Tapewire

Nasdaq · USD

LQDT

LIQUIDITY SERVICES INC

Export transactions ↓
Tapewire entity
1149
SEC CIK
0001235468
Parsed reports
560

Last 12 months

Inside the activity.

0 purchase rows · 82 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202509
Dec 202506
Jan 202600
Feb 202604
Mar 2026014
Apr 202602
May 2026024
Jun 2026015
Jul 202602
Aug 202602
Sep 202602
Oct 202602

Latest available

Insider transactions

JSON API
Reset

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
October 02, 2018 Filed Oct 3, 2018 22:56 UTC
Celaya JorgeEVP & Chief Financial Officer
Tax withholdingCommon Stock 421 $5.83 $2,454.43
Disclosure

SEC source: 0001628280-18-012292 · wf-form4_153860737585023.xml · nonDerivative · entry 3

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,931

F2 · kind: Represents an advance election by the insider to satisfy tax withholding obligations related to vesting of restricted shares by authorizing the issuer to sell a number of shares with an aggregate fair market value that would satisfy the withholding amount due.

Read SEC document
October 02, 2018 Filed Oct 3, 2018 22:56 UTC
Angrick William P IIIDirector · Chairman of the Board and CEO · 10% owner
Tax withholdingCommon Stock 466 $5.83 $2,716.78
Disclosure

SEC source: 0001628280-18-012293 · wf-form4_153860740260216.xml · nonDerivative · entry 3

Angrick William P III · CIK 0001352618 · Director · Chairman of the Board and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By the William P. Angrick III Revocable Trust

Disclosed balance after: 3,697,437

F3 · kind: Represents an advance election by the insider to satisfy tax withholding obligations related to vesting of restricted shares by authorizing the issuer to sell a number of shares with an aggregate fair market value that would satisfy the withholding amount due.

F2 · ownership.nature: These shares are held in a trust for the benefit of the reporting person. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of the securities for the purposes of Section 16 or for any other purpose.

Read SEC document
October 02, 2018 Filed Oct 3, 2018 22:57 UTC
Gravley RogerPresident, GovDeals & CIO
SaleCommon Stock 171 $5.83 $996.93
Disclosure

SEC source: 0001628280-18-012294 · wf-form4_153860742931708.xml · nonDerivative · entry 3

Gravley Roger · CIK 0001713687 · President, GovDeals & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,751

F2 · kind: Represents reporting person's advance election to sell upon vesting such restricted shares.

Read SEC document
October 02, 2018 Filed Oct 3, 2018 22:56 UTC
Rallo James MPresident RSCG and CAG
SaleCommon Stock 242 $5.83 $1,410.86
Disclosure

SEC source: 0001628280-18-012291 · wf-form4_153860734780786.xml · nonDerivative · entry 3

Rallo James M · CIK 0001352659 · President RSCG and CAG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,970

F2 · kind: Represents reporting person's advance election to sell upon vesting such restricted shares.

Read SEC document
October 02, 2018 Filed Oct 3, 2018 22:55 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
Tax withholdingCommon Stock 43 $5.83 $250.69
Disclosure

SEC source: 0001628280-18-012290 · wf-form4_153860732006790.xml · nonDerivative · entry 3

Shaffer Mark A · CIK 0001677053 · VP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,375

F2 · kind: Represents an advance election by the insider to satisfy tax withholding obligations related to vesting of restricted shares by authorizing the issuer to sell a number of shares with an aggregate fair market value that would satisfy the withholding amount due.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Celaya JorgeEVP & Chief Financial Officer
OtherEmployee Stock Grant · Derivative 2,425 $5.95 Strike: $5.80 $14,428.75
Disclosure

SEC source: 0001628280-18-012292 · wf-form4_153860737585023.xml · derivative · entry 11

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,850

Underlying: Common Stock · 7,275 shares

Expires 2025-10-01

F1 · kind: Represents the vesting of restricted stock.

