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Nasdaq · USD

LSTA

LISATA THERAPEUTICS, INC.

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7814
SEC CIK
0000320017
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165

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private 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
January 13, 2020 Filed Jan 14, 2020 21:18 UTC GrantRestricted Stock Units 18,292 $3.28 $59,997.76
Disclosure

SEC source: 0001741455-20-000002 · wf-form4_157903667938717.xml · nonDerivative · entry 1

Schwalm Cynthia · CIK 0001741455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,682

F1 · shares: Represents 18,292 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 13, 2021.

F2 · balance_after: Includes 18,292 unvested restricted stock units.

Read SEC document
January 13, 2020 Filed Jan 14, 2020 21:14 UTC GrantRestricted Stock Units 18,292 $3.28 $59,997.76
Disclosure

SEC source: 0001192621-20-000002 · wf-form4_157903647697000.xml · nonDerivative · entry 1

KLOSK STEVEN M · CIK 0001192621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,225

F1 · shares: Represents 18,292 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 13, 2021.

F2 · balance_after: Includes 18,292 unvested restricted stock units.

Read SEC document
January 13, 2020 Filed Jan 15, 2020 21:06 UTC
Talamo JosephSVP and CFO
GrantStock Options (Right to Buy) · Derivative 29,000 $0.00 Strike: $3.28 $0.00
Disclosure

SEC source: 0001524547-20-000005 · wf-form4_157912240103290.xml · derivative · entry 4

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,000

Underlying: Common Stock · 29,000 shares

Expires 2030-01-13

F3 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

Read SEC document
January 13, 2020 Filed Jan 15, 2020 21:06 UTC
Talamo JosephSVP and CFO
Tax withholdingCommon Stock 2,601 $3.28 $8,531.28
Disclosure

SEC source: 0001524547-20-000005 · wf-form4_157912240103290.xml · nonDerivative · entry 2

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,834

Read SEC document
January 13, 2020 Filed Jan 15, 2020 21:06 UTC
Talamo JosephSVP and CFO
GrantCommon Stock 19,000 $0.00 $0.00
Disclosure

SEC source: 0001524547-20-000005 · wf-form4_157912240103290.xml · nonDerivative · entry 1

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,435

F1 · shares: Represents 19,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

Read SEC document
January 13, 2020 Filed Jan 15, 2020 21:05 UTC
Mazzo David JDirector · Chief Executive Officer
GrantStock Options (Right to Buy) · Derivative 69,000 $0.00 Strike: $3.28 $0.00
Disclosure

SEC source: 0001334549-20-000005 · wf-form4_157912231463372.xml · derivative · entry 4

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,000

Underlying: Common Stock · 69,000 shares

Expires 2030-01-13

F3 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

Read SEC document
January 13, 2020 Filed Jan 15, 2020 21:05 UTC
Mazzo David JDirector · Chief Executive Officer
Tax withholdingCommon Stock 6,246 $3.28 $20,486.88
Disclosure

SEC source: 0001334549-20-000005 · wf-form4_157912231463372.xml · nonDerivative · entry 2

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,764

Read SEC document
January 13, 2020 Filed Jan 15, 2020 21:05 UTC
Mazzo David JDirector · Chief Executive Officer
GrantCommon Stock 46,000 $0.00 $0.00
Disclosure

SEC source: 0001334549-20-000005 · wf-form4_157912231463372.xml · nonDerivative · entry 1

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,010

F1 · shares: Represents 46,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

Read SEC document
January 13, 2020 Filed Jan 15, 2020 21:03 UTC GrantStock Options (Right to Buy) · Derivative 29,000 $0.00 Strike: $3.28 $0.00
Disclosure

SEC source: 0001583810-20-000006 · wf-form4_157912217471029.xml · derivative · entry 4

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,000

Underlying: Common Stock · 29,000 shares

Expires 2030-01-13

F3 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

Read SEC document
January 13, 2020 Filed Jan 15, 2020 21:03 UTC Tax withholdingCommon Stock 2,601 $3.28 $8,531.28
Disclosure

SEC source: 0001583810-20-000006 · wf-form4_157912217471029.xml · nonDerivative · entry 2

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,596

Read SEC document
January 13, 2020 Filed Jan 15, 2020 21:03 UTC GrantCommon Stock 19,000 $0.00 $0.00
Disclosure

SEC source: 0001583810-20-000006 · wf-form4_157912217471029.xml · nonDerivative · entry 1

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,197

F1 · shares: Represents 19,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

Read SEC document
January 08, 2020 Filed Jan 9, 2020 21:04 UTC
Mazzo David JDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,522 $2.83 $12,797.26
Disclosure

SEC source: 0001334549-20-000003 · wf-form4_157860387597878.xml · nonDerivative · entry 1

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,010

F1 · balance_after: Includes 43,575 unvested restricted stock.

