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Nasdaq · USD

LPTH

LIGHTPATH TECHNOLOGIES INC

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Tapewire entity
5340
SEC CIK
0000889971
Parsed reports
211

Last 12 months

Inside the activity.

1 purchase rows · 18 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202601
Feb 202605
Mar 202617
Apr 202600
May 202604
Jun 202601
Jul 202600
Aug 202600
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 19, 2021 Filed Mar 22, 2021 13:55 UTC PurchaseClass A common stock 500 $3.25 $1,625.00
Disclosure

SEC source: 0001654954-21-003051 · section16.xml · nonDerivative · entry 1

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,886

Read SEC document
February 25, 2021 Filed Mar 1, 2021 13:51 UTC Exercise / conversionIncentive stock option (right-to-buy) · Derivative 500 $2.13 Strike: $2.13 $1,065.00
Disclosure

SEC source: 0001654954-21-002173 · section16.xml · derivative · entry 2

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,250

Underlying: Class A common stock · 500 shares

Expires 2028-06-18

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_date: The incentive stock option was granted on June 18, 2018 and vests in four equal installments beginning on June 18, 2019.

Read SEC document
February 25, 2021 Filed Mar 1, 2021 13:51 UTC Exercise / conversionClass A common stock 500 $2.13 $1,065.00
Disclosure

SEC source: 0001654954-21-002173 · section16.xml · nonDerivative · entry 1

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,386

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
February 10, 2021 Filed Feb 13, 2021 01:21 UTC Exercise / conversionClass A Common stock 419,176 Not disclosed Not disclosed
Disclosure

SEC source: 0001654954-21-001631 · section16.xml · nonDerivative · entry 1

BRUECK STEVEN R J · CIK 0001145963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 499,046

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

F1 · price: Restricted stock units were settled into Class A Common Stock on a one-for-one basis upon vesting.

Read SEC document
December 04, 2020 Filed Dec 8, 2020 00:24 UTC
Rubin ShmuelDirector · Chief Executive Officer
PurchaseClass A Common Stock 1,500 $2.95 $4,425.00
Disclosure

SEC source: 0001654954-20-013266 · section16.xml · nonDerivative · entry 1

Rubin Shmuel · CIK 0001806183 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,820

Read SEC document
November 20, 2020 Filed Nov 21, 2020 00:42 UTC
Rubin ShmuelDirector · Chief Executive Officer
PurchaseClass A common stock 5 $2.84 $14.20
Disclosure

SEC source: 0001654954-20-012766 · section16.xml · nonDerivative · entry 3

Rubin Shmuel · CIK 0001806183 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,320

Read SEC document
November 20, 2020 Filed Nov 21, 2020 00:42 UTC
Rubin ShmuelDirector · Chief Executive Officer
PurchaseClass A common stock 225 $2.86 $643.50
Disclosure

SEC source: 0001654954-20-012766 · section16.xml · nonDerivative · entry 2

Rubin Shmuel · CIK 0001806183 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,315

Read SEC document
November 20, 2020 Filed Nov 21, 2020 00:42 UTC
Rubin ShmuelDirector · Chief Executive Officer
PurchaseClass A common stock 3,770 $2.87 $10,819.90
Disclosure

SEC source: 0001654954-20-012766 · section16.xml · nonDerivative · entry 1

Rubin Shmuel · CIK 0001806183 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,090

Read SEC document
November 20, 2020 Filed Nov 23, 2020 19:39 UTC Exercise / conversionIncentive stock option (right-to-buy) · Derivative 2,136 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001654954-20-012800 · section16.xml · derivative · entry 2

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,271

Underlying: Class A common stock · 2,136 shares

Expires 2029-11-14

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_date: The incentive stock option was granted on November 14, 2019, and vests in three equal installments beginning on November 14, 2020.