F8 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on April 1, 2018 and thereafter 1/4th of the restricted stock grant will vest on each of October 1, 2018, October 1, 2019, and October 1, 2020.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Celaya JorgeEVP & Chief Financial Officer
OtherEmployee Stock Grant · Derivative 3,322 $5.95 Strike: $8.15 $19,765.90
Disclosure

SEC source: 0001628280-18-012292 · wf-form4_153860737585023.xml · derivative · entry 10

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,322

Underlying: Common Stock · 6,644 shares

Expires 2025-10-01

F1 · kind: Represents the vesting of restricted stock.

F4 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on October 1, 2016 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Celaya JorgeEVP & Chief Financial Officer
OtherEmployee Stock Grant · Derivative 6,335 $5.95 Strike: $6.63 $37,693.25
Disclosure

SEC source: 0001628280-18-012292 · wf-form4_153860737585023.xml · derivative · entry 6

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,335

Underlying: Common Stock · 12,670 shares

Expires 2025-10-01

F1 · kind: Represents the vesting of restricted stock.

F4 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on October 1, 2016 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Celaya JorgeEVP & Chief Financial Officer
OtherEmployee Stock Grant · Derivative 43,725 $5.95 Strike: $9.70 $260,163.75
Disclosure

SEC source: 0001628280-18-012292 · wf-form4_153860737585023.xml · derivative · entry 5

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,724

Underlying: Common Stock · 87,449 shares

Expires 2025-10-01

F1 · kind: Represents the vesting of restricted stock.

F3 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on October 1, 2016 and thereafter 1/4 of the restricted stock grant will vest on October 1 of each year for three years. In the event that Mr. Celaya's employment is terminated by the Company without cause or by Mr. Celaya for good reason within his first eighteen months of employment, 37.5 percent of this restricted stock grant will become vested as of the date of his termination. On the eighteen month anniversary of Mr. Celaya's start of employment, this acceleration provision will expire.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Celaya JorgeEVP & Chief Financial Officer
Tax withholdingCommon Stock 8,455 $5.95 $50,307.25
Disclosure

SEC source: 0001628280-18-012292 · wf-form4_153860737585023.xml · nonDerivative · entry 2

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,352

F2 · kind: Represents an advance election by the insider to satisfy tax withholding obligations related to vesting of restricted shares by authorizing the issuer to sell a number of shares with an aggregate fair market value that would satisfy the withholding amount due.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Celaya JorgeEVP & Chief Financial Officer
OtherCommon Stock 55,807 $0.00 $0.00
Disclosure

SEC source: 0001628280-18-012292 · wf-form4_153860737585023.xml · nonDerivative · entry 1

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,807

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Angrick William P IIIDirector · Chairman of the Board and CEO · 10% owner
OtherEmployee Stock Grant · Derivative 6,166 $5.95 Strike: $10.41 $36,687.70
Disclosure

SEC source: 0001628280-18-012293 · wf-form4_153860740260216.xml · derivative · entry 20

Angrick William P III · CIK 0001352618 · Director · Chairman of the Board and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,166 shares

Expires 2024-10-01

F1 · kind: Represents the vesting of restricted stock.

F13 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on October 1, 2015 and thereafter 1/8th of the restricted stock grant will vest on April 1 and October 1 of each year for three years.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Angrick William P IIIDirector · Chairman of the Board and CEO · 10% owner
OtherEmployee Stock Grant · Derivative 36,683 $5.95 Strike: $6.63 $218,263.85
Disclosure

SEC source: 0001628280-18-012293 · wf-form4_153860740260216.xml · derivative · entry 16

Angrick William P III · CIK 0001352618 · Director · Chairman of the Board and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,682

Underlying: Common Stock · 73,365 shares

Expires 2025-10-01

F1 · kind: Represents the vesting of restricted stock.

F11 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on October 1, 2016 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Angrick William P IIIDirector · Chairman of the Board and CEO · 10% owner
OtherEmployee Stock Grant · Derivative 18,812 $5.95 Strike: $8.30 $111,931.40
Disclosure

SEC source: 0001628280-18-012293 · wf-form4_153860740260216.xml · derivative · entry 12

Angrick William P III · CIK 0001352618 · Director · Chairman of the Board and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,625

Underlying: Common Stock · 56,437 shares

Expires 2026-10-01

F1 · kind: Represents the vesting of restricted stock.

