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Nasdaq · USD

LSTA

LISATA THERAPEUTICS, INC.

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7814
SEC CIK
0000320017
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165

Last 12 months

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
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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 08, 2018 Filed Jan 10, 2018 21:07 UTC Tax withholdingCommon Stock 1,803 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-001705 · tv483054_4.xml · nonDerivative · entry 2

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,089

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

Read SEC document
January 08, 2018 Filed Jan 10, 2018 21:07 UTC GrantCommon Stock 13,300 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-001705 · tv483054_4.xml · nonDerivative · entry 1

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,892

F1 · shares: Represents 13,300 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 42,763 shares of unvested restricted stock.

Read SEC document
January 08, 2018 Filed Jan 10, 2018 21:06 UTC
Talamo JosephSVP and CFO
GrantStock Option · Derivative 20,000 $0.00 Strike: $3.79 $0.00
Disclosure

SEC source: 0001144204-18-001703 · tv483052_4.xml · derivative · entry 3

Talamo Joseph · CIK 0001524547 · SVP and CFO

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.

Read SEC document
January 08, 2018 Filed Jan 10, 2018 21:06 UTC
Talamo JosephSVP and CFO
Tax withholdingCommon Stock 1,803 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-001703 · tv483052_4.xml · nonDerivative · entry 2

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,317

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

Read SEC document
January 08, 2018 Filed Jan 10, 2018 21:06 UTC
Talamo JosephSVP and CFO
GrantCommon Stock 13,300 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-001703 · tv483052_4.xml · nonDerivative · entry 1

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,120

F1 · shares: Represents 13,300 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 9,975 shares of unvested restricted stock.

Read SEC document
January 08, 2018 Filed Jan 10, 2018 21:05 UTC GrantRestricted Stock Units · Derivative 8,747 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-001699 · tv483050_4.xml · derivative · entry 1

KLOSK STEVEN M · CIK 0001192621 · 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.

Read SEC document
January 08, 2018 Filed Jan 10, 2018 21:05 UTC GrantRestricted Stock Units · Derivative 8,747 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-001697 · tv483049_4.xml · derivative · entry 1

BROWN GREGORY B · CIK 0001373585 · 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.

Read SEC document
January 08, 2018 Filed Jan 10, 2018 21:05 UTC GrantRestricted Stock Units · Derivative 8,747 $0.00 $0.00
Disclosure

SEC source: 0001144204-18-001693 · tv483048_4.xml · derivative · entry 1

TRABER PETER G · CIK 0001284500 · 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.

Read SEC document
November 01, 2017 Filed Nov 1, 2017 21:07 UTC GrantCommon Stock 49,182 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-055543 · tv478362_4.xml · nonDerivative · entry 1

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,876

F1 · security: The shares are restricted. The restricted shares fully vest in three equal installments on the date of grant and on the first and second anniversaries of the date of grant.

Read SEC document
May 18, 2017 Filed May 22, 2017 20:30 UTC
Mazzo David JDirector · Chief Executive Officer
Tax withholdingCommon Stock 17,778 $5.13 $91,201.14
Disclosure

SEC source: 0001144204-17-028886 · v467616_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,551

Read SEC document
May 18, 2017 Filed May 22, 2017 20:29 UTC Tax withholdingCommon Stock 6,248 $5.13 $32,052.24
Disclosure

SEC source: 0001144204-17-028883 · v467615_4.xml · nonDerivative · entry 1

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,694

Read SEC document
May 18, 2017 Filed May 22, 2017 20:28 UTC
Talamo JosephSVP and CFO
Tax withholdingCommon Stock 5,982 $5.13 $30,687.66
Disclosure

SEC source: 0001144204-17-028881 · v467614_4.xml · nonDerivative · entry 1

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,619

Read SEC document
May 18, 2017 Filed May 22, 2017 20:27 UTC
Preti Robert ASee Remarks
Tax withholdingCommon Stock 8,842 $5.13 $45,359.46
Disclosure

SEC source: 0001144204-17-028879 · v467613_4.xml · nonDerivative · entry 1

Preti Robert A · CIK 0001510186 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,786

Read SEC document
May 16, 2017 Filed May 18, 2017 21:01 UTC GrantCommon Stock 2,565 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-028455 · v467410_4.xml · nonDerivative · entry 1

BROWN GREGORY B · CIK 0001373585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,715

F1 · shares: Represents an award of 2,565 Restricted Stock Units granted under the Issuer's 2015 Equity Compensation Plan that will vest on May 16, 2018. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · balance_after: Includes 2,500 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest over a three-year period beginning on October 10, 2017, 1,650 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018 and 2,565 shares of unvested Restricted Stock Units granted under the Issuer's 2015 Equity Compensation Plan that will vest on May 16, 2018.

