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Nasdaq · USD

LQDT

LIQUIDITY SERVICES INC

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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

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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
April 02, 2018 Filed Apr 3, 2018 16:52 UTC
Sweeney Michael EVP & Chief Accounting Officer
OtherCommon Stock 3,500 $6.23 $21,805.00
Disclosure

SEC source: 0001628280-18-003963 · wf-form4_152278872860674.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,096

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
April 02, 2018 Filed Apr 3, 2018 20:51 UTC
Celaya JorgeEVP & Chief Financial Officer
OtherEmployee Stock Grant · Derivative 2,425 $6.23 Strike: $5.80 $15,107.75
Disclosure

SEC source: 0001628280-18-003959 · wf-form4_152278862521329.xml · derivative · entry 9

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,275

Underlying: Common Stock · 9,700 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
April 02, 2018 Filed Apr 3, 2018 20:51 UTC
Celaya JorgeEVP & Chief Financial Officer
Tax withholdingCommon Stock 931 $6.23 $5,800.13
Disclosure

SEC source: 0001628280-18-003959 · wf-form4_152278862521329.xml · nonDerivative · entry 2

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,193

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
April 02, 2018 Filed Apr 3, 2018 20:51 UTC
Celaya JorgeEVP & Chief Financial Officer
OtherCommon Stock 2,425 $6.23 $15,107.75
Disclosure

SEC source: 0001628280-18-003959 · wf-form4_152278862521329.xml · nonDerivative · entry 1

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,124

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
April 02, 2018 Filed Apr 3, 2018 20:50 UTC
Angrick William P IIIDirector · Chairman of the Board and CEO · 10% owner
OtherEmployee Stock Grant · Derivative 6,167 $6.23 Strike: $10.41 $38,420.41
Disclosure

SEC source: 0001628280-18-003958 · wf-form4_152278858788578.xml · derivative · entry 18

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: 6,166

Underlying: Common Stock · 12,333 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
April 02, 2018 Filed Apr 3, 2018 20:50 UTC
Angrick William P IIIDirector · Chairman of the Board and CEO · 10% owner
OtherEmployee Stock Grant · Derivative 18,813 $6.23 Strike: $8.30 $117,204.99
Disclosure

SEC source: 0001628280-18-003958 · wf-form4_152278858788578.xml · derivative · entry 10

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: 56,437

Underlying: Common Stock · 75,250 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 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 02, 2018 Filed Apr 3, 2018 20:50 UTC
Angrick William P IIIDirector · Chairman of the Board and CEO · 10% owner
Tax withholdingCommon Stock 10,473 $6.23 $65,246.79
Disclosure

SEC source: 0001628280-18-003958 · wf-form4_152278858788578.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: 3,660,090

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
April 02, 2018 Filed Apr 3, 2018 20:50 UTC
Angrick William P IIIDirector · Chairman of the Board and CEO · 10% owner
OtherCommon Stock 24,980 $6.23 $155,625.40
Disclosure

SEC source: 0001628280-18-003958 · wf-form4_152278858788578.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: 3,670,563

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
April 02, 2018 Filed Apr 3, 2018 20:52 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
OtherEmployee Stock Grant · Derivative 2,213 $6.23 Strike: $8.30 $13,786.99
Disclosure

SEC source: 0001628280-18-003962 · wf-form4_152278871299028.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,637

Underlying: Common Stock · 8,850 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
April 02, 2018 Filed Apr 3, 2018 20:52 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
OtherEmployee Stock Grant · Derivative 398 $6.23 Strike: $9.35 $2,479.54
Disclosure

SEC source: 0001628280-18-003962 · wf-form4_152278871299028.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 397

Underlying: Common Stock · 795 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
April 02, 2018 Filed Apr 3, 2018 20:52 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
Tax withholdingCommon Stock 938 $6.23 $5,843.74
Disclosure

SEC source: 0001628280-18-003962 · wf-form4_152278871299028.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,351

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
April 02, 2018 Filed Apr 3, 2018 20:52 UTC
Shaffer Mark AVP, Gen. Counsel & Secretary
OtherCommon Stock 2,611 $6.23 $16,266.53
Disclosure