Read SEC document
January 08, 2020 Filed Jan 9, 2020 21:06 UTC
Talamo JosephSVP and CFO
Tax withholdingCommon Stock 1,821 $2.83 $5,153.43
Disclosure

SEC source: 0001524547-20-000003 · wf-form4_157860399368878.xml · nonDerivative · entry 1

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,435

F1 · balance_after: Includes 15,325 unvested restricted stock.

Read SEC document
January 08, 2020 Filed Jan 9, 2020 21:02 UTC Tax withholdingCommon Stock 1,821 $2.83 $5,153.43
Disclosure

SEC source: 0001583810-20-000003 · wf-form4_157860372811104.xml · nonDerivative · entry 1

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,197

F1 · balance_after: Includes 15,325 unvested restricted stock.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:22 UTC
Talamo JosephSVP and CFO
GrantStock Options (Right to Buy) · Derivative 24,000 $0.00 Strike: $4.95 $0.00
Disclosure

SEC source: 0001524547-19-000009 · wf-form4_154767373106213.xml · derivative · entry 3

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2029-01-14

F3 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:22 UTC
Talamo JosephSVP and CFO
Tax withholdingCommon Stock 2,159 $0.00 $0.00
Disclosure

SEC source: 0001524547-19-000009 · wf-form4_154767373106213.xml · nonDerivative · entry 2

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,256

F2 · balance_after: Includes 18,650 unvested restricted stock awards.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:22 UTC
Talamo JosephSVP and CFO
GrantCommon Stock 16,000 $0.00 $0.00
Disclosure

SEC source: 0001524547-19-000009 · wf-form4_154767373106213.xml · nonDerivative · entry 1

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,415

F1 · shares: Represents 16,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:19 UTC
Mazzo David JDirector · Chief Executive Officer
GrantStock Options (Right to Buy) · Derivative 71,000 $0.00 Strike: $4.95 $0.00
Disclosure

SEC source: 0001334549-19-000011 · wf-form4_154767356597582.xml · derivative · entry 3

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,000

Underlying: Common Stock · 71,000 shares

Expires 2029-01-14

F3 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:19 UTC
Mazzo David JDirector · Chief Executive Officer
Tax withholdingCommon Stock 6,301 $0.00 $0.00
Disclosure

SEC source: 0001334549-19-000011 · wf-form4_154767356597582.xml · nonDerivative · entry 2

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,405

F2 · balance_after: Includes 51,900 unvested restricted stock awards.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:19 UTC
Mazzo David JDirector · Chief Executive Officer
GrantCommon Stock 47,000 $0.00 $0.00
Disclosure

SEC source: 0001334549-19-000011 · wf-form4_154767356597582.xml · nonDerivative · entry 1

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,706

F1 · shares: Represents 47,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:16 UTC GrantStock Options (Right to Buy) · Derivative 24,000 $0.00 Strike: $4.95 $0.00
Disclosure

SEC source: 0001583810-19-000008 · wf-form4_154767338741535.xml · derivative · entry 3

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2029-01-14

F3 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:16 UTC Tax withholdingCommon Stock 2,159 $0.00 $0.00
Disclosure

SEC source: 0001583810-19-000008 · wf-form4_154767338741535.xml · nonDerivative · entry 2

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,594

F2 · balance_after: Includes 35,044 unvested restricted stock awards.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:16 UTC GrantCommon Stock 16,000 $0.00 $0.00
Disclosure

SEC source: 0001583810-19-000008 · wf-form4_154767338741535.xml · nonDerivative · entry 1

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,753

F1 · shares: Represents 16,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:13 UTC GrantRestricted Stock Units 12,121 $4.95 $59,998.95
Disclosure

SEC source: 0001284500-19-000009 · wf-form4_154767318336251.xml · nonDerivative · entry 1

TRABER PETER G · CIK 0001284500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,733

F1 · shares: Represents 12,121 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 14, 2020.