F9 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on April 1, 2018 and October 1, 2018, and thereafter 1/4th of the restricted stock grant will vest on each of October 1, 2019, and October 1, 2020.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Angrick William P IIIDirector · Chairman of the Board and CEO · 10% owner
Tax withholdingCommon Stock 9,341 $5.95 $55,578.95
Disclosure

SEC source: 0001628280-18-012293 · wf-form4_153860740260216.xml · nonDerivative · entry 2

Angrick William P III · CIK 0001352618 · Director · Chairman of the Board and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By the William P. Angrick III Revocable Trust

Disclosed balance after: 3,697,903

F3 · kind: Represents an advance election by the insider to satisfy tax withholding obligations related to vesting of restricted shares by authorizing the issuer to sell a number of shares with an aggregate fair market value that would satisfy the withholding amount due.

F2 · ownership.nature: These shares are held in a trust for the benefit of the reporting person. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of the securities for the purposes of Section 16 or for any other purpose.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Angrick William P IIIDirector · Chairman of the Board and CEO · 10% owner
OtherCommon Stock 61,661 $5.95 $366,882.95
Disclosure

SEC source: 0001628280-18-012293 · wf-form4_153860740260216.xml · nonDerivative · entry 1

Angrick William P III · CIK 0001352618 · Director · Chairman of the Board and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By the William P. Angrick III Revocable Trust

Disclosed balance after: 3,707,244

F1 · kind: Represents the vesting of restricted stock.

F2 · ownership.nature: These shares are held in a trust for the benefit of the reporting person. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of the securities for the purposes of Section 16 or for any other purpose.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:57 UTC
Gravley RogerPresident, GovDeals & CIO
OtherEmployee Stock Grant · Derivative 2,062 $5.95 Strike: $8.30 $12,268.90
Disclosure

SEC source: 0001628280-18-012294 · wf-form4_153860742931708.xml · derivative · entry 18

Gravley Roger · CIK 0001713687 · President, GovDeals & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,125

Underlying: Common Stock · 6,187 shares

Expires 2026-10-01

F1 · kind: Represents the vesting of restricted stock.

F13 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on April 1, 2018 and thereafter 1/4th of the restricted stock grant will vest on each of October 1, 2018, October 1, 2019, and October 1, 2020.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:57 UTC
Gravley RogerPresident, GovDeals & CIO
OtherEmployee Stock Grant · Derivative 5,212 $5.95 Strike: $6.63 $31,011.40
Disclosure

SEC source: 0001628280-18-012294 · wf-form4_153860742931708.xml · derivative · entry 15

Gravley Roger · CIK 0001713687 · President, GovDeals & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,213

Underlying: Common Stock · 10,425 shares

Expires 2025-10-01

F1 · kind: Represents the vesting of restricted stock.

F12 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on October 1, 2016 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:57 UTC
Gravley RogerPresident, GovDeals & CIO
OtherEmployee Stock Grant · Derivative 4,073 $5.95 Strike: $10.41 $24,234.35
Disclosure

SEC source: 0001628280-18-012294 · wf-form4_153860742931708.xml · derivative · entry 13

Gravley Roger · CIK 0001713687 · President, GovDeals & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,073 shares

Expires 2024-10-01

F1 · kind: Represents the vesting of restricted stock.

F10 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on October 1, 2015 and thereafter 1/8th of the restricted stock grant will vest on April 1 and October 1 of each year for three years.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:57 UTC
Gravley RogerPresident, GovDeals & CIO
SaleCommon Stock 3,425 $5.95 $20,378.75
Disclosure

SEC source: 0001628280-18-012294 · wf-form4_153860742931708.xml · nonDerivative · entry 2

Gravley Roger · CIK 0001713687 · President, GovDeals & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,922

F2 · kind: Represents reporting person's advance election to sell upon vesting such restricted shares.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:57 UTC
Gravley RogerPresident, GovDeals & CIO
OtherCommon Stock 11,347 $5.95 $67,514.65
Disclosure