SEC source: 0001628280-18-003962 · wf-form4_152278871299028.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,289

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
April 02, 2018 Filed Apr 3, 2018 20:51 UTC
Rallo James MPresident RSCG and CAG
OtherEmployee Stock Grant · Derivative 1,963 $6.23 Strike: $8.30 $12,229.49
Disclosure

SEC source: 0001628280-18-003961 · wf-form4_152278866895731.xml · derivative · entry 20

Rallo James M · CIK 0001352659 · President RSCG and CAG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,887

Underlying: Common Stock · 7,850 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
April 02, 2018 Filed Apr 3, 2018 20:51 UTC
Rallo James MPresident RSCG and CAG
OtherEmployee Stock Grant · Derivative 7,716 $6.23 Strike: $10.41 $48,070.68
Disclosure

SEC source: 0001628280-18-003961 · wf-form4_152278866895731.xml · derivative · entry 14

Rallo James M · CIK 0001352659 · President RSCG and CAG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,717

Underlying: Common Stock · 15,433 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
April 02, 2018 Filed Apr 3, 2018 20:51 UTC
Rallo James MPresident RSCG and CAG
SaleCommon Stock 9,679 $6.23 $60,300.17
Disclosure

SEC source: 0001628280-18-003961 · wf-form4_152278866895731.xml · nonDerivative · entry 2

Rallo James M · CIK 0001352659 · President RSCG and CAG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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

Read SEC document
April 02, 2018 Filed Apr 3, 2018 20:51 UTC
Rallo James MPresident RSCG and CAG
OtherCommon Stock 9,679 $6.23 $60,300.17
Disclosure

SEC source: 0001628280-18-003961 · wf-form4_152278866895731.xml · nonDerivative · entry 1

Rallo James M · CIK 0001352659 · President RSCG and CAG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,679

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
April 02, 2018 Filed Apr 3, 2018 20:49 UTC
Gravley RogerPresident, GovDeals & CIO
OtherEmployee Stock Grant · Derivative 2,063 $6.23 Strike: $8.30 $12,852.49
Disclosure

SEC source: 0001628280-18-003957 · wf-form4_152278857044678.xml · derivative · entry 17

Gravley Roger · CIK 0001713687 · President, GovDeals & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,187

Underlying: Common Stock · 8,250 shares

Expires 2026-10-01

F1 · kind: Represents the vesting of restricted stock.

F14 · 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
April 02, 2018 Filed Apr 3, 2018 20:49 UTC
Gravley RogerPresident, GovDeals & CIO
OtherEmployee Stock Grant · Derivative 6,250 $6.23 Strike: $12.57 $38,937.50
Disclosure

SEC source: 0001628280-18-003957 · wf-form4_152278857044678.xml · derivative · entry 12

Gravley Roger · CIK 0001713687 · President, GovDeals & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,250 shares

Expires 2024-10-27

F1 · kind: Represents the vesting of restricted stock.

F11 · derivative.exercise_date: Twenty-five percent of this restricted stock grant vested on October 1, 2015 and thereafter 1/4th 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 20:49 UTC
Gravley RogerPresident, GovDeals & CIO
OtherEmployee Stock Grant · Derivative 4,072 $6.23 Strike: $10.41 $25,368.56
Disclosure

SEC source: 0001628280-18-003957 · wf-form4_152278857044678.xml · derivative · entry 11

Gravley Roger · CIK 0001713687 · President, GovDeals & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,073

Underlying: Common Stock · 8,145 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
April 02, 2018 Filed Apr 3, 2018 20:49 UTC
Gravley RogerPresident, GovDeals & CIO
SaleCommon Stock 12,385 $6.23 $77,158.55
Disclosure

SEC source: 0001628280-18-003957 · wf-form4_152278857044678.xml · nonDerivative · entry 2

Gravley Roger · CIK 0001713687 · President, GovDeals & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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

Read SEC document
April 02, 2018 Filed Apr 3, 2018 20:49 UTC
Gravley RogerPresident, GovDeals & CIO
OtherCommon Stock 12,385 $6.23 $77,158.55
Disclosure