Read SEC document
November 20, 2020 Filed Nov 23, 2020 19:39 UTC Exercise / conversionClass A common stock 2,136 $1.28 $2,734.08
Disclosure

SEC source: 0001654954-20-012800 · section16.xml · nonDerivative · entry 1

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,886

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

F1 · price: The incentive stock option was granted on November 14, 2019, and vests in three equal installments beginning on November 14, 2020.

Read SEC document
November 16, 2020 Filed Nov 17, 2020 14:50 UTC
Rubin ShmuelDirector · Chief Executive Officer
PurchaseClass A Common Stock 5,000 $2.71 $13,550.00
Disclosure

SEC source: 0001654954-20-012564 · section16.xml · nonDerivative · entry 1

Rubin Shmuel · CIK 0001806183 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,320

Read SEC document
November 16, 2020 Filed Nov 23, 2020 22:03 UTC
Peck DarcieDirector
Exercise / conversionClass A Common Stock 16,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001654954-20-012839 · section16.xml · nonDerivative · entry 1

Peck Darcie · CIK 0001775573 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

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

F1 · price: Restricted stock units converted into Class A Common Stock on a one-for-one basis upon vesting.

Read SEC document
November 12, 2020 Filed Nov 23, 2020 22:16 UTC GrantRestricted stock unit · Derivative 22,222 $0.00 $0.00
Disclosure

SEC source: 0001654954-20-012848 · section16.xml · derivative · entry 1

Dunham Craig T · CIK 0001305499 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,222

Underlying: Class A common stock · 22,222 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

Read SEC document
November 12, 2020 Filed Nov 23, 2020 22:14 UTC GrantRestricted stock unit · Derivative 22,222 $0.00 $0.00
Disclosure

SEC source: 0001654954-20-012847 · section16.xml · derivative · entry 1

Faris M. Scott · CIK 0001538763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,222

Underlying: Class A common stock · 22,222 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

Read SEC document
November 12, 2020 Filed Nov 23, 2020 22:13 UTC GrantRestricted stock unit · Derivative 22,222 $0.00 $0.00
Disclosure

SEC source: 0001654954-20-012846 · section16.xml · derivative · entry 1

LEEBURG LOUIS · CIK 0001051202 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,222

Underlying: Class A common stock · 22,222 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

Read SEC document
November 12, 2020 Filed Nov 23, 2020 22:11 UTC GrantRestricted stock unit · Derivative 22,222 $0.00 $0.00
Disclosure

SEC source: 0001654954-20-012844 · section16.xml · derivative · entry 1

BRUECK STEVEN R J · CIK 0001145963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,222

Underlying: Class A common stock · 22,222 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

Read SEC document
November 12, 2020 Filed Nov 23, 2020 22:08 UTC GrantRestricted stock unit · Derivative 22,222 $0.00 $0.00
Disclosure

SEC source: 0001654954-20-012842 · section16.xml · derivative · entry 1

KHAN SOHAIL A · CIK 0001222714 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,222

Underlying: Class A common stock · 22,222 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: Restricted stock units converted into Class A Common Stock on a one-for-one basis upon vesting.

F2 · derivative.expiration_date: Restricted stock units converted into Class A Common Stock on a one-for-one basis upon vesting.

Read SEC document
November 12, 2020 Filed Nov 23, 2020 22:06 UTC
RIPP ROBERTDirector
GrantRestricted stock unit · Derivative 22,222 $0.00 $0.00
Disclosure

SEC source: 0001654954-20-012840 · section16.xml · derivative · entry 1

RIPP ROBERT · CIK 0001059475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,222

Underlying: Class A common stock · 22,222 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

Read SEC document
November 12, 2020 Filed Nov 23, 2020 21:58 UTC GrantRestricted stock unit · Derivative 22,222 $0.00 $0.00
Disclosure

SEC source: 0001654954-20-012836 · section16.xml · derivative · entry 1

Menaker Joseph · CIK 0001758826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,222

Underlying: Class A common stock · 22,222 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

Read SEC document
November 12, 2020 Filed Nov 23, 2020 22:03 UTC
Peck DarcieDirector
GrantRestricted stock unit · Derivative 22,222 $0.00 $0.00
Disclosure

SEC source: 0001654954-20-012839 · section16.xml · derivative · entry 2

Peck Darcie · CIK 0001775573 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,222

Underlying: Class A common stock · 22,222 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F3 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021.

