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MMI

Marcus & Millichap, Inc.

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4846
SEC CIK
0001578732
Parsed reports
448

Last 12 months

Inside the activity.

0 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202601
Apr 202600
May 202600
Jun 202601
Jul 202600
Aug 202600
Sep 202600
Oct 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
March 10, 2021 Filed Mar 12, 2021 22:41 UTC
Nadji HessamDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 18,400 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-020251 · doc4.xml · derivative · entry 5

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,200

Underlying: Common Stock · 18,400 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The Reporting Person was granted 92,000 restricted stock units, which vest in five equal annual installments beginning March 10, 2020.

F3 · derivative.expiration_date: The Reporting Person was granted 92,000 restricted stock units, which vest in five equal annual installments beginning March 10, 2020.

Read SEC document
March 10, 2021 Filed Mar 12, 2021 22:41 UTC
Nadji HessamDirector · Chief Executive Officer
Tax withholdingCommon Stock 9,123 $33.38 $304,525.74
Disclosure

SEC source: 0001209191-21-020251 · doc4.xml · nonDerivative · entry 4

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,673

F2 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on March 10, 2021.

Read SEC document
March 10, 2021 Filed Mar 12, 2021 22:41 UTC
Nadji HessamDirector · Chief Executive Officer
Exercise / conversionCommon Stock 18,400 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-020251 · doc4.xml · nonDerivative · entry 3

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,796

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

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

Read SEC document
March 10, 2021 Filed Mar 12, 2021 22:41 UTC
Nadji HessamDirector · Chief Executive Officer
Tax withholdingCommon Stock 9,123 $33.38 $304,525.74
Disclosure

SEC source: 0001209191-21-020251 · doc4.xml · nonDerivative · entry 2

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,396

F2 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on March 10, 2021.

Read SEC document
March 10, 2021 Filed Mar 12, 2021 22:41 UTC
Nadji HessamDirector · Chief Executive Officer
Exercise / conversionCommon Stock 18,400 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-020251 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,519

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

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

Read SEC document
March 09, 2021 Filed Mar 11, 2021 23:54 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 1,000 $34.05 $34,053.00
Disclosure

SEC source: 0001209191-21-019941 · doc4.xml · nonDerivative · entry 1

MARCUS GEORGE M · CIK 0000939706 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 14,732,098

F1 · price: The range of prices for the shares of Common Stock is from $34.05 to $34.075. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

F2 · ownership.nature: Mr. Marcus is the sole member and manager of Ionian Investments Manager LLC, which is the non-member manager of Phoenix, and beneficially owns 98.9% of its membership interests. Mr. Marcus has voting and investment power with respect to the shares held by Phoenix. Mr. Marcus disclaims beneficial ownership of shares held by Phoenix except to the extent of his pecuniary interest therein.

Read SEC document
March 09, 2021 Filed Mar 11, 2021 23:52 UTC SaleCommon Stock 1,000 $34.05 $34,053.00
Disclosure

SEC source: 0001209191-21-019939 · doc4.xml · nonDerivative · entry 1

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,732,098

F1 · price: The range of prices for the shares of Common Stock is from $34.05 to $34.075. The reporting person undertakes that it will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
March 03, 2021 Filed Mar 6, 2021 00:10 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 10,607 $37.52 $397,927.97
Disclosure

SEC source: 0001209191-21-018386 · doc4.xml · nonDerivative · entry 1

MARCUS GEORGE M · CIK 0000939706 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 14,733,098

F1 · price: The range of prices for the shares of Common Stock is from $37.46 to $37.62. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

F2 · ownership.nature: Mr. Marcus is the sole member and manager of Ionian Investments Manager LLC, which is the non-member manager of Phoenix, and beneficially owns 98.9% of its membership interests. Mr. Marcus has voting and investment power with respect to the shares held by Phoenix. Mr. Marcus disclaims beneficial ownership of shares held by Phoenix except to the extent of his pecuniary interest therein.

Read SEC document
March 03, 2021 Filed Mar 6, 2021 00:09 UTC SaleCommon Stock 10,607 $37.52 $397,927.97
Disclosure

SEC source: 0001209191-21-018384 · doc4.xml · nonDerivative · entry 1

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,733,098

F1 · price: The range of prices for the shares of Common Stock is from $37.46 to $37.62. The reporting person undertakes that it will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
March 02, 2021 Filed Mar 4, 2021 23:00 UTC
Louie Martin E.SVP/Corporate Initiatives
SaleCommon Stock 10,000 $37.99 $379,900.00
Disclosure

SEC source: 0001209191-21-017969 · doc4.xml · nonDerivative · entry 1

Louie Martin E. · CIK 0001588207 · SVP/Corporate Initiatives

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,219

Read SEC document
March 01, 2021 Filed Mar 2, 2021 23:47 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 24,425 $38.41 $938,252.18
Disclosure

SEC source: 0001209191-21-016459 · doc4.xml · nonDerivative · entry 3

MARCUS GEORGE M · CIK 0000939706 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 14,743,705

F3 · price: The range of prices for the shares of Common Stock is from $38.23 to $38.72. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

F2 · ownership.nature: Mr. Marcus is the sole member and manager of Ionian Investments Manager LLC, which is the non-member manager of Phoenix, and beneficially owns 98.9% of its membership interests. Mr. Marcus has voting and investment power with respect to the shares held by Phoenix. Mr. Marcus disclaims beneficial ownership of shares held by Phoenix except to the extent of his pecuniary interest therein.