SEC source: 0001628280-18-003957 · wf-form4_152278857044678.xml · nonDerivative · entry 1

Gravley Roger · CIK 0001713687 · President, GovDeals & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,385

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 17:53 UTC GrantRestricted Stock Grant · Derivative 14,615 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001628280-18-001041 · wf-form4_151787119874662.xml · derivative · entry 10

ELLIS GEORGE H · CIK 0001085715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,615

Underlying: Common Stock · 14,615 shares

Expires 2028-02-01

F9 · derivative.exercise_date: These restricted shares have a one-year vesting period such that 100% of this restricted share grant will vest on February 1, 2019.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 17:53 UTC OtherRestricted Stock Grant · Derivative 3,897 $6.50 Strike: $9.75 $25,330.50
Disclosure

SEC source: 0001628280-18-001041 · wf-form4_151787119874662.xml · derivative · entry 9

ELLIS GEORGE H · CIK 0001085715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,897 shares

Expires 2027-02-01

F1 · kind: Represents the vesting of restricted stock.

F8 · derivative.exercise_date: These restricted shares became fully vested on February 1, 2018.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 17:53 UTC OtherCommon Stock 3,897 $6.50 $25,330.50
Disclosure

SEC source: 0001628280-18-001041 · wf-form4_151787119874662.xml · nonDerivative · entry 1

ELLIS GEORGE H · CIK 0001085715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,403

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:54 UTC GrantEmployee Stock Grant · Derivative 5,846 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001628280-18-001044 · wf-form4_151787123440849.xml · derivative · entry 11

CLOUGH PHILLIP A · CIK 0001207712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,846

Underlying: Common Stock · 5,846 shares

Expires 2028-02-01

F11 · derivative.exercise_date: These restricted shares have a one-year vesting period such that 100% of this restricted share grant will vest on February 1, 2019.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:54 UTC GrantEmployee Stock Option · Derivative 15,344 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001628280-18-001044 · wf-form4_151787123440849.xml · derivative · entry 10

CLOUGH PHILLIP A · CIK 0001207712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,344

Underlying: Common Stock · 15,344 shares

Expires 2028-02-01

F10 · derivative.exercise_date: These options have a one-year vesting period such that 100% of this option grant will vest on February 1, 2019.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:54 UTC OtherRestricted Stock Grant · Derivative 7,795 $6.50 Strike: $9.75 $50,667.50
Disclosure

SEC source: 0001628280-18-001044 · wf-form4_151787123440849.xml · derivative · entry 9

CLOUGH PHILLIP A · CIK 0001207712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,795 shares

Expires 2027-02-01

F1 · kind: Represents the vesting of restricted stock.

F9 · derivative.exercise_date: These restricted shares became fully vested on February 1, 2018.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:54 UTC OtherCommon Stock 7,795 $6.50 $50,667.50
Disclosure

SEC source: 0001628280-18-001044 · wf-form4_151787123440849.xml · nonDerivative · entry 1

CLOUGH PHILLIP A · CIK 0001207712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,912

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:53 UTC OtherRestricted Stock Grant · Derivative 9,744 $6.50 Strike: $9.75 $63,336.00
Disclosure

SEC source: 0001628280-18-001039 · wf-form4_151787118131963.xml · derivative · entry 5

Mateus-Tique Jaime · CIK 0001352656 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,744 shares

Expires 2027-02-01

F1 · kind: Represents the vesting of restricted stock.