Read SEC document
May 16, 2017 Filed May 18, 2017 21:00 UTC GrantCommon Stock 2,565 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-028454 · v467409_4.xml · nonDerivative · entry 1

TRABER PETER G · CIK 0001284500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,865

F1 · shares: Represents an award of 2,565 Restricted Stock Units granted under the Issuer's 2015 Equity Compensation Plan that will vest on May 16, 2018. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · balance_after: Includes 750 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on June 22, 2017, 1,650 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018, 2,565 shares of unvested Restricted Stock Units granted under the Issuer's 2015 Equity Compensation Plan that will vest on May 16, 2018 and 312 shares of unvested restricted stock granted under the Issuer's 2009 Equity Compensation Plan that will vest quarterly through June 2, 2018.

Read SEC document
May 16, 2017 Filed May 18, 2017 21:00 UTC GrantCommon Stock 2,565 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-028453 · v467408_4.xml · nonDerivative · entry 1

KLOSK STEVEN M · CIK 0001192621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,065

F1 · shares: Represents an award of 2,565 Restricted Stock Units granted under the Issuer's 2015 Equity Compensation Plan that will vest on May 16, 2018. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · balance_after: Includes 750 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on June 22, 2017, 1,650 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018, 2,565 shares of unvested Restricted Stock Units granted under the Issuer's 2015 Equity Compensation Plan that will vest on May 16, 2018 and 312 shares of unvested restricted stock granted under the Issuer's 2009 Equity Compensation Plan that will vest quarterly through June 2, 2018.

Read SEC document
May 16, 2017 Filed May 18, 2017 20:59 UTC
MYERS STEVEN SDirector · See Remarks
GrantCommon Stock 2,565 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-028452 · v467406_4.xml · nonDerivative · entry 1

MYERS STEVEN S · CIK 0001078274 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,159

F1 · shares: Represents an award of 2,565 Restricted Stock Units granted under the Issuer's 2015 Equity Compensation Plan that will vest on May 16, 2018. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · balance_after: Includes 750 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on June 22, 2017, 1,650 shares of unvested restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018, 2,565 shares of unvested Restricted Stock Units granted under the Issuer's 2015 Equity Compensation Plan that will vest on May 16, 2018 and 312 shares of unvested restricted stock granted under the Issuer's 2009 Equity Compensation Plan that will vest quarterly through June 2, 2018.

Read SEC document
April 25, 2017 Filed Apr 27, 2017 20:23 UTC
Talamo JosephSVP and CFO
Tax withholdingCommon Stock 214 $4.74 $1,014.36
Disclosure

SEC source: 0001144204-17-022666 · v465292_form4.xml · nonDerivative · entry 1

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,601

F1 · balance_after: Includes 14,003 shares of unvested restricted stock.

Read SEC document
April 25, 2017 Filed Apr 27, 2017 20:19 UTC
Mazzo David JDirector · Chief Executive Officer
Tax withholdingCommon Stock 690 $4.74 $3,270.60
Disclosure

SEC source: 0001144204-17-022656 · v465291_form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,329

F1 · balance_after: Includes 36,785 shares of unvested restricted stock.

Read SEC document
April 25, 2017 Filed Apr 27, 2017 20:19 UTC Tax withholdingCommon Stock 224 $4.74 $1,061.76
Disclosure

SEC source: 0001144204-17-022654 · v465290_form4.xml · nonDerivative · entry 1

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,942

F1 · balance_after: Includes 13,300 shares of unvested restricted stock.

Read SEC document
April 25, 2017 Filed Apr 27, 2017 20:18 UTC
Preti Robert ADirector · See Remarks
Tax withholdingCommon Stock 247 $4.74 $1,170.78
Disclosure

SEC source: 0001144204-17-022653 · v465289_form4.xml · nonDerivative · entry 1

Preti Robert A · CIK 0001510186 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,628

F1 · balance_after: Includes 17,050 shares of unvested restricted stock.

