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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
May 12, 2021 Filed May 14, 2021 22:08 UTC
Roth John M.Director
GrantCommon Stock 3,419 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002487 · form4-05142021_030531.xml · nonDerivative · entry 1

Roth John M. · CIK 0001614596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,347

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

Read SEC document
May 12, 2021 Filed May 14, 2021 21:58 UTC
Lozano MiguelCHIEF OPERATING OFFICER
GrantNon-Qualified Stock Options · Derivative 30,864 $0.00 Strike: $17.55 $0.00
Disclosure

SEC source: 0001415889-21-002480 · form4-05142021_020557.xml · derivative · entry 2

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,864

Underlying: Common Stock · 30,864 shares

Expires 2031-05-12

F2 · derivative.exercise_date: Granted by a nonqualified stock option agreement under the 2018 Omnibus 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 12, 2021 Filed May 14, 2021 21:58 UTC
Lozano MiguelCHIEF OPERATING OFFICER
GrantCommon Stock 14,245 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002480 · form4-05142021_020557.xml · nonDerivative · entry 1

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,980

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

Read SEC document
May 12, 2021 Filed May 14, 2021 21:57 UTC GrantCommon Stock 3,419 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002479 · form4-05142021_020547.xml · nonDerivative · entry 1

Borgese Samuel N. · CIK 0001614645 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,008

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

Read SEC document
May 12, 2021 Filed May 14, 2021 21:55 UTC GrantCommon Stock 6,268 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002478 · form4-05142021_020552.xml · nonDerivative · entry 1

Maselli Michael G. · CIK 0001614590 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,402

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

Read SEC document
May 12, 2021 Filed May 14, 2021 21:54 UTC
Acoca BernardDirector · PRESIDENT AND CEO
GrantNon-Qualified Stock Options · Derivative 61,728 $0.00 Strike: $17.55 $0.00
Disclosure

SEC source: 0001415889-21-002477 · form4-05142021_020548.xml · derivative · entry 2

Acoca Bernard · CIK 0001734697 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,728

Underlying: Common Stock · 61,728 shares

Expires 2031-05-12

F2 · derivative.exercise_date: Granted by a nonqualified stock option agreement under the 2018 Omnibus 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 12, 2021 Filed May 14, 2021 21:54 UTC
Acoca BernardDirector · PRESIDENT AND CEO
GrantCommon Stock 28,490 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002477 · form4-05142021_020548.xml · nonDerivative · entry 1

Acoca Bernard · CIK 0001734697 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,700

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

Read SEC document
May 12, 2021 Filed May 14, 2021 21:53 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
GrantNon-Qualified Stock Options · Derivative 30,864 $0.00 Strike: $17.55 $0.00
Disclosure

SEC source: 0001415889-21-002476 · form4-05142021_020555.xml · derivative · entry 2

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,864

Underlying: Common Stock · 30,864 shares

Expires 2031-05-12

F2 · derivative.exercise_date: Granted by a nonqualified stock option agreement under the 2018 Omnibus 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 12, 2021 Filed May 14, 2021 21:53 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
GrantCommon Stock 14,245 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002476 · form4-05142021_020555.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,390

F1 · shares: Consists of restricted shares granted under the 2018 Omnibus 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, 2021 Filed May 11, 2021 22:29 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 1,550 $17.75 $27,512.50
Disclosure

SEC source: 0001415889-21-002412 · form4-05112021_030557.xml · nonDerivative · entry 2

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,145

F2 · shares: The reporting person vested in 4,481 shares of common stock, of which the issuer retained 1,550 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 7, 2021.

Read SEC document
May 09, 2021 Filed May 11, 2021 22:26 UTC
Acoca BernardDirector · PRESIDENT AND CEO
Tax withholdingCommon Stock 8,312 $17.75 $147,538.00
Disclosure

SEC source: 0001415889-21-002410 · form4-05112021_030537.xml · nonDerivative · entry 2

Acoca Bernard · CIK 0001734697 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,210

F2 · shares: The reporting person vested in 24,039 shares of common stock, of which the issuer retained 8,312 shares to satisfy the reporting person's tax obligation upon vesting of the restricted stock unit. The price quoted in column 4 is the issuer's closing share price on May 7, 2021.