F3 · derivative.exercise_date: These restricted shares became fully vested on February 1, 2018.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:53 UTC GrantRestricted Stock Grant · Derivative 14,615 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001628280-18-001039 · wf-form4_151787118131963.xml · derivative · entry 4

Mateus-Tique Jaime · CIK 0001352656 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,615

Underlying: Common Stock · 14,615 shares

Expires 2028-02-01

F2 · derivative.exercise_date: These restricted shares have a one-year vesting period such that 100% of this restricted share grant will vest on February 1, 2019.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:53 UTC OtherCommon Stock 9,744 $6.50 $63,336.00
Disclosure

SEC source: 0001628280-18-001039 · wf-form4_151787118131963.xml · nonDerivative · entry 1

Mateus-Tique Jaime · CIK 0001352656 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,453

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:53 UTC GrantEmployee Stock Grant · Derivative 22,692 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001628280-18-001043 · wf-form4_151787121634098.xml · derivative · entry 15

GROSS PATRICK W · CIK 0001184343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,692

Underlying: Common Stock · 22,692 shares

Expires 2028-02-01

F15 · derivative.exercise_date: These restricted shares have a one-year vesting period such that 100% of this restricted share grant will vest on February 1, 2019.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:53 UTC OtherRestricted Stock Grant · Derivative 15,128 $6.50 Strike: $9.75 $98,332.00
Disclosure

SEC source: 0001628280-18-001043 · wf-form4_151787121634098.xml · derivative · entry 14

GROSS PATRICK W · CIK 0001184343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,128 shares

Expires 2027-02-01

F1 · kind: Represents the vesting of restricted stock.

F14 · derivative.exercise_date: These restricted shares became fully vested on February 1, 2018.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:53 UTC OtherCommon Stock 15,128 $6.50 $98,332.00
Disclosure

SEC source: 0001628280-18-001043 · wf-form4_151787121634098.xml · nonDerivative · entry 1

GROSS PATRICK W · CIK 0001184343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,594

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:49 UTC GrantRestricted Stock Grant · Derivative 14,615 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001628280-18-001029 · wf-form4_151787095533810.xml · derivative · entry 3

INFANTE BEATRIZ V · CIK 0001193369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,615

Underlying: Common Stock · 14,615 shares

Expires 2028-02-01

F3 · derivative.exercise_date: These restricted shares have a one-year vesting period such that 100% of this restricted share grant will vest on February 1, 2019.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:49 UTC OtherRestricted Stock Grant · Derivative 9,744 $6.50 Strike: $9.75 $63,336.00
Disclosure

SEC source: 0001628280-18-001029 · wf-form4_151787095533810.xml · derivative · entry 2

INFANTE BEATRIZ V · CIK 0001193369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,744 shares

Expires 2027-02-01

F1 · kind: Represents the vesting of restricted stock.

F2 · derivative.exercise_date: These restricted shares became fully vested on February 1, 2018.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:49 UTC OtherCommon Stock 9,744 $6.50 $63,336.00
Disclosure

SEC source: 0001628280-18-001029 · wf-form4_151787095533810.xml · nonDerivative · entry 1

INFANTE BEATRIZ V · CIK 0001193369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,914

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:49 UTC GrantRestricted Stock Grant · Derivative 14,615 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001628280-18-001030 · wf-form4_151787097208555.xml · derivative · entry 3

KOLODZIESKI EDWARD · CIK 0001665511 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,615

Underlying: Common Stock · 14,615 shares

Expires 2028-02-01

F3 · derivative.exercise_date: These restricted shares have a one-year vesting period such that 100% of this restricted share grant will vest on February 1, 2019.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:49 UTC OtherRestricted Stock Grant · Derivative 9,744 $6.50 Strike: $9.75 $63,336.00
Disclosure

SEC source: 0001628280-18-001030 · wf-form4_151787097208555.xml · derivative · entry 2

KOLODZIESKI EDWARD · CIK 0001665511 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,744 shares

Expires 2027-02-01

F1 · kind: Represents the vesting of restricted stock.

F2 · derivative.exercise_date: These restricted shares became fully vested on February 1, 2018.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:49 UTC OtherCommon Stock 9,744 $6.50 $63,336.00
Disclosure

SEC source: 0001628280-18-001030 · wf-form4_151787097208555.xml · nonDerivative · entry 1

KOLODZIESKI EDWARD · CIK 0001665511 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,080

F1 · kind: Represents the vesting of restricted stock.