Read SEC document
March 01, 2021 Filed Mar 2, 2021 23:45 UTC SaleCommon Stock 24,425 $38.41 $938,252.18
Disclosure

SEC source: 0001209191-21-016457 · doc4.xml · nonDerivative · entry 3

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,743,705

F2 · price: The range of prices for the shares of Common Stock is from $38.23 to $38.72. The reporting person undertakes that it will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
March 01, 2021 Filed Mar 12, 2021 22:48 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 147 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-020258 · doc4.xml · derivative · entry 10

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 588

Underlying: Common Stock · 147 shares

Expires not disclosed

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

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

F7 · derivative.exercise_date: The Reporting Person was granted 735 restricted stock units, which vest in five equal annual installments beginning March 10, 2021.

F7 · derivative.expiration_date: The Reporting Person was granted 735 restricted stock units, which vest in five equal annual installments beginning March 10, 2021.

Read SEC document
February 26, 2021 Filed Mar 2, 2021 23:47 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 500 $38.50 $19,250.00
Disclosure

SEC source: 0001209191-21-016459 · doc4.xml · nonDerivative · entry 2

MARCUS GEORGE M · CIK 0000939706 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 14,768,130

F2 · ownership.nature: Mr. Marcus is the sole member and manager of Ionian Investments Manager LLC, which is the non-member manager of Phoenix, and beneficially owns 98.9% of its membership interests. Mr. Marcus has voting and investment power with respect to the shares held by Phoenix. Mr. Marcus disclaims beneficial ownership of shares held by Phoenix except to the extent of his pecuniary interest therein.

Read SEC document
February 26, 2021 Filed Mar 2, 2021 23:47 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 18,400 $37.96 $698,465.84
Disclosure

SEC source: 0001209191-21-016459 · doc4.xml · nonDerivative · entry 1

MARCUS GEORGE M · CIK 0000939706 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 14,768,630

F1 · price: he range of prices for the shares of Common Stock is from $37.50 to $38.46. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

F2 · ownership.nature: Mr. Marcus is the sole member and manager of Ionian Investments Manager LLC, which is the non-member manager of Phoenix, and beneficially owns 98.9% of its membership interests. Mr. Marcus has voting and investment power with respect to the shares held by Phoenix. Mr. Marcus disclaims beneficial ownership of shares held by Phoenix except to the extent of his pecuniary interest therein.

Read SEC document
February 26, 2021 Filed Mar 2, 2021 23:45 UTC SaleCommon Stock 500 $38.50 $19,250.00
Disclosure

SEC source: 0001209191-21-016457 · doc4.xml · nonDerivative · entry 2

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,768,130

Read SEC document
February 26, 2021 Filed Mar 2, 2021 23:45 UTC SaleCommon Stock 18,400 $37.96 $698,465.84
Disclosure

SEC source: 0001209191-21-016457 · doc4.xml · nonDerivative · entry 1

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,768,630

F1 · price: The range of prices for the shares of Common Stock is from $37.50 to $38.46. The reporting person undertakes that it will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 01:18 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 6,054 $39.08 $236,590.32
Disclosure

SEC source: 0001209191-21-014514 · doc4.xml · nonDerivative · entry 3

MARCUS GEORGE M · CIK 0000939706 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 14,787,030

F4 · price: The range of prices for the shares of Common Stock is from $39.00 to $39.50. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

F2 · ownership.nature: Mr. Marcus is the sole member and manager of Ionian Investments Manager LLC, which is the non-member manager of Phoenix, and beneficially owns 98.9% of its membership interests. Mr. Marcus has voting and investment power with respect to the shares held by Phoenix. Mr. Marcus disclaims beneficial ownership of shares held by Phoenix except to the extent of his pecuniary interest therein.

Read SEC document
February 25, 2021 Filed Feb 26, 2021 01:14 UTC SaleCommon Stock 6,054 $39.08 $236,590.32
Disclosure

SEC source: 0001209191-21-014509 · doc4.xml · nonDerivative · entry 3

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,787,030

F3 · price: The range of prices for the shares of Common Stock is from $39.00 to $39.50. The reporting person undertakes that it will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
February 25, 2021 Filed Feb 27, 2021 01:21 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 186 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-015041 · doc4.xml · derivative · entry 3

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 186 shares

Expires not disclosed

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

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

F4 · derivative.exercise_date: The restricted stock units vested in five equal annual installments beginning February 25, 2017.