SEC source: 0001628280-18-012294 · wf-form4_153860742931708.xml · nonDerivative · entry 1

Gravley Roger · CIK 0001713687 · President, GovDeals & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,347

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Rallo James MPresident RSCG and CAG
OtherEmployee Stock Grant · Derivative 1,962 $5.95 Strike: $8.30 $11,673.90
Disclosure

SEC source: 0001628280-18-012291 · wf-form4_153860734780786.xml · derivative · entry 22

Rallo James M · CIK 0001352659 · President RSCG and CAG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,925

Underlying: Common Stock · 5,887 shares

Expires 2026-10-01

F1 · kind: Represents the vesting of restricted stock.

F17 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on April 1, 2018 and thereafter 1/4th of the restricted stock grant will vest on each of October 1, 2018, October 1, 2019, and October 1, 2020.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Rallo James MPresident RSCG and CAG
OtherEmployee Stock Grant · Derivative 6,380 $5.95 Strike: $6.63 $37,961.00
Disclosure

SEC source: 0001628280-18-012291 · wf-form4_153860734780786.xml · derivative · entry 18

Rallo James M · CIK 0001352659 · President RSCG and CAG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,380

Underlying: Common Stock · 12,760 shares

Expires 2025-10-01

F1 · kind: Represents the vesting of restricted stock.

F14 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on October 1, 2016 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Rallo James MPresident RSCG and CAG
OtherEmployee Stock Grant · Derivative 7,717 $5.95 Strike: $10.41 $45,916.15
Disclosure

SEC source: 0001628280-18-012291 · wf-form4_153860734780786.xml · derivative · entry 16

Rallo James M · CIK 0001352659 · President RSCG and CAG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,717 shares

Expires 2024-10-01

F1 · kind: Represents the vesting of restricted stock.

F12 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on October 1, 2015 and thereafter 1/8th of the restricted stock grant will vest on April 1 and October 1 of each year for three years.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Rallo James MPresident RSCG and CAG
SaleCommon Stock 4,847 $5.95 $28,839.65
Disclosure

SEC source: 0001628280-18-012291 · wf-form4_153860734780786.xml · nonDerivative · entry 2

Rallo James M · CIK 0001352659 · President RSCG and CAG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,212

F2 · kind: Represents reporting person's advance election to sell upon vesting such restricted shares.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:56 UTC
Rallo James MPresident RSCG and CAG
OtherCommon Stock 16,059 $0.00 $0.00
Disclosure

SEC source: 0001628280-18-012291 · wf-form4_153860734780786.xml · nonDerivative · entry 1

Rallo James M · CIK 0001352659 · President RSCG and CAG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,059

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:55 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
OtherEmployee Stock Grant · Derivative 2,212 $5.95 Strike: $8.30 $13,161.40
Disclosure

SEC source: 0001628280-18-012290 · wf-form4_153860732006790.xml · derivative · entry 9

Shaffer Mark A · CIK 0001677053 · VP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,425

Underlying: Common Stock · 6,637 shares

Expires 2026-10-01

F1 · kind: Represents the vesting of restricted stock.

F7 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on April 1, 2018 and thereafter 1/4th of the restricted stock grant will vest on each of October 1, 2018, October 1, 2019, and October 1, 2020.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:55 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
OtherEmployee Stock Grant · Derivative 1,726 $5.95 Strike: $4.57 $10,269.70
Disclosure

SEC source: 0001628280-18-012290 · wf-form4_153860732006790.xml · derivative · entry 6

Shaffer Mark A · CIK 0001677053 · VP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,726

Underlying: Common Stock · 3,452 shares

Expires 2026-02-16

F1 · kind: Represents the vesting of restricted stock.

F4 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on October 1, 2016 and thereafter 1/4 of the restricted stock grant will vest on October 1 of each year for three years.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:55 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
OtherEmployee Stock Grant · Derivative 397 $5.95 Strike: $9.35 $2,362.15
Disclosure

SEC source: 0001628280-18-012290 · wf-form4_153860732006790.xml · derivative · entry 5

Shaffer Mark A · CIK 0001677053 · VP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 397 shares

Expires 2025-04-09

F1 · kind: Represents the vesting of restricted stock.

