CIK 0001322745 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,212,241

F1 · kind: Trimaran Pollo Partners, L.L.C. distributed these shares to certain of its members on a ratable basis, for no consideration.

F2 · ownership.direct: Trimaran Capital, L.L.C., is the managing member of Trimaran Pollo Partners, L.L.C.

F3 · ownership.direct: Mr. Bloom and Mr. Kehler are the managing members of Trimaran Capital, L.L.C. Additionally, Mr. Kehler is a director of the issuer. Each of Trimaran Capital, L.L.C., Mr. Bloom, and Mr. Kehler may be deemed a beneficial owner of shares of the issuer's common stock held by Trimaran Pollo Partners, L.L.C., but disclaims beneficial ownership thereof, except to the extent of its or his respective pecuniary interest therein.

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August 31, 2022 Filed Sep 2, 2022 20:30 UTC
Roth John M.Director · 10% owner
OtherCommon Stock 73,052 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-030297 · doc4.xml · nonDerivative · entry 2

Roth John M. · CIK 0001614596 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes

Disclosed balance after: 73,052

F1 · kind: Received in a pro rata distribution-in-kind from Trimaran Pollo Partners, L.L.C.

F1 · price: Received in a pro rata distribution-in-kind from Trimaran Pollo Partners, L.L.C.

F3 · ownership.nature: Held directly by FS Affiliates V, L.P. ("Affiliates V"). The general partner of Affiliates V is the General Partner.

F4 · ownership.nature: Mr. Roth is a director of the Issuer, a managing member of the General Partner and chief executive officer of certain entities affiliated with Equity Partners V, Affiliates V and the General Partner. Mr. Roth disclaims beneficial ownership of the securities held by Equity Partners V and Affiliates V, except to the extent of his pecuniary interest therein.

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August 31, 2022 Filed Sep 2, 2022 20:30 UTC
Roth John M.Director · 10% owner
OtherCommon Stock 5,461,251 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-030297 · doc4.xml · nonDerivative · entry 1

Roth John M. · CIK 0001614596 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes

Disclosed balance after: 5,461,251

F1 · kind: Received in a pro rata distribution-in-kind from Trimaran Pollo Partners, L.L.C.

F1 · price: Received in a pro rata distribution-in-kind from Trimaran Pollo Partners, L.L.C.

F2 · ownership.nature: Held directly by FS Equity Partners V, L.P. ("Equity Partners V"). The general partner of Equity Partners V is FS Capital Partners V, LLC (the "General Partner").

F4 · ownership.nature: Mr. Roth is a director of the Issuer, a managing member of the General Partner and chief executive officer of certain entities affiliated with Equity Partners V, Affiliates V and the General Partner. Mr. Roth disclaims beneficial ownership of the securities held by Equity Partners V and Affiliates V, except to the extent of his pecuniary interest therein.

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August 23, 2022 Filed Aug 25, 2022 17:30 UTC
Fils IraCHIEF FINANCIAL OFFICER
GrantCOMMON STOCK 53,476 $9.35 $500,000.60
Disclosure

SEC source: 0001415889-22-009029 · form4-08252022_100836.xml · nonDerivative · entry 1

Fils Ira · CIK 0001624516 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,476

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in four equal installments on each of the first four anniversaries of the date of grant.

Read SEC document
August 08, 2022 Filed Aug 10, 2022 19:26 UTC
Roberts LauranceDirector · CEO & PRESIDENT
Tax withholdingCommon Stock 1,905 $9.32 $17,754.60
Disclosure

SEC source: 0001415889-22-008446 · form4-08102022_120838.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · Director · CEO & PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,833

F1 · shares: The reporting person vested in 5,507 shares of common stock, of which the issuer retained 1,905 shares to satisfy the reporting person's tax obligation upon vesting of the restricted stock award. The price quoted in column 4 is the issuer's closing share price on August 5, 2022.