F3 · balance_after: Includes 72,117 time-vested restricted stock units and 36,058 performance stock units, each of which may be settled on a 1-for-1 basis, only in shares of common stock.

Read SEC document
May 08, 2021 Filed May 11, 2021 22:29 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 1,884 $17.75 $33,441.00
Disclosure

SEC source: 0001415889-21-002412 · form4-05112021_030557.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,695

F1 · shares: The reporting person vested in 5,449 shares of common stock, of which the issuer retained 1,884 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 7, 2021.

Read SEC document
May 08, 2021 Filed May 11, 2021 22:28 UTC
Lozano MiguelCHIEF OPERATING OFFICER
Tax withholdingCommon Stock 1,884 $17.75 $33,441.00
Disclosure

SEC source: 0001415889-21-002411 · form4-05112021_030557.xml · nonDerivative · entry 1

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,735

F1 · shares: The reporting person vested in 5,449 shares of common stock, of which the issuer retained 1,884 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 7, 2021.

Read SEC document
May 08, 2021 Filed May 11, 2021 22:26 UTC
Acoca BernardDirector · PRESIDENT AND CEO
Tax withholdingCommon Stock 3,768 $17.75 $66,882.00
Disclosure

SEC source: 0001415889-21-002410 · form4-05112021_030537.xml · nonDerivative · entry 1

Acoca Bernard · CIK 0001734697 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,522

F1 · shares: The reporting person vested in 10,898 shares of common stock, of which the issuer retained 3,768 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 7, 2021.

Read SEC document
May 06, 2021 Filed May 10, 2021 23:53 UTC
Acoca BernardDirector · PRESIDENT AND CEO
Tax withholdingCommon Stock 7,406 $17.03 $126,124.18
Disclosure

SEC source: 0001415889-21-002400 · form4-05102021_040528.xml · nonDerivative · entry 1

Acoca Bernard · CIK 0001734697 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,290

F1 · shares: The reporting person vested in 20,065 shares of common stock, of which the issuer retained 7,406 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, 2021.

F2 · balance_after: Includes 48,078 time-vested restricted stock units and 36,058 performance stock units, each of which may be settled on a 1-for-1 basis, only in shares of common stock and 167,154 shares of common stock.

Read SEC document
May 06, 2021 Filed May 10, 2021 23:52 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 3,469 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002399 · form4-05102021_040510.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,579

F1 · shares: The reporting person vested in 10,032 shares of common stock, of which the issuer retained 3,469 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, 2021.

Read SEC document
May 06, 2021 Filed May 10, 2021 23:50 UTC
Lozano MiguelCHIEF OPERATING OFFICER
Tax withholdingCommon Stock 5,146 $17.03 $87,636.38
Disclosure

SEC source: 0001415889-21-002398 · form4-05102021_040522.xml · nonDerivative · entry 1

Lozano Miguel · CIK 0001772878 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,619

F1 · shares: The reporting person vested in 15,049 shares of common stock, of which the issuer retained 5,146 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, 2021.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 20:28 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionStock Options (right to buy) · Derivative 18,600 $0.00 Strike: $4.09 $0.00
Disclosure

SEC source: 0001415889-21-001459 · form4-03122021_120327.xml · derivative · entry 4

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,583

Underlying: Common Stock · 18,600 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
March 11, 2021 Filed Mar 12, 2021 20:28 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
SaleCommon Stock 5,000 $19.58 $97,900.00
Disclosure

SEC source: 0001415889-21-001459 · form4-03122021_120327.xml · nonDerivative · entry 3

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,048

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 $19.40 to $19.86 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.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 20:28 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
SaleCommon Stock 13,600 $19.57 $266,152.00
Disclosure