F2 · balance_after: Includes 12,121 unvested restricted stock units.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:10 UTC GrantRestricted Stock Units 12,121 $4.95 $59,998.95
Disclosure

SEC source: 0001741455-19-000003 · wf-form4_154767302188946.xml · nonDerivative · entry 1

Schwalm Cynthia · CIK 0001741455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,390

F1 · shares: Represents 12,121 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 14, 2020.

F2 · balance_after: Includes 24,390 unvested restricted stock units.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:04 UTC GrantRestricted Stock Units 12,121 $4.95 $59,998.95
Disclosure

SEC source: 0001192621-19-000013 · wf-form4_154767267234471.xml · nonDerivative · entry 1

KLOSK STEVEN M · CIK 0001192621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,933

F1 · shares: Represents 12,121 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 14, 2020.

F2 · balance_after: Includes 12,121 unvested restricted stock units.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:07 UTC GrantRestricted Stock Units 12,121 $4.95 $59,998.95
Disclosure

SEC source: 0001078274-19-000009 · wf-form4_154767285392941.xml · nonDerivative · entry 1

MYERS STEVEN S · CIK 0001078274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,027

F1 · shares: Represents 12,121 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 14, 2020.

F2 · balance_after: Includes 12,121 unvested restricted stock units.

Read SEC document
January 14, 2019 Filed Jan 16, 2019 21:02 UTC GrantRestricted Stock Units 12,121 $4.95 $59,998.95
Disclosure

SEC source: 0001373585-19-000013 · wf-form4_154767252002651.xml · nonDerivative · entry 1

BROWN GREGORY B · CIK 0001373585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,583

F1 · shares: Represents 12,121 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 14, 2020.

F2 · balance_after: Includes 12,121 unvested restricted stock units.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 17:42 UTC
Talamo JosephSVP and CFO
Tax withholdingCommon Stock 1,795 $4.64 $8,328.80
Disclosure

SEC source: 0001524547-19-000006 · wf-form4_154714213392249.xml · nonDerivative · entry 1

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,415

F1 · balance_after: Includes 6,650 shares of unvested restricted stock.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 17:39 UTC
Mazzo David JDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,478 $4.64 $20,777.92
Disclosure

SEC source: 0001334549-19-000008 · wf-form4_154714197464567.xml · nonDerivative · entry 1

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,706

F1 · balance_after: Includes 16,650 shares of unvested restricted stock.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 17:36 UTC Tax withholdingCommon Stock 1,795 $4.64 $8,328.80
Disclosure

SEC source: 0001583810-19-000005 · wf-form4_154714179489038.xml · nonDerivative · entry 1

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,753

F1 · balance_after: Includes 39,438 shares of unvested restricted stock.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 17:28 UTC GrantCommon Stock 8,747 $0.00 $0.00
Disclosure

SEC source: 0001284500-19-000006 · wf-form4_154714127155595.xml · nonDerivative · entry 1

TRABER PETER G · CIK 0001284500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,612

F1 · shares: Represents 8,747 shares underlying restricted stock granted under the 2018 Equity Incentive Compensation Plan which were awarded on January 8, 2018 and which vested on January 8, 2019.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 17:24 UTC GrantCommon Stock 8,747 $0.00 $0.00
Disclosure

SEC source: 0001078274-19-000006 · wf-form4_154714104137179.xml · nonDerivative · entry 1

MYERS STEVEN S · CIK 0001078274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,906

F1 · shares: Represents 8,747 shares underlying restricted stock granted under the 2018 Equity Incentive Compensation Plan which were awarded on January 8, 2018 and which vested on January 8, 2019.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 17:14 UTC GrantCommon Stock 8,747 $0.00 $0.00
Disclosure

SEC source: 0001192621-19-000010 · wf-form4_154714047639341.xml · nonDerivative · entry 1

KLOSK STEVEN M · CIK 0001192621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,812

F1 · shares: Represents 8,747 shares underlying restricted stock granted under the 2018 Equity Incentive Compensation Plan which were awarded on January 8, 2018 and which vested on January 8, 2019.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 17:10 UTC GrantCommon Stock 8,747 $0.00 $0.00
Disclosure

SEC source: 0001373585-19-000010 · wf-form4_154714018596063.xml · nonDerivative · entry 1

BROWN GREGORY B · CIK 0001373585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,462

F1 · shares: Represents 8,747 shares underlying restricted stock granted under the 2018 Equity Incentive Compensation Plan which were awarded on January 8, 2018 and which vested on January 8, 2019.