F3 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021.

Read SEC document
November 12, 2020 Filed Nov 23, 2020 19:39 UTC GrantIncentive stock option (right-to-buy) · Derivative 1,929 $0.00 Strike: $3.11 $0.00
Disclosure

SEC source: 0001654954-20-012800 · section16.xml · derivative · entry 3

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,929

Underlying: Class A common stock · 1,929 shares

Expires 2030-11-12

F2 · derivative.exercise_date: The incentive stock option was granted to the reporting person in satisfaction of certain performance criteria being met for the fiscal year ended June 30, 2020. The incentive stock options vest in three equal installments beginning on November 12, 2021.

Read SEC document
September 14, 2020 Filed Sep 15, 2020 12:52 UTC
Rubin ShmuelDirector · Chief Executive Officer
PurchaseClass A common stock 3,000 $2.34 $7,020.00
Disclosure

SEC source: 0001654954-20-010085 · section16.xml · nonDerivative · entry 1

Rubin Shmuel · CIK 0001806183 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,320

Read SEC document
June 18, 2020 Filed Jun 19, 2020 14:47 UTC
Rubin ShmuelDirector · Chief Executive Officer
PurchaseClass A common stock 500 $2.89 $1,442.50
Disclosure

SEC source: 0001654954-20-006821 · section16.xml · nonDerivative · entry 1

Rubin Shmuel · CIK 0001806183 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,320

Read SEC document
June 04, 2020 Filed Jun 9, 2020 21:49 UTC OtherIncentive stock option (right-to-buy) · Derivative 1,250 $2.13 Strike: $2.13 $2,662.50
Disclosure

SEC source: 0001654954-20-006438 · section16.xml · derivative · entry 1

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,157

Underlying: Class A common stock · 1,250 shares

Expires 2028-06-18

Read SEC document
March 19, 2020 Filed Mar 23, 2020 20:58 UTC PurchaseClass A common stock 500 $0.98 $488.10
Disclosure

SEC source: 0001654954-20-002999 · section16.xml · nonDerivative · entry 1

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Read SEC document
March 11, 2020 Filed Mar 11, 2020 21:08 UTC PurchaseClass A common stock 500 $1.17 $583.70
Disclosure

SEC source: 0001654954-20-002515 · section16.xml · nonDerivative · entry 1

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Read SEC document
February 25, 2020 Filed Feb 27, 2020 21:25 UTC PurchaseClass A common stock 500 $1.29 $643.35
Disclosure

SEC source: 0001654954-20-001992 · section16.xml · nonDerivative · entry 1

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Read SEC document
February 02, 2020 Filed Aug 12, 2020 19:38 UTC PurchaseClass A Common Stock 2,440 $0.63 $1,537.20
Disclosure

SEC source: 0001654954-20-008940 · section16.xml · nonDerivative · entry 2

Faris M. Scott · CIK 0001538763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,940

Read SEC document
January 21, 2020 Filed Aug 12, 2020 19:38 UTC PurchaseClass A Common Stock 1,500 $0.67 $1,005.00
Disclosure

SEC source: 0001654954-20-008940 · section16.xml · nonDerivative · entry 1

Faris M. Scott · CIK 0001538763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,940

Read SEC document
January 06, 2020 Filed Jan 9, 2020 17:07 UTC
Symmons AlanChief Operating Officer
GrantClass A common stock 4,000 $0.65 $2,600.00
Disclosure

SEC source: 0001654954-20-000232 · section16.xml · nonDerivative · entry 1

Symmons Alan · CIK 0001504906 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,393

F1 · price: These shares were purchased under the Employee Stock Purchase Plan.