SEC source: 0001415889-21-001459 · form4-03122021_120327.xml · nonDerivative · entry 2

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,048

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 $19.40 to $19.86 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.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 20:28 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 18,600 $4.09 $76,074.00
Disclosure

SEC source: 0001415889-21-001459 · form4-03122021_120327.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,648

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
October 12, 2020 Filed Oct 13, 2020 16:48 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionStock Options (right to buy) · Derivative 5,000 $0.00 Strike: $4.09 $0.00
Disclosure

SEC source: 0001415889-20-002449 · form4-10132020_091028.xml · derivative · entry 3

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,183

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.

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
October 12, 2020 Filed Oct 13, 2020 16:48 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
SaleCommon Stock 5,000 $18.00 $90,000.00
Disclosure

SEC source: 0001415889-20-002449 · form4-10132020_091028.xml · nonDerivative · entry 2

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,048

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
October 12, 2020 Filed Oct 13, 2020 16:48 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 5,000 $4.09 $20,450.00
Disclosure

SEC source: 0001415889-20-002449 · form4-10132020_091028.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,048

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
October 01, 2020 Filed Oct 2, 2020 00:27 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 448 $17.42 $7,804.16
Disclosure

SEC source: 0001415889-20-002390 · form4-10012020_051003.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,048

F1 · shares: The reporting person vested in restricted stock for 1,294 shares of common stock, of which the issuer retained 448 shares to satisfy the reporting person's tax obligation upon vesting of the restricted stock award. The price quoted in column 4 is the closing share price on August 7, 2020.

Read SEC document
September 10, 2020 Filed Sep 11, 2020 22:20 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionStock Options (right to buy) · Derivative 13,600 $0.00 Strike: $4.09 $0.00
Disclosure

SEC source: 0001415889-20-002292 · form4-09112020_030942.xml · derivative · entry 3

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,183

Underlying: Common Stock · 13,600 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.

F3 · balance_after: This Form 4 updates and corrects the number of derivative securities beneficially owned following the reported transaction, which amount was underreported by 37,992 shares in Column 9 of Table II in prior Form 4s filed with the Securities and Exchange Commission on each of April 13, 2020, June 11, 2020 and July 31, 2020.

Read SEC document
September 10, 2020 Filed Sep 11, 2020 22:20 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
SaleCommon Stock 13,600 $17.75 $241,400.00
Disclosure

SEC source: 0001415889-20-002292 · form4-09112020_030942.xml · nonDerivative · entry 2

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,496

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 $17.36 to $17.88 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.

Read SEC document
September 10, 2020 Filed Sep 11, 2020 22:20 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 13,600 $4.09 $55,624.00
Disclosure

SEC source: 0001415889-20-002292 · form4-09112020_030942.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,096

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
September 01, 2020 Filed Sep 1, 2020 20:39 UTC GrantCommon Stock 2,798 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-002202 · form4-09012020_010939.xml · nonDerivative · entry 1

Maselli Michael G. · CIK 0001614590 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,134

F1 · shares: Represents 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.

Read SEC document
August 08, 2020 Filed Aug 10, 2020 20:22 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 1,905 $17.42 $33,185.10
Disclosure

SEC source: 0001415889-20-002082 · form4-08102020_010804.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,496

F1 · shares: The reporting person vested in restricted stock for 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 closing share price on August 7, 2020.

Read SEC document
July 31, 2020 Filed Jul 31, 2020 22:16 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionStock Options (right to buy) · Derivative 10,000 $0.00 Strike: $4.09 $0.00
Disclosure

SEC source: 0001415889-20-001984 · form4-07312020_030750.xml · derivative · entry 3

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 791

Underlying: Common Stock · 10,000 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.