F3 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on October 1, 2015 and thereafter 1/8 of the restricted stock grant will vest on April 1 and October 1 of each year for three years.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:55 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
Tax withholdingCommon Stock 872 $5.95 $5,188.40
Disclosure

SEC source: 0001628280-18-012290 · wf-form4_153860732006790.xml · nonDerivative · entry 2

Shaffer Mark A · CIK 0001677053 · VP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,418

F2 · kind: Represents an advance election by the insider to satisfy tax withholding obligations related to vesting of restricted shares by authorizing the issuer to sell a number of shares with an aggregate fair market value that would satisfy the withholding amount due.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:55 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
OtherCommon Stock 4,335 $0.00 $0.00
Disclosure

SEC source: 0001628280-18-012290 · wf-form4_153860732006790.xml · nonDerivative · entry 1

Shaffer Mark A · CIK 0001677053 · VP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,290

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
August 07, 2018 Filed Aug 7, 2018 21:00 UTC
Celaya JorgeEVP & Chief Financial Officer
SaleCommon Stock 22,398 $7.00 $156,786.00
Disclosure

SEC source: 0001628280-18-010710 · wf-form4_153367562496370.xml · nonDerivative · entry 3

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
August 06, 2018 Filed Aug 7, 2018 21:00 UTC
Celaya JorgeEVP & Chief Financial Officer
SaleCommon Stock 6,569 $7.05 $46,311.45
Disclosure

SEC source: 0001628280-18-010710 · wf-form4_153367562496370.xml · nonDerivative · entry 2

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,398

Read SEC document
August 03, 2018 Filed Aug 7, 2018 21:00 UTC
Celaya JorgeEVP & Chief Financial Officer
SaleCommon Stock 31,226 $7.00 $218,582.00
Disclosure

SEC source: 0001628280-18-010710 · wf-form4_153367562496370.xml · nonDerivative · entry 1

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,967

Read SEC document
July 02, 2018 Filed Jul 2, 2018 21:06 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
OtherEmployee Stock Grant · Derivative 3,750 $6.46 Strike: $8.15 $24,225.00
Disclosure

SEC source: 0001628280-18-008986 · wf-form4_153056556036219.xml · derivative · entry 6

Shaffer Mark A · CIK 0001677053 · VP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 11,250 shares

Expires 2026-06-22

F1 · kind: Represents the vesting of restricted stock.

F6 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on July 1, 2017 and thereafter 1/4 of the restricted stock grant will vest on July 1 of each year for three years.

Read SEC document
July 02, 2018 Filed Jul 2, 2018 21:06 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
Tax withholdingCommon Stock 1,146 $6.46 $7,403.16
Disclosure

SEC source: 0001628280-18-008986 · wf-form4_153056556036219.xml · nonDerivative · entry 2

Shaffer Mark A · CIK 0001677053 · VP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,955

F2 · kind: Represents an advance election by the insider to satisfy tax withholding obligations related to vesting of restricted shares by authorizing the issuer to sell a number of shares with an aggregate fair market value that would satisfy the withholding amount due.

Read SEC document
July 02, 2018 Filed Jul 2, 2018 21:06 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
OtherCommon Stock 3,750 $6.46 $24,225.00
Disclosure

SEC source: 0001628280-18-008986 · wf-form4_153056556036219.xml · nonDerivative · entry 1

Shaffer Mark A · CIK 0001677053 · VP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,101

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
April 24, 2018 Filed Apr 24, 2018 17:31 UTC
Sweeney Michael EFormer VP & CAO
OtherEmployee Stock Grant · Derivative 400 Not disclosed Strike: $4.47 Not disclosed
Disclosure

SEC source: 0001628280-18-004961 · wf-form4_152460546157584.xml · derivative · entry 12

Sweeney Michael E · CIK 0001668475 · Former VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 400 shares

Expires 2027-10-01

F1 · kind: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F1 · price: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F11 · derivative.exercise_date: Twenty-five percent of this restricted stock grant will vest on January 1, 2019 and thereafter 1/4th of the restricted stock grant will vest on each October 1, 2019, October 1, 2020, and October 1, 2021.