Read SEC document
November 07, 2018 Filed Nov 8, 2018 21:19 UTC GrantRestricted Stock Units · Derivative 12,269 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001741455-18-000014 · wf-form4_154171193038892.xml · derivative · entry 1

Schwalm Cynthia · CIK 0001741455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,269

Underlying: Common Stock · 12,269 shares

Expires 2028-11-07

F1 · security: Represents 12,269 shares of restricted stock units granted under the 2018 Equity Incentive Compensation Plan. The shares of restricted stock units will vest in annual installments over a three-year period with the initial vesting on November 7, 2019.

Read SEC document
June 20, 2018 Filed Jun 21, 2018 20:30 UTC
Talamo JosephSVP and CFO
Tax withholdingCommon Stock 6,407 $8.64 $55,356.48
Disclosure

SEC source: 0000320017-18-000078 · wf-form4_152961301286128.xml · nonDerivative · entry 2

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,210

F2 · balance_after: Includes 9,975 shares of unvested restricted stock.

Read SEC document
June 20, 2018 Filed Jun 21, 2018 20:30 UTC
Talamo JosephSVP and CFO
GrantCommon Stock 13,300 $8.64 $114,912.00
Disclosure

SEC source: 0000320017-18-000078 · wf-form4_152961301286128.xml · nonDerivative · entry 1

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,617

F1 · balance_after: Reflects 13,300 in performance rights, the criteria for which was satisfied on April 6, 2018 and which vested in full on June 20, 2018, when the shareholders voted to approve the new 2018 Equity Incentive Compensation Plan.

Read SEC document
June 20, 2018 Filed Jun 21, 2018 20:22 UTC
Mazzo David JDirector · Chief Executive Officer
Tax withholdingCommon Stock 16,091 $8.64 $139,026.24
Disclosure

SEC source: 0000320017-18-000074 · wf-form4_152961250303775.xml · nonDerivative · entry 2

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,453

F2 · balance_after: Includes 24,975 shares of unvested restricted stock.

Read SEC document
June 20, 2018 Filed Jun 21, 2018 20:22 UTC
Mazzo David JDirector · Chief Executive Officer
GrantCommon Stock 33,300 $8.64 $287,712.00
Disclosure

SEC source: 0000320017-18-000074 · wf-form4_152961250303775.xml · nonDerivative · entry 1

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,544

F1 · balance_after: Reflects 33,300 in performance rights, the criteria for which was satisfied on April 6, 2018 and which vested in full on June 20, 2018, when the shareholders voted to approve the new 2018 Equity Incentive Compensation Plan.

Read SEC document
June 20, 2018 Filed Jun 21, 2018 20:25 UTC Tax withholdingCommon Stock 6,407 $8.64 $55,356.48
Disclosure

SEC source: 0000320017-18-000076 · wf-form4_152961274142931.xml · nonDerivative · entry 2

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,982

F2 · balance_after: Includes 42,763 shares of unvested restricted stock.

Read SEC document
June 20, 2018 Filed Jun 21, 2018 20:25 UTC GrantCommon Stock 13,300 $8.64 $114,912.00
Disclosure

SEC source: 0000320017-18-000076 · wf-form4_152961274142931.xml · nonDerivative · entry 1

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,389

F1 · balance_after: Reflects 13,300 in performance rights, the criteria for which was satisfied on April 6, 2018 and which vested in full on June 20, 2018, when the shareholders voted to approve the new 2018 Equity Incentive Compensation Plan.

Read SEC document
April 06, 2018 Filed Apr 10, 2018 23:00 UTC GrantPerformance Rights · Derivative 13,300 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-020005 · tv490824_4.xml · derivative · entry 1

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,300

Underlying: Common Stock · 13,300 shares

Expires not disclosed

F1 · derivative.exercise_price: Each performance right represents a contingent right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The performance criteria was satisfied on April 6, 2018 and the performance right shall vest in full on the date of stockholder approval of a new or amended equity plan provided that such approval is obtained on or prior to August 30, 2018 and if not obtained by such date this performance right shall terminate (the "Vesting Date").