Read SEC document
February 07, 2017 Filed Feb 8, 2017 21:15 UTC
Wei EricDirector
SaleCommon Stock 6,575 $4.77 $31,375.24
Disclosure

SEC source: 0001144204-17-006741 · v458765_4.xml · nonDerivative · entry 1

Wei Eric · CIK 0001368570 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 172,223

F1 · shares: The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016.

F2 · ownership.nature: Following the reported transactions, 171,023 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager").

F3 · ownership.nature: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.

Read SEC document
February 06, 2017 Filed Feb 7, 2017 00:47 UTC
Wei EricDirector
SaleCommon Stock 500 $4.75 $2,375.00
Disclosure

SEC source: 0001144204-17-006290 · v458527_4.xml · nonDerivative · entry 4

Wei Eric · CIK 0001368570 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 178,798

F1 · shares: The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016.

F2 · ownership.nature: Following the reported transactions, 177,598 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager").

F3 · ownership.nature: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.

Read SEC document
February 03, 2017 Filed Feb 7, 2017 00:47 UTC
Wei EricDirector
SaleCommon Stock 1,525 $4.76 $7,256.26
Disclosure

SEC source: 0001144204-17-006290 · v458527_4.xml · nonDerivative · entry 3

Wei Eric · CIK 0001368570 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 179,298

F1 · shares: The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016.

F2 · ownership.nature: Following the reported transactions, 177,598 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager").

F3 · ownership.nature: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.

Read SEC document
February 02, 2017 Filed Feb 7, 2017 00:47 UTC
Wei EricDirector
SaleCommon Stock 1,400 $4.75 $6,650.98
Disclosure

SEC source: 0001144204-17-006290 · v458527_4.xml · nonDerivative · entry 2

Wei Eric · CIK 0001368570 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 180,823

F1 · shares: The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016.

F2 · ownership.nature: Following the reported transactions, 177,598 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager").

F3 · ownership.nature: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.

Read SEC document
February 02, 2017 Filed Feb 7, 2017 00:47 UTC
Wei EricDirector
SaleCommon Stock 5,000 $4.51 $22,547.00
Disclosure

SEC source: 0001144204-17-006290 · v458527_4.xml · nonDerivative · entry 1

Wei Eric · CIK 0001368570 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 182,223

F1 · shares: The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016.

F2 · ownership.nature: Following the reported transactions, 177,598 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager").

F3 · ownership.nature: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.

Read SEC document
January 25, 2017 Filed Jan 27, 2017 22:00 UTC Tax withholdingCommon Stock 249 $3.87 $963.63
Disclosure

SEC source: 0001144204-17-004355 · v457627_4.xml · nonDerivative · entry 1

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,164

F1 · balance_after: Includes 13,771 shares of unvested restricted stock.

Read SEC document
January 25, 2017 Filed Jan 27, 2017 22:06 UTC
Mazzo David JDirector · Chief Executive Officer
Tax withholdingCommon Stock 761 $3.87 $2,945.07
Disclosure

SEC source: 0001144204-17-004362 · v457630_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,019

F1 · balance_after: Includes 38,613 shares of unvested restricted stock.

Read SEC document
January 25, 2017 Filed Jan 27, 2017 22:05 UTC
Talamo JosephSee Remarks
Tax withholdingCommon Stock 239 $3.87 $924.93
Disclosure

SEC source: 0001144204-17-004360 · v457629_4.xml · nonDerivative · entry 1

Talamo Joseph · CIK 0001524547 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,812

F1 · balance_after: Includes 14,613 shares of unvested restricted stock.

Read SEC document
January 25, 2017 Filed Jan 27, 2017 22:03 UTC
Preti Robert ADirector · See Remarks
Tax withholdingCommon Stock 272 $3.87 $1,052.64
Disclosure

SEC source: 0001144204-17-004358 · v457628_4.xml · nonDerivative · entry 1

Preti Robert A · CIK 0001510186 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,870

F1 · balance_after: Includes 17,518 shares of unvested restricted stock.