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May 12, 2022 Filed May 16, 2022 18:49 UTC
Lozano MiguelCHIEF OPERATING OFFICER
Tax withholdingCommon Stock 1,231 $10.14 $12,482.34
Disclosure

SEC source: 0001415889-22-004996 · form4-05162022_110549.xml · nonDerivative · entry 1

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,788

F1 · shares: The reporting person vested in 3,561 shares of common stock, of which the issuer retained 1,231 shares to satisfy the reporting person's tax obligation upon vesting of the restricted stock award. The price quoted in column 4 is the issuer's closing share price on May 11, 2022.

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May 12, 2022 Filed May 16, 2022 18:49 UTC
Roberts LauranceDirector · CEO & INTERIM CFO
Tax withholdingCommon Stock 1,203 $10.14 $12,198.42
Disclosure

SEC source: 0001415889-22-004995 · form4-05162022_110555.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · Director · CEO & INTERIM CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,738

F1 · shares: The reporting person vested in 3,561 shares of common stock, of which the issuer retained 1,203 shares to satisfy the reporting person's tax obligation upon vesting of the restricted stock award. The price quoted in column 4 is the issuer's closing share price on May 11, 2022.

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May 10, 2022 Filed May 12, 2022 16:35 UTC GrantCommon Stock 5,693 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-004910 · form4-05122022_010558.xml · nonDerivative · entry 1

FLOYD WILLIAM R · CIK 0001048303 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,936

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in three equal installments in each of the first three anniversaries of the date of grant.

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May 10, 2022 Filed May 12, 2022 16:21 UTC
Lynton CarolDirector
GrantCommon Stock 5,693 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-004906 · form4-05122022_010526.xml · nonDerivative · entry 1

Lynton Carol · CIK 0001671255 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,936

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in three equal installments in each of the first three anniversaries of the date of grant.

Read SEC document
May 10, 2022 Filed May 12, 2022 16:42 UTC GrantCommon Stock 5,693 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-004913 · form4-05122022_010528.xml · nonDerivative · entry 1

BABB DOUGLAS J · CIK 0001190359 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,448

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant.

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May 10, 2022 Filed May 12, 2022 20:29 UTC
Kehler Dean CDirector · 10% owner
GrantCommon Stock 5,693 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-004909 · form4-05122022_010557.xml · nonDerivative · entry 1

Kehler Dean C · CIK 0001322745 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,448

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in three equal installments in each of the first three anniversaries of the date of grant.

Read SEC document
May 10, 2022 Filed May 12, 2022 20:02 UTC GrantCommon Stock 5,693 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-004899 · form4-05122022_010542.xml · nonDerivative · entry 1

Faginas Cody Nancy · CIK 0001900677 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,693

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant.

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May 10, 2022 Filed May 12, 2022 16:37 UTC
Buller MarkDirector
GrantCommon Stock 5,693 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-004911 · form4-05122022_010508.xml · nonDerivative · entry 1

Buller Mark · CIK 0001591614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,368

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in three equal installments in each of the first three anniversaries of the date of grant.

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May 10, 2022 Filed May 12, 2022 21:18 UTC
Lozano MiguelCHIEF OPERATING OFFICER
GrantNon-Qualified Stock Options · Derivative 51,020 $0.00 Strike: $10.54 $0.00
Disclosure

SEC source: 0001415889-22-004918 · form4-05122022_020558.xml · derivative · entry 2

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,020

Underlying: Common Stock · 51,020 shares

Expires 2032-05-10

F2 · derivative.exercise_date: Granted by a nonqualified stock option agreement under the Equity Incentive Plan, vesting and becoming exercisable in four equal installments on each of the four anniversaries of the date of the grant.

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May 10, 2022 Filed May 12, 2022 21:18 UTC
Lozano MiguelCHIEF OPERATING OFFICER
GrantCommon Stock 23,719 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-004918 · form4-05122022_020558.xml · nonDerivative · entry 1

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,019

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in four equal installments on each of the first four anniversaries of the date of grant.