F2 · derivative.expiration_date: The performance criteria was satisfied on April 6, 2018 and the performance right shall vest in full on the date of stockholder approval of a new or amended equity plan provided that such approval is obtained on or prior to August 30, 2018 and if not obtained by such date this performance right shall terminate (the "Vesting Date").

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April 06, 2018 Filed Apr 10, 2018 22:59 UTC
Mazzo David JDirector · Chief Executive Officer
GrantPerformance Rights · Derivative 33,300 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-020002 · tv490823_4.xml · derivative · entry 1

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,300

Underlying: Common Stock · 33,300 shares

Expires not disclosed

F1 · derivative.exercise_price: Each performance right represents a contingent right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The performance criteria was satisfied on April 6, 2018 and the performance right shall vest in full on the date of stockholder approval of a new or amended equity plan provided that such approval is obtained on or prior to August 30, 2018 and if not obtained by such date this performance right shall terminate (the "Vesting Date").

F2 · derivative.expiration_date: The performance criteria was satisfied on April 6, 2018 and the performance right shall vest in full on the date of stockholder approval of a new or amended equity plan provided that such approval is obtained on or prior to August 30, 2018 and if not obtained by such date this performance right shall terminate (the "Vesting Date").

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April 06, 2018 Filed Apr 10, 2018 22:57 UTC
Talamo JosephSVP and CFO
GrantPerformance Rights · Derivative 13,300 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-020001 · tv490822_4.xml · derivative · entry 1

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,300

Underlying: Common Stock · 13,300 shares

Expires not disclosed

F1 · derivative.exercise_price: Each performance right represents a contingent right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The performance criteria was satisfied on April 6, 2018 and the performance right shall vest in full on the date of stockholder approval of a new or amended equity plan provided that such approval is obtained on or prior to August 30, 2018 and if not obtained by such date this performance right shall terminate (the "Vesting Date").

F2 · derivative.expiration_date: The performance criteria was satisfied on April 6, 2018 and the performance right shall vest in full on the date of stockholder approval of a new or amended equity plan provided that such approval is obtained on or prior to August 30, 2018 and if not obtained by such date this performance right shall terminate (the "Vesting Date").

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January 08, 2018 Filed Jan 10, 2018 21:06 UTC GrantRestricted Stock Units · Derivative 8,747 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-001701 · tv483051_4.xml · derivative · entry 1

MYERS STEVEN S · CIK 0001078274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,747

Underlying: Common Stock · 8,747 shares

Expires 2028-01-08

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in full on the date that is one year from the date of grant.

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January 08, 2018 Filed Jan 10, 2018 21:07 UTC
Mazzo David JDirector · Chief Executive Officer
GrantStock Option · Derivative 50,000 $0.00 Strike: $3.79 $0.00
Disclosure

SEC source: 0001144204-18-001704 · tv483053_4.xml · derivative · entry 3

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2028-01-08

F3 · derivative.exercise_date: One-third of the shares underlying the stock options vest immediately on the grant date, with an additional one-third vesting on each of the first and second anniversaries of the grant date.

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January 08, 2018 Filed Jan 10, 2018 21:07 UTC
Mazzo David JDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,462 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-001704 · tv483053_4.xml · nonDerivative · entry 2

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,244

F2 · balance_after: Includes 67,269 shares of unvested restricted stock.

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January 08, 2018 Filed Jan 10, 2018 21:07 UTC
Mazzo David JDirector · Chief Executive Officer
GrantCommon Stock 33,300 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-001704 · tv483053_4.xml · nonDerivative · entry 1

Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,706

F1 · shares: Represents 33,300 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. The restricted stock vests in three equal installments, with one-third of the shares vesting on the date of grant and an additional one-third vesting on each of the first and second anniversaries of the grant date.

F2 · balance_after: Includes 67,269 shares of unvested restricted stock.

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January 08, 2018 Filed Jan 10, 2018 21:07 UTC GrantStock Option · Derivative 20,000 $0.00 Strike: $3.79 $0.00
Disclosure

SEC source: 0001144204-18-001705 · tv483054_4.xml · derivative · entry 3

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2028-01-08

F3 · derivative.exercise_date: One-third of the shares underlying the stock options vest immediately on the grant date, with an additional one-third vesting on each of the first and second anniversaries of the grant date.

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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.