Read SEC document
April 24, 2018 Filed Apr 24, 2018 17:31 UTC
Sweeney Michael EFormer VP & CAO
OtherEmployee Stock Option · Derivative 4,000 Not disclosed Strike: $4.47 Not disclosed
Disclosure

SEC source: 0001628280-18-004961 · wf-form4_152460546157584.xml · derivative · entry 11

Sweeney Michael E · CIK 0001668475 · Former VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires 2027-10-01

F7 · kind: Represents forfeiture of stock options due to the resignation of the reporting person.

F7 · price: Represents forfeiture of stock options due to the resignation of the reporting person.

F10 · derivative.exercise_date: 15/48th of this option grant will vest on January 1, 2019 and thereafter 1/48th of the option grant will vest each month for thirty three months.

Read SEC document
April 24, 2018 Filed Apr 24, 2018 17:31 UTC
Sweeney Michael EFormer VP & CAO
OtherEmployee Stock Grant · Derivative 600 Not disclosed Strike: $4.47 Not disclosed
Disclosure

SEC source: 0001628280-18-004961 · wf-form4_152460546157584.xml · derivative · entry 10

Sweeney Michael E · CIK 0001668475 · Former VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 600 shares

Expires 2027-10-01

F1 · kind: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F1 · price: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F4 · derivative.exercise_date: These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.

Read SEC document
April 24, 2018 Filed Apr 24, 2018 17:31 UTC
Sweeney Michael EFormer VP & CAO
OtherEmployee Stock Option · Derivative 6,000 Not disclosed Strike: $4.47 Not disclosed
Disclosure

SEC source: 0001628280-18-004961 · wf-form4_152460546157584.xml · derivative · entry 9

Sweeney Michael E · CIK 0001668475 · Former VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2027-10-01

F7 · kind: Represents forfeiture of stock options due to the resignation of the reporting person.

F7 · price: Represents forfeiture of stock options due to the resignation of the reporting person.

F9 · derivative.exercise_date: This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones.

Read SEC document
April 24, 2018 Filed Apr 24, 2018 17:31 UTC
Sweeney Michael EFormer VP & CAO
OtherEmployee Stock Option · Derivative 2,350 Not disclosed Strike: $10.30 Not disclosed
Disclosure

SEC source: 0001628280-18-004961 · wf-form4_152460546157584.xml · derivative · entry 8

Sweeney Michael E · CIK 0001668475 · Former VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,350 shares

Expires 2026-12-20

F7 · kind: Represents forfeiture of stock options due to the resignation of the reporting person.

F7 · price: Represents forfeiture of stock options due to the resignation of the reporting person.

F8 · derivative.exercise_date: This option becomes exercisable, if at all, based on the Issuer's achievment of certain financial milestones.

Read SEC document
April 24, 2018 Filed Apr 24, 2018 17:31 UTC
Sweeney Michael EFormer VP & CAO
OtherEmployee Stock Option · Derivative 2,350 Not disclosed Strike: $10.30 Not disclosed
Disclosure

SEC source: 0001628280-18-004961 · wf-form4_152460546157584.xml · derivative · entry 7

Sweeney Michael E · CIK 0001668475 · Former VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,350 shares

Expires 2026-12-20

F1 · kind: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F7 · price: Represents forfeiture of stock options due to the resignation of the reporting person.

F6 · derivative.exercise_date: 15/48th of this option grant vested on January 1, 2018 and then 1/48th of the option grant will vest each month for thirty-three months.

Read SEC document
April 24, 2018 Filed Apr 24, 2018 17:31 UTC
Sweeney Michael EFormer VP & CAO
OtherEmployee Stock Grant · Derivative 3,950 Not disclosed Strike: $10.30 Not disclosed
Disclosure

SEC source: 0001628280-18-004961 · wf-form4_152460546157584.xml · derivative · entry 6

Sweeney Michael E · CIK 0001668475 · Former VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,950 shares

Expires 2026-12-20

F1 · kind: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F1 · price: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F4 · derivative.exercise_date: These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.