Read SEC document
May 10, 2022 Filed May 12, 2022 21:05 UTC
Roberts LauranceCEO & INTERIM CFO
GrantNon-Qualified Stock Options · Derivative Not disclosed $0.00 Strike: $10.54 $102,041.00
Disclosure

SEC source: 0001415889-22-004915 · form4-05122022_020532.xml · derivative · entry 2

Roberts Laurance · CIK 0001614571 · CEO & INTERIM CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2032-05-10

F2 · derivative.exercise_date: Granted by a nonqualified stock option agreement under the Equity Incentive Plan, vesting and becoming exercisable in four equal installments on each of the four anniversaries of the date of grant.

Read SEC document
May 10, 2022 Filed May 12, 2022 21:05 UTC
Roberts LauranceCEO & INTERIM CFO
GrantCommon Stock 47,438 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-004915 · form4-05122022_020532.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CEO & INTERIM CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,941

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in four equal installments on each of the first four anniversaries of the date of grant.

Read SEC document
May 10, 2022 Filed May 12, 2022 20:40 UTC GrantCommon Stock 5,693 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-004912 · form4-05122022_010506.xml · nonDerivative · entry 1

Borgese Samuel N. · CIK 0001614645 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,701

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant.

Read SEC document
May 10, 2022 Filed May 12, 2022 20:16 UTC GrantCommon Stock 10,436 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-004905 · form4-05122022_010515.xml · nonDerivative · entry 1

Maselli Michael G. · CIK 0001614590 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,838

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in three equal installments in each of the first three anniversaries of the date of grant.

Read SEC document
May 10, 2022 Filed May 12, 2022 20:05 UTC GrantCommon Stock 5,693 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-004900 · form4-05122022_010552.xml · nonDerivative · entry 1

Gonzalez Deborah · CIK 0001900672 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,693

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant.

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May 10, 2022 Filed May 12, 2022 20:09 UTC
Roth John M.Director
GrantCommon Stock 5,693 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-004904 · form4-05122022_010516.xml · nonDerivative · entry 1

Roth John M. · CIK 0001614596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,040

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in three equal installments in each of the first three anniversaries of the date of grant.

Read SEC document
May 08, 2022 Filed May 10, 2022 18:34 UTC
Lozano MiguelCHIEF OPERATING OFFICER
Tax withholdingCommon Stock 1,840 $10.70 $19,688.00
Disclosure

SEC source: 0001415889-22-004795 · form4-05102022_110505.xml · nonDerivative · entry 2

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,300

F2 · shares: The reporting person vested in 5,449 shares of common stock, of which the issuer retained 1,840 shares to satisfy the reporting person's tax obligation upon vesting of the restricted stock award. The price quoted in column 4 is the issuer's closing share price on May 6, 2022.

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May 08, 2022 Filed May 10, 2022 18:31 UTC
Roberts LauranceCEO & INTERIM CFO
Tax withholdingCommon Stock 2,017 $10.70 $21,581.90
Disclosure

SEC source: 0001415889-22-004793 · form4-05102022_110534.xml · nonDerivative · entry 2

Roberts Laurance · CIK 0001614571 · CEO & INTERIM CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,503

F2 · shares: The reporting person vested in 5,449 shares of common stock, of which the issuer retained 2,017 shares to satisfy the reporting person's tax obligation upon vesting of the restricted stock award. The price quoted in column 4 is the issuer's closing share price on May 6, 2022.

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May 06, 2022 Filed May 10, 2022 18:34 UTC
Lozano MiguelCHIEF OPERATING OFFICER
Tax withholdingCommon Stock 5,150 $10.94 $56,341.00
Disclosure

SEC source: 0001415889-22-004795 · form4-05102022_110505.xml · nonDerivative · entry 1

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,140

F1 · shares: The reporting person vested in 15,049 shares of common stock, of which the issuer retained 5,150 shares to satisfy the reporting person's tax obligation upon vesting of the restricted stock award. The price quoted in column 4 is the issuer's closing share price on May 5, 2022.