Read SEC document
January 09, 2017 Filed Jan 11, 2017 22:50 UTC
Mazzo David JDirector · Chief Executive Officer
GrantStock Option · Derivative 50,000 $0.00 Strike: $3.54 $0.00
Disclosure

SEC source: 0001144204-17-001862 · v456764_4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-01-09

F3 · security: 25% of the shares underlying the stock options vest immediately on the grant date and the remaining 75% of the shares underlying the stock options will vest annually over the following three years.

Read SEC document
January 09, 2017 Filed Jan 11, 2017 22:50 UTC
Mazzo David JDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,758 $3.54 $16,843.32
Disclosure

SEC source: 0001144204-17-001862 · v456764_4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,780

F2 · balance_after: Includes 39,943 shares of unvested restricted stock.

Read SEC document
January 09, 2017 Filed Jan 11, 2017 22:50 UTC
Mazzo David JDirector · Chief Executive Officer
GrantCommon Stock 33,300 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-001862 · v456764_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,538

F1 · shares: Represents 33,300 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. 25% of the shares of restricted stock vest immediately on the grant date and the remaining 75% of the shares of restricted stock will vest annually over the following three years.

F2 · balance_after: Includes 39,943 shares of unvested restricted stock.

Read SEC document
January 09, 2017 Filed Jan 11, 2017 22:48 UTC
Talamo JosephSVP and CFO
GrantStock Option · Derivative 20,000 $0.00 Strike: $3.54 $0.00
Disclosure

SEC source: 0001144204-17-001860 · v456766_4.xml · derivative · entry 3

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-01-09

F3 · security: 25% of the shares underlying the stock options vest immediately on the grant date and the remaining 75% of the shares underlying the stock options will vest annually over the following three years.

Read SEC document
January 09, 2017 Filed Jan 11, 2017 22:48 UTC
Talamo JosephSVP and CFO
Tax withholdingCommon Stock 1,672 $3.54 $5,918.88
Disclosure

SEC source: 0001144204-17-001860 · v456766_4.xml · nonDerivative · entry 2

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,051

F2 · balance_after: Includes 15,088 shares of unvested restricted stock.

Read SEC document
January 09, 2017 Filed Jan 11, 2017 22:48 UTC
Talamo JosephSVP and CFO
GrantCommon Stock 13,300 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-001860 · v456766_4.xml · nonDerivative · entry 1

Talamo Joseph · CIK 0001524547 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,723

F1 · shares: Represents 13,300 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. 25% of the shares of restricted stock vest immediately on the grant date and the remaining 75% of the shares of restricted stock will vest annually over the following three years.

F2 · balance_after: Includes 15,088 shares of unvested restricted stock.

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January 09, 2017 Filed Jan 11, 2017 22:47 UTC GrantStock Option · Derivative 20,000 $0.00 Strike: $3.54 $0.00
Disclosure

SEC source: 0001144204-17-001858 · v456765_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 2027-01-09

F3 · security: 25% of the shares underlying the stock options vest immediately on the grant date and the remaining 75% of the shares underlying the stock options will vest annually over the following three years.

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January 09, 2017 Filed Jan 11, 2017 22:47 UTC Tax withholdingCommon Stock 1,738 $3.54 $6,152.52
Disclosure

SEC source: 0001144204-17-001858 · v456765_4.xml · nonDerivative · entry 2

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,413

F2 · balance_after: Includes 14,246 shares of unvested restricted stock.

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January 09, 2017 Filed Jan 11, 2017 22:47 UTC GrantCommon Stock 13,300 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-001858 · v456765_4.xml · nonDerivative · entry 1

LOSORDO DOUGLAS W · CIK 0001583810 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,151

F1 · shares: Represents 13,300 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. 25% of the shares of restricted stock vest immediately on the grant date and the remaining 75% of the shares of restricted stock will vest annually over the following three years.

F2 · balance_after: Includes 14,246 shares of unvested restricted stock.

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January 09, 2017 Filed Jan 11, 2017 22:48 UTC
Preti Robert ADirector · See Remarks
GrantStock Option · Derivative 27,500 $0.00 Strike: $3.54 $0.00
Disclosure

SEC source: 0001144204-17-001859 · v456763_4.xml · derivative · entry 3

Preti Robert A · CIK 0001510186 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

Underlying: Common Stock · 27,500 shares

Expires 2027-01-09

F3 · security: 25% of the shares underlying the stock options vest immediately on the grant date and the remaining 75% of the shares underlying the stock options will vest annually over the following three years.