Read SEC document
December 20, 2019 Filed Jan 31, 2020 15:30 UTC PurchaseClass A common stock 500 $0.65 $325.00
Disclosure

SEC source: 0001654954-20-000974 · section16.xml · nonDerivative · entry 2

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

Read SEC document
November 14, 2019 Filed Jan 30, 2020 19:11 UTC
Symmons AlanChief Operating Officer
GrantIncentive stock option (right-to-buy) · Derivative 7,813 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001654954-20-000953 · section16.xml · derivative · entry 1

Symmons Alan · CIK 0001504906 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,813

Underlying: Class A common stock · 7,813 shares

Expires 2029-11-14

F1 · derivative.exercise_date: The incentive stock option was granted to the reporting person in satisfaction of certain performance criteria being met for the year ended June 30, 2019. The incentive stock options vest equally over a three-year period, with the first vesting on November 14, 2020.

Read SEC document
November 14, 2019 Filed Jan 30, 2020 19:00 UTC GrantRestricted stock unit · Derivative 48,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001654954-20-000951 · section16.xml · derivative · entry 1

Menaker Joseph · CIK 0001758826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Class A common stock · 48,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

Read SEC document
November 14, 2019 Filed Jan 30, 2020 18:58 UTC GrantRestricted stock unit · Derivative 48,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001654954-20-000949 · section16.xml · derivative · entry 1

LEEBURG LOUIS · CIK 0001051202 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Class A common stock · 48,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

Read SEC document
November 14, 2019 Filed Jan 30, 2020 18:53 UTC GrantRestricted stock unit · Derivative 48,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001654954-20-000945 · section16.xml · derivative · entry 1

KHAN SOHAIL A · CIK 0001222714 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Class A common stock · 48,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

Read SEC document
November 14, 2019 Filed Jan 30, 2020 18:50 UTC GrantRestricted stock unit · Derivative 48,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001654954-20-000943 · section16.xml · derivative · entry 1

Faris M. Scott · CIK 0001538763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Class A common stock · 48,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

Read SEC document
November 14, 2019 Filed Jan 30, 2020 18:44 UTC GrantRestricted stock unit · Derivative 48,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001654954-20-000937 · section16.xml · derivative · entry 1

BRUECK STEVEN R J · CIK 0001145963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Class A common stock · 48,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

Read SEC document
November 14, 2019 Filed Jan 30, 2020 18:47 UTC GrantRestricted stock unit · Derivative 48,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001654954-20-000939 · section16.xml · derivative · entry 1

Dunham Craig T · CIK 0001305499 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Class A common stock · 48,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

Read SEC document
November 14, 2019 Filed Jan 30, 2020 18:43 UTC
RIPP ROBERTDirector
GrantRestricted stock unit · Derivative 48,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001654954-20-000936 · section16.xml · derivative · entry 1

RIPP ROBERT · CIK 0001059475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Class A common stock · 48,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

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November 14, 2019 Filed Jan 31, 2020 15:30 UTC GrantIncentive stock option (right-to-buy) · Derivative 6,407 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001654954-20-000974 · section16.xml · derivative · entry 3

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,407

Underlying: Class A common stock · 6,407 shares

Expires 2029-11-14

F1 · derivative.exercise_date: The incentive stock option was granted to the reporting person in satisifaction of certain performance criteria being met for the fiscal year ended June 30, 2019. The incentive stock options vests in three equal installments, with the first vesting on November 14, 2020.

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November 14, 2019 Filed Feb 5, 2020 21:17 UTC
Peck DarcieDirector
GrantRestricted stock unit · Derivative 48,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-20-001137 · section16.xml · derivative · entry 1

Peck Darcie · CIK 0001775573 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Class A common stock · 48,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.