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May 06, 2022 Filed May 10, 2022 18:31 UTC
Roberts LauranceCEO & INTERIM CFO
Tax withholdingCommon Stock 4,121 $10.94 $45,083.74
Disclosure

SEC source: 0001415889-22-004793 · form4-05102022_110534.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CEO & INTERIM CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,520

F1 · shares: The reporting person vested in 10,032 shares of common stock, of which the issuer retained 4,121 shares to satisfy the reporting person's tax obligation upon vesting of the restricted stock award. The price quoted in column 4 is the issuer's closing share price on May 5, 2022.

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February 04, 2022 Filed Feb 8, 2022 21:32 UTC
Lozano MiguelCHIEF OPERATING OFFICER
Exercise / conversionNon-Qualified Stock Options · Derivative 8,548 $0.00 Strike: $11.47 $0.00
Disclosure

SEC source: 0001415889-22-001162 · form4-02082022_010226.xml · derivative · entry 4

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,548

Underlying: Common Stock · 8,548 shares

Expires 2029-05-08

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.

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February 04, 2022 Filed Feb 8, 2022 21:32 UTC
Lozano MiguelCHIEF OPERATING OFFICER
SaleCommon Stock 16,690 $12.87 $214,800.30
Disclosure

SEC source: 0001415889-22-001162 · form4-02082022_010226.xml · nonDerivative · entry 3

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,290

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 6, 2021.

F2 · price: Reflects a weighted-average price. These shares were sold in multiple transactions at prices ranging from $12.76 to $13.06 per share, inclusive. The Reporting Person undertakes to furnish to the Issuer, any requesting shareholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, complete information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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February 04, 2022 Filed Feb 8, 2022 21:32 UTC
Lozano MiguelCHIEF OPERATING OFFICER
SaleCommon Stock 8,548 $12.87 $110,012.76
Disclosure

SEC source: 0001415889-22-001162 · form4-02082022_010226.xml · nonDerivative · entry 2

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,980

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 6, 2021.

F2 · price: Reflects a weighted-average price. These shares were sold in multiple transactions at prices ranging from $12.76 to $13.06 per share, inclusive. The Reporting Person undertakes to furnish to the Issuer, any requesting shareholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, complete information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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February 04, 2022 Filed Feb 8, 2022 21:32 UTC
Lozano MiguelCHIEF OPERATING OFFICER
Exercise / conversionCommon Stock 8,548 $11.47 $98,045.56
Disclosure

SEC source: 0001415889-22-001162 · form4-02082022_010226.xml · nonDerivative · entry 1

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,528

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 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 6, 2021.

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November 09, 2021 Filed Nov 12, 2021 15:06 UTC
Roberts LauranceINTERIM CEO & CFO
GrantCommon Stock 13,123 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-005135 · form4-11122021_071105.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · INTERIM CEO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,641

F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in one installment on October 15, 2022.

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August 08, 2021 Filed Aug 10, 2021 22:55 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 1,872 $18.49 $34,613.28
Disclosure

SEC source: 0001415889-21-003840 · form4-08102021_030803.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,518

F1 · shares: The reporting person vested in 5,507 shares of common stock, of which the issuer retained 1,872 shares to satisfy the reporting person's tax obligation upon vesting of the restricted stock award. The price quoted in column 4 is the issuer's closing share price on August 6, 2021.

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June 24, 2021 Filed Jun 29, 2021 00:25 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionStock Options (right to buy) · Derivative 5,000 $0.00 Strike: $5.84 $0.00
Disclosure

SEC source: 0001415889-21-003251 · form4-06282021_050623.xml · derivative · entry 3

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,950

Underlying: Common Stock · 5,000 shares

Expires 2023-07-15

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

Read SEC document
June 24, 2021 Filed Jun 29, 2021 00:25 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
SaleCommon Stock 5,000 $18.00 $90,000.00
Disclosure

SEC source: 0001415889-21-003251 · form4-06282021_050623.xml · nonDerivative · entry 2

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,390

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 3, 2019.