Read SEC document
January 02, 2018 Filed Jan 3, 2018 16:27 UTC
Sweeney Michael EVP & Chief Accounting Officer
OtherEmployee Stock Grant · Derivative 988 $4.90 Strike: $10.30 $4,841.20
Disclosure

SEC source: 0001628280-18-000086 · wf-form4_151501482280411.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,962

Underlying: Common Stock · 988 shares

Expires 2026-12-20

F1 · kind: Represents the vesting of restricted stock.

F6 · 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.

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January 02, 2018 Filed Jan 3, 2018 16:27 UTC
Sweeney Michael EVP & Chief Accounting Officer
OtherEmployee Stock Grant · Derivative 3,350 $4.90 Strike: $9.75 $16,415.00
Disclosure

SEC source: 0001628280-18-000086 · wf-form4_151501482280411.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,050

Underlying: Common Stock · 3,350 shares

Expires 2026-12-22

F1 · kind: Represents the vesting of restricted stock.

F4 · 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.

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January 02, 2018 Filed Jan 3, 2018 16:27 UTC
Sweeney Michael EVP & Chief Accounting Officer
Tax withholdingCommon Stock 1,742 $4.90 $8,535.80
Disclosure

SEC source: 0001628280-18-000086 · wf-form4_151501482280411.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,596

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.

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January 02, 2018 Filed Jan 3, 2018 16:27 UTC
Sweeney Michael EVP & Chief Accounting Officer
OtherCommon Stock 4,338 $4.90 $21,256.20
Disclosure

SEC source: 0001628280-18-000086 · wf-form4_151501482280411.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,338

F1 · kind: Represents the vesting of restricted stock.

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December 11, 2017 Filed Dec 13, 2017 18:29 UTC
Sweeney Michael EVP & Chief Accounting Officer
GrantEmployee Stock Grant · Derivative 400 $0.00 Strike: $4.47 $0.00
Disclosure

SEC source: 0001628280-17-012326 · wf-form4_151320773869070.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400

Underlying: Common Stock · 400 shares

Expires 2027-10-01

F9 · 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.

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December 11, 2017 Filed Dec 13, 2017 18:29 UTC
Sweeney Michael EVP & Chief Accounting Officer
GrantEmployee Stock Option · Derivative 4,000 $0.00 Strike: $4.47 $0.00
Disclosure

SEC source: 0001628280-17-012326 · wf-form4_151320773869070.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 shares

Expires 2027-10-01

F8 · 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.

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December 11, 2017 Filed Dec 13, 2017 18:29 UTC
Sweeney Michael EVP & Chief Accounting Officer
GrantEmployee Stock Grant · Derivative 600 $0.00 Strike: $4.47 $0.00
Disclosure

SEC source: 0001628280-17-012326 · wf-form4_151320773869070.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600

Underlying: Common Stock · 600 shares

Expires 2027-10-01

F3 · derivative.exercise_date: These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.

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December 11, 2017 Filed Dec 13, 2017 18:29 UTC
Sweeney Michael EVP & Chief Accounting Officer
GrantEmployee Stock Option · Derivative 6,000 $0.00 Strike: $4.47 $0.00
Disclosure

SEC source: 0001628280-17-012326 · wf-form4_151320773869070.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2027-10-01

F7 · derivative.exercise_date: This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones.

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December 11, 2017 Filed Dec 13, 2017 23:28 UTC
Celaya JorgeEVP & Chief Financial Officer
GrantEmployee Stock Grant · Derivative 2,080 $0.00 Strike: $4.47 $0.00
Disclosure

SEC source: 0001628280-17-012325 · wf-form4_151320772096708.xml · derivative · entry 15

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,080

Underlying: Common Stock · 2,080 shares

Expires 2027-10-01

F9 · 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.

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December 11, 2017 Filed Dec 13, 2017 23:28 UTC
Celaya JorgeEVP & Chief Financial Officer
GrantEmployee Stock Option · Derivative 20,280 $0.00 Strike: $4.47 $0.00
Disclosure

SEC source: 0001628280-17-012325 · wf-form4_151320772096708.xml · derivative · entry 14

Celaya Jorge · CIK 0001406206 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,280

Underlying: Common Stock · 20,280 shares

Expires 2027-10-01

F8 · 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.

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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.