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
July 31, 2020 Filed Jul 31, 2020 22:16 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
SaleCommon Stock 10,000 $18.00 $180,000.00
Disclosure

SEC source: 0001415889-20-001984 · form4-07312020_030750.xml · nonDerivative · entry 2

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,401

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
July 31, 2020 Filed Jul 31, 2020 22:16 UTC
Roberts LauranceCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 10,000 $4.09 $40,900.00
Disclosure

SEC source: 0001415889-20-001984 · form4-07312020_030750.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,401

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 11, 2020 Filed Jun 11, 2020 23:12 UTC
Roberts LauranceChief Financial Officer
Exercise / conversionStock Options (right to buy) · Derivative 13,600 $0.00 Strike: $4.09 $0.00
Disclosure

SEC source: 0001614571-20-000013 · wf-form4_159191711320317.xml · derivative · entry 3

Roberts Laurance · CIK 0001614571 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,791

Underlying: Common Stock · Not disclosed 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 11, 2020 Filed Jun 11, 2020 23:12 UTC
Roberts LauranceChief Financial Officer
SaleCommon Stock 13,600 $14.43 $196,248.00
Disclosure

SEC source: 0001614571-20-000013 · wf-form4_159191711320317.xml · nonDerivative · entry 2

Roberts Laurance · CIK 0001614571 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,401

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 mulitple transactions at prices ranging from $14.16 to $14.55 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.

Read SEC document
June 11, 2020 Filed Jun 11, 2020 23:12 UTC
Roberts LauranceChief Financial Officer
Exercise / conversionCommon Stock 13,600 $4.09 $55,624.00
Disclosure

SEC source: 0001614571-20-000013 · wf-form4_159191711320317.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,001

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 05, 2020 Filed Jun 8, 2020 14:57 UTC SaleCommon Stock 6,000 $16.00 $96,000.00
Disclosure

SEC source: 0001614645-20-000004 · wf-form4_159162823009949.xml · nonDerivative · entry 1

Borgese Samuel N. · CIK 0001614645 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,589

F1 · shares: 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 10, 2020 Filed May 11, 2020 22:21 UTC
Roberts LauranceChief Financial Officer
Tax withholdingCommon Stock 1,530 $13.87 $21,221.10
Disclosure

SEC source: 0001614571-20-000011 · wf-form4_158923566388572.xml · nonDerivative · entry 1

Roberts Laurance · CIK 0001614571 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,401

F1 · shares: The reporting person vested in restricted stock for 4,481 shares of common stock, of which the issuer retained 1,530 shares to satisfy the reporting person's tax obligation upon vesting of the restricted stock award. The price quoted in column 4 is the closing share price on May 8, 2020.

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May 09, 2020 Filed May 11, 2020 22:24 UTC
Acoca BernardDirector · President and CEO
Tax withholdingCommon Stock 8,280 $13.87 $114,843.60
Disclosure

SEC source: 0001734697-20-000004 · wf-form4_158923588148771.xml · nonDerivative · entry 1

Acoca Bernard · CIK 0001734697 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,696

F1 · shares: The reporting person vested in restricted stock units ("RSUs") for 24,039 shares of common stock, of which the issuer retained 8,280 shares to satisfy the reporting person's tax obligation upon vesting of the RSUs. The price quoted in column 4 is the closing share price on May 8, 2020.

F2 · balance_after: Includes 48,078 time-vested RSUs and 36,058 performance stock units, each of which may be settled on a 1-for-1 basis, only in shares of common stock, and 174,560 shares of common stock.

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May 08, 2020 Filed May 9, 2020 01:01 UTC
Lozano MiguelChief Operating Officer
Tax withholdingCommon Stock 2,227 $13.87 $30,888.49
Disclosure

SEC source: 0001772878-20-000004 · wf-form4_158898609652259.xml · nonDerivative · entry 2

Lozano Miguel · CIK 0001772878 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,765

F2 · shares: Shares surrendered on May 8, 2020, to the issuer to satisfy tax withholding obligations applicable to stock-settled restricted shares that vested on May 8, 2020. The price reported in column 4 is the closing share price on May 8, 2020.