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June 24, 2021 Filed Jun 29, 2021 00:25 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 5,000 $5.84 $29,200.00
Disclosure

SEC source: 0001415889-21-003251 · form4-06282021_050623.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,390

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 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 3, 2019.

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June 10, 2021 Filed Jun 15, 2021 00:00 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionStock Options (right to buy) · Derivative 12,017 $0.00 Strike: $5.84 $0.00
Disclosure

SEC source: 0001415889-21-002997 · form4-06142021_050621.xml · derivative · entry 5

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,950

Underlying: Common Stock · 12,017 shares

Expires 2023-07-15

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 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 3, 2019.

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June 10, 2021 Filed Jun 15, 2021 00:00 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionStock Options (right to buy) · Derivative 1,583 $0.00 Strike: $4.09 $0.00
Disclosure

SEC source: 0001415889-21-002997 · form4-06142021_050621.xml · derivative · entry 4

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,583 shares

Expires 2023-07-15

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 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 3, 2019.

Read SEC document
June 10, 2021 Filed Jun 15, 2021 00:00 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
SaleCommon Stock 13,600 $16.94 $230,384.00
Disclosure

SEC source: 0001415889-21-002997 · form4-06142021_050621.xml · nonDerivative · entry 3

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,390

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 3, 2019.

F2 · price: Reflects a weighted-average price. These shares were sold in multiple transactions at prices ranging from $16.87 to $17.15 per share, inclusive. The Reporting Person undertakes to furnish to the Issuer, any requesting shareholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, complete information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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June 10, 2021 Filed Jun 15, 2021 00:00 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 1,583 $4.09 $6,474.47
Disclosure

SEC source: 0001415889-21-002997 · form4-06142021_050621.xml · nonDerivative · entry 2

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,990

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 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 3, 2019.

Read SEC document
June 10, 2021 Filed Jun 15, 2021 00:00 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 12,017 $5.84 $70,179.28
Disclosure

SEC source: 0001415889-21-002997 · form4-06142021_050621.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,407

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 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 3, 2019.

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May 12, 2021 Filed May 14, 2021 18:04 UTC GrantCommon Stock 3,419 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002483 · form4-05142021_030506.xml · nonDerivative · entry 1

FLOYD WILLIAM R · CIK 0001048303 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,243

F1 · shares: Consists of restricted shares granted under the 2018 Omnibus Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant

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May 12, 2021 Filed May 14, 2021 17:59 UTC
Lynton CarolDirector
GrantCommon Stock 3,419 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002481 · form4-05142021_020501.xml · nonDerivative · entry 1

Lynton Carol · CIK 0001671255 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,243

F1 · shares: Consists of restricted shares granted under the 2018 Omnibus Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant

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May 12, 2021 Filed May 14, 2021 18:06 UTC GrantCommon Stock 3,419 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002486 · form4-05142021_030529.xml · nonDerivative · entry 1

BABB DOUGLAS J · CIK 0001190359 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,755

F1 · shares: Consists of restricted shares granted under the 2018 Omnibus Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant

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May 12, 2021 Filed May 14, 2021 22:00 UTC
Kehler Dean CDirector · 10% owner
GrantCommon Stock 3,419 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002482 · form4-05142021_030520.xml · nonDerivative · entry 1

Kehler Dean C · CIK 0001322745 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,755

F1 · shares: Consists of restricted shares granted under the 2018 Omnibus Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant

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May 12, 2021 Filed May 14, 2021 18:05 UTC
Buller MarkDirector
GrantCommon Stock 3,419 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002484 · form4-05142021_030523.xml · nonDerivative · entry 1

Buller Mark · CIK 0001591614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,675

F1 · shares: Consists of restricted shares granted under the 2018 Omnibus Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant

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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.