Read SEC document
April 24, 2018 Filed Apr 24, 2018 17:31 UTC
Sweeney Michael EFormer VP & CAO
OtherEmployee Stock Grant · Derivative 2,962 Not disclosed Strike: $10.30 Not disclosed
Disclosure

SEC source: 0001628280-18-004961 · wf-form4_152460546157584.xml · derivative · entry 5

Sweeney Michael E · CIK 0001668475 · Former VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,962 shares

Expires 2026-12-20

F1 · kind: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F1 · price: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F5 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on January 1, 2018 and thereafter 1/4th of the restricted stock grant will vest on each of October 1, 2018, October 1, 2019 and October 1, 2020.

Read SEC document
April 24, 2018 Filed Apr 24, 2018 17:31 UTC
Sweeney Michael EFormer VP & CAO
OtherEmployee Stock Grant · Derivative 6,600 Not disclosed Strike: $9.75 Not disclosed
Disclosure

SEC source: 0001628280-18-004961 · wf-form4_152460546157584.xml · derivative · entry 4

Sweeney Michael E · CIK 0001668475 · Former VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,600 shares

Expires 2026-12-22

F1 · kind: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F1 · price: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F4 · derivative.exercise_date: These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.

Read SEC document
April 24, 2018 Filed Apr 24, 2018 17:31 UTC
Sweeney Michael EFormer VP & CAO
OtherEmployee Stock Grant · Derivative 10,050 Not disclosed Strike: $9.75 Not disclosed
Disclosure

SEC source: 0001628280-18-004961 · wf-form4_152460546157584.xml · derivative · entry 3

Sweeney Michael E · CIK 0001668475 · Former VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,050 shares

Expires 2026-12-22

F1 · kind: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F1 · price: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F3 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on January 1, 2018 and thereafter 1/4 of the restricted stock grant will vest on January 1 of each year for three years.

Read SEC document
April 24, 2018 Filed Apr 24, 2018 17:31 UTC
Sweeney Michael EFormer VP & CAO
OtherEmployee Stock Grant · Derivative 7,000 Not disclosed Strike: $5.53 Not disclosed
Disclosure

SEC source: 0001628280-18-004961 · wf-form4_152460546157584.xml · derivative · entry 2

Sweeney Michael E · CIK 0001668475 · Former VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,000 shares

Expires 2026-04-01

F1 · kind: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F1 · price: Represents forfeiture of restricted stock units due to the resignation of the reporting person.

F2 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on April 1, 2017 and thereafter 1/4 of the restricted stock grant will vest on April 1 of each year for three years.

Read SEC document
April 02, 2018 Filed Apr 3, 2018 16:52 UTC
Sweeney Michael EVP & Chief Accounting Officer
OtherEmployee Stock Grant · Derivative 3,500 $6.23 Strike: $5.53 $21,805.00
Disclosure

SEC source: 0001628280-18-003963 · wf-form4_152278872860674.xml · derivative · entry 3

Sweeney Michael E · CIK 0001668475 · VP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 10,500 shares

Expires 2026-04-01

F1 · kind: Represents the vesting of restricted stock.

F3 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on April 1, 2017 and thereafter 1/4 of the restricted stock grant will vest on April 1 of each year for three years.

Read SEC document
April 02, 2018 Filed Apr 3, 2018 16:52 UTC
Sweeney Michael EVP & Chief Accounting Officer
Tax withholdingCommon Stock 1,124 $6.23 $7,002.52
Disclosure

SEC source: 0001628280-18-003963 · wf-form4_152278872860674.xml · nonDerivative · entry 2

Sweeney Michael E · CIK 0001668475 · VP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,972

F2 · kind: Represents an advance election by the insider to satisfy tax withholding obligations related to vesting of restricted shares by authorizing the issuer to sell a number of shares with an aggregate fair market value that would satisfy the withholding amount due.

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.