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May 08, 2020 Filed May 9, 2020 01:00 UTC
Roberts LauranceChief Financial Officer
Tax withholdingCommon Stock 2,026 $13.87 $28,100.62
Disclosure

SEC source: 0001614571-20-000009 · wf-form4_158898599447004.xml · nonDerivative · entry 2

Roberts Laurance · CIK 0001614571 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,931

F2 · shares: Shares surrendered on May 8, 2020 to the issuer to satisfy tax withholding obligations applicable to stock-settled restricted shares that vested on May 8, 2020. The price reported in column 4 is the closing share price on May 8, 2020.

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May 08, 2020 Filed May 9, 2020 00:58 UTC
Acoca BernardDirector · President and CEO
Tax withholdingCommon Stock 4,349 $13.87 $60,320.63
Disclosure

SEC source: 0001734697-20-000002 · wf-form4_158898589527477.xml · nonDerivative · entry 2

Acoca Bernard · CIK 0001734697 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,976

F3 · shares: Shares surrendered on May 8, 2020, to the issuer to satisfy tax withholding obligations applicable to stock-settled restricted shares that vested on May 8, 2020. The price reported in column 4 is the closing share price on May 8, 2020.

F4 · balance_after: Includes 87,303 time-vested restricted stock units and 60,170 performance stock units, each of which may be settled on a 1-for-1 basis, only in shares of common stock and 119,503 shares of common stock.

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May 06, 2020 Filed May 6, 2020 20:53 UTC GrantCommon Stock 4,818 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-006755 · wf-form4_158881280889119.xml · nonDerivative · entry 1

FLOYD WILLIAM R · CIK 0001048303 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,824

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 06, 2020 Filed May 6, 2020 21:04 UTC
Lynton CarolDirector
GrantCommon Stock 4,818 $0.00 $0.00
Disclosure

SEC source: 0001671255-20-000002 · wf-form4_158881343058178.xml · nonDerivative · entry 1

Lynton Carol · CIK 0001671255 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,824

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 06, 2020 Filed May 6, 2020 21:01 UTC GrantCommon Stock 4,818 $0.00 $0.00
Disclosure

SEC source: 0001190359-20-000002 · wf-form4_158881326553885.xml · nonDerivative · entry 1

BABB DOUGLAS J · CIK 0001190359 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,336

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 06, 2020 Filed May 7, 2020 00:58 UTC
Kehler Dean CDirector · 10% owner
GrantCommon Stock 4,818 $0.00 $0.00
Disclosure

SEC source: 0001322745-20-000003 · wf-form4_158881309833819.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,336

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 06, 2020 Filed May 6, 2020 21:12 UTC
Buller MarkDirector
GrantCommon Stock 4,818 $0.00 $0.00
Disclosure

SEC source: 0001591614-20-000002 · wf-form4_158881390769485.xml · nonDerivative · entry 1

Buller Mark · CIK 0001591614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,256

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 06, 2020 Filed May 7, 2020 01:14 UTC GrantCommon Stock 4,818 $0.00 $0.00
Disclosure

SEC source: 0001614590-20-000002 · wf-form4_158881404967427.xml · nonDerivative · entry 1

Maselli Michael G. · CIK 0001614590 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,336

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 06, 2020 Filed May 7, 2020 01:08 UTC
Roth John M.Director
GrantCommon Stock 4,818 $0.00 $0.00
Disclosure

SEC source: 0001614596-20-000002 · wf-form4_158881370793653.xml · nonDerivative · entry 1

Roth John M. · CIK 0001614596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,928

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 06, 2020 Filed May 7, 2020 00:51 UTC GrantCommon Stock 4,818 $0.00 $0.00
Disclosure

SEC source: 0001614645-20-000002 · wf-form4_158881269778502.xml · nonDerivative · entry 1

Borgese Samuel N. · CIK 0001614645 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,589

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.