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October 31, 2019 Filed Jan 31, 2020 15:30 UTC PurchaseClass A common stock 500 $0.72 $360.00
Disclosure

SEC source: 0001654954-20-000974 · section16.xml · nonDerivative · entry 1

Retreage Donald O'connor JR · CIK 0001742677 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

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October 26, 2019 Filed Oct 31, 2019 15:27 UTC
Symmons AlanChief Operating Officer
Exercise / conversionRestricted stock unit · Derivative 3,018 $0.00 $0.00
Disclosure

SEC source: 0001654954-19-012157 · section16.xml · derivative · entry 3

Symmons Alan · CIK 0001504906 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,019

Underlying: Class A Common Stock · 3,018 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: Restricted stock units convert into Class A Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: Vesting in three equal installments beginning on the first anniversary of the grant date.

F2 · derivative.expiration_date: Vesting in three equal installments beginning on the first anniversary of the grant date.

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October 26, 2019 Filed Oct 31, 2019 15:27 UTC
Symmons AlanChief Operating Officer
Tax withholdingClass A Common Stock 708 $0.72 $509.76
Disclosure

SEC source: 0001654954-19-012157 · section16.xml · nonDerivative · entry 2

Symmons Alan · CIK 0001504906 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,393

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October 26, 2019 Filed Oct 31, 2019 15:27 UTC
Symmons AlanChief Operating Officer
Exercise / conversionClass A Common Stock 3,018 Not disclosed Not disclosed
Disclosure

SEC source: 0001654954-19-012157 · section16.xml · nonDerivative · entry 1

Symmons Alan · CIK 0001504906 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,101

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

F1 · price: Restricted stock units convert into Class A Common Stock on a one-for-one basis.

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October 26, 2019 Filed Oct 31, 2019 15:23 UTC
GAYNOR JOSEPH J JRDirector · President and CEO
Exercise / conversionRestricted stock unit · Derivative 8,451 $0.00 $0.00
Disclosure

SEC source: 0001654954-19-012153 · section16.xml · derivative · entry 3

GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,452

Underlying: Class A Common Stock · 8,451 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: Restricted stock units convert into Class A Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: Vesting in three equal installments beginning on the first anniversary of the grant date.

F2 · derivative.expiration_date: Vesting in three equal installments beginning on the first anniversary of the grant date.

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October 26, 2019 Filed Oct 31, 2019 15:23 UTC
GAYNOR JOSEPH J JRDirector · President and CEO
Disposition to issuerClass A Common Stock 2,058 $0.72 $1,481.76
Disclosure

SEC source: 0001654954-19-012153 · section16.xml · nonDerivative · entry 2

GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,933

Read SEC document
October 26, 2019 Filed Oct 31, 2019 15:23 UTC
GAYNOR JOSEPH J JRDirector · President and CEO
Exercise / conversionClass A Common Stock 8,451 Not disclosed Not disclosed
Disclosure

SEC source: 0001654954-19-012153 · section16.xml · nonDerivative · entry 1

GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,991

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

F1 · price: Restricted stock units convert into Class A Common Stock on a one-for-one basis.

Read SEC document
July 08, 2019 Filed Jul 10, 2019 15:21 UTC
Symmons AlanChief Operating Officer
GrantClass A common stock 1,380 $0.82 $1,131.60
Disclosure

SEC source: 0001654954-19-008088 · section16.xml · nonDerivative · entry 1

Symmons Alan · CIK 0001504906 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,083

F1 · price: These shares were purchased under the Employee Stock Purchase Plan.

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June 13, 2019 Filed Jun 13, 2019 17:44 UTC PurchaseClass A common stock 5,000 $0.93 $4,626.00
Disclosure

SEC source: 0001654954-19-007291 · section16.xml · nonDerivative · entry 1

BRUECK STEVEN R J · CIK 0001145963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,870

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.