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January 09, 2017 Filed Jan 11, 2017 22:48 UTC
Preti Robert ADirector · See Remarks
Tax withholdingCommon Stock 2,482 $3.54 $8,786.28
Disclosure

SEC source: 0001144204-17-001859 · v456763_4.xml · nonDerivative · entry 2

Preti Robert A · CIK 0001510186 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,142

F2 · balance_after: Includes 17,993 shares of unvested restricted stock.

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January 09, 2017 Filed Jan 11, 2017 22:48 UTC
Preti Robert ADirector · See Remarks
GrantCommon Stock 18,300 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-001859 · v456763_4.xml · nonDerivative · entry 1

Preti Robert A · CIK 0001510186 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,624

F1 · shares: Represents 18,300 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. 25% of the shares of restricted stock vest immediately on the grant date and the remaining 75% of the shares of restricted stock will vest annually over the following three years.

F2 · balance_after: Includes 17,993 shares of unvested restricted stock.

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January 09, 2017 Filed Jan 31, 2017 23:51 UTC
MYERS STEVEN SDirector · See Remarks
GrantOptions to Purchase Common Stock · Derivative 2,750 $0.00 Strike: $3.54 $0.00
Disclosure

SEC source: 0001144204-17-005183 · v458002_4.xml · derivative · entry 5

MYERS STEVEN S · CIK 0001078274 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750

Underlying: Common Stock · 2,750 shares

Expires 2027-01-09

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January 09, 2017 Filed Jan 31, 2017 23:51 UTC
MYERS STEVEN SDirector · See Remarks
GrantCommon Stock 1,650 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-005183 · v458002_4.xml · nonDerivative · entry 1

MYERS STEVEN S · CIK 0001078274 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,594

F1 · shares: Represents 1,650 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018.

F2 · balance_after: Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans.

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January 09, 2017 Filed Jan 31, 2017 23:51 UTC
Wei EricDirector
GrantOptions to Purchase Common Stock · Derivative 2,750 $0.00 Strike: $3.54 $0.00
Disclosure

SEC source: 0001144204-17-005185 · v458004_4.xml · derivative · entry 3

Wei Eric · CIK 0001368570 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750

Underlying: Common Stock · 2,750 shares

Expires 2027-01-09

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January 09, 2017 Filed Jan 31, 2017 23:51 UTC
Wei EricDirector
GrantCommon Stock 1,650 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-005185 · v458004_4.xml · nonDerivative · entry 1

Wei Eric · CIK 0001368570 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,300

F1 · shares: Represents 1,650 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018.

F2 · balance_after: Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans.

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January 09, 2017 Filed Jan 31, 2017 23:51 UTC GrantOptions to Purchase Common Stock · Derivative 2,750 $0.00 Strike: $3.54 $0.00
Disclosure

SEC source: 0001144204-17-005184 · v458003_4.xml · derivative · entry 2

TRABER PETER G · CIK 0001284500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750

Underlying: Common Stock · 2,750 shares

Expires 2027-01-09

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January 09, 2017 Filed Jan 31, 2017 23:51 UTC GrantCommon Stock 1,650 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-005184 · v458003_4.xml · nonDerivative · entry 1

TRABER PETER G · CIK 0001284500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,300

F1 · shares: Represents 1,650 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018.

F2 · balance_after: Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans.

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January 09, 2017 Filed Jan 31, 2017 23:50 UTC GrantOptions to Purchase Common Stock · Derivative 2,750 $0.00 Strike: $3.54 $0.00
Disclosure

SEC source: 0001144204-17-005182 · v458000_4.xml · derivative · entry 2

KLOSK STEVEN M · CIK 0001192621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750

Underlying: Common Stock · 2,750 shares

Expires 2027-01-09

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January 09, 2017 Filed Jan 31, 2017 23:50 UTC GrantCommon Stock 1,650 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-005182 · v458000_4.xml · nonDerivative · entry 1

KLOSK STEVEN M · CIK 0001192621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

F1 · shares: Represents 1,650 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018.

F2 · balance_after: Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans.

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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.