F4 · derivative.expiration_date: The restricted stock units vested in five equal annual installments beginning February 25, 2017.

Read SEC document
February 25, 2021 Filed Feb 27, 2021 01:21 UTC
Schwarz Kurt HenryChief Accounting Officer
Tax withholdingCommon Stock 75 $37.47 $2,810.25
Disclosure

SEC source: 0001209191-21-015041 · doc4.xml · nonDerivative · entry 2

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 5,024

F3 · shares: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on February 25, 2021.

F2 · ownership.nature: Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees.

Read SEC document
February 25, 2021 Filed Feb 27, 2021 01:21 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionCommon Stock 186 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-015041 · doc4.xml · nonDerivative · entry 1

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 5,099

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

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

F2 · ownership.nature: Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees.

Read SEC document
February 25, 2021 Filed Feb 27, 2021 01:19 UTC
LaBerge Gregory A.Chief Administrative Officer
Exercise / conversionRestricted Stock Units · Derivative 4,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-015040 · doc4.xml · derivative · entry 3

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The restricted stock units vested in two equal annual installments beginning February 25, 2020.

F3 · derivative.expiration_date: The restricted stock units vested in two equal annual installments beginning February 25, 2020.

Read SEC document
February 25, 2021 Filed Feb 27, 2021 01:19 UTC
LaBerge Gregory A.Chief Administrative Officer
Tax withholdingCommon Stock 1,384 $37.47 $51,858.48
Disclosure

SEC source: 0001209191-21-015040 · doc4.xml · nonDerivative · entry 2

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,517

F2 · shares: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on February 25, 2021.

Read SEC document
February 25, 2021 Filed Feb 27, 2021 01:19 UTC
LaBerge Gregory A.Chief Administrative Officer
Exercise / conversionCommon Stock 4,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-015040 · doc4.xml · nonDerivative · entry 1

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,901

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

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

Read SEC document
February 24, 2021 Filed Feb 26, 2021 01:18 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 5,278 $39.68 $209,453.21
Disclosure

SEC source: 0001209191-21-014514 · doc4.xml · nonDerivative · entry 2

MARCUS GEORGE M · CIK 0000939706 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 14,793,084

F3 · price: The range of prices for the shares of Common Stock is from $39.25 to $40.155. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

F2 · ownership.nature: Mr. Marcus is the sole member and manager of Ionian Investments Manager LLC, which is the non-member manager of Phoenix, and beneficially owns 98.9% of its membership interests. Mr. Marcus has voting and investment power with respect to the shares held by Phoenix. Mr. Marcus disclaims beneficial ownership of shares held by Phoenix except to the extent of his pecuniary interest therein.

Read SEC document
February 24, 2021 Filed Feb 26, 2021 01:14 UTC SaleCommon Stock 5,278 $39.68 $209,453.21
Disclosure

SEC source: 0001209191-21-014509 · doc4.xml · nonDerivative · entry 2

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,793,084

F2 · price: The range of prices for the shares of Common Stock is from $39.25 to $40.155. The reporting person undertakes that it will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
February 23, 2021 Filed Feb 24, 2021 23:44 UTC
Louie Martin E.SVP/Corporate Initiatives
SaleCommon Stock 2,521 $39.97 $100,764.87
Disclosure

SEC source: 0001209191-21-013969 · doc4.xml · nonDerivative · entry 1

Louie Martin E. · CIK 0001588207 · SVP/Corporate Initiatives

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,219

F1 · price: The range of prices for the shares of Common Stock is from $39.9216 to $40.04. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
February 23, 2021 Filed Feb 24, 2021 22:34 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 22,500 $39.67 $892,665.00
Disclosure

SEC source: 0001209191-21-013914 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,119

F1 · price: The range of prices for the shares of Common Stock is from $39.39 to $40.01. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
February 23, 2021 Filed Feb 26, 2021 01:18 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 4,900 $40.28 $197,356.81
Disclosure

SEC source: 0001209191-21-014514 · doc4.xml · nonDerivative · entry 1

MARCUS GEORGE M · CIK 0000939706 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 14,798,362

F1 · price: The range of prices for the shares of Common Stock is from $40.00 to $40.39. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

F2 · ownership.nature: Mr. Marcus is the sole member and manager of Ionian Investments Manager LLC, which is the non-member manager of Phoenix, and beneficially owns 98.9% of its membership interests. Mr. Marcus has voting and investment power with respect to the shares held by Phoenix. Mr. Marcus disclaims beneficial ownership of shares held by Phoenix except to the extent of his pecuniary interest therein.

Read SEC document
February 23, 2021 Filed Feb 26, 2021 01:14 UTC SaleCommon Stock 4,900 $40.28 $197,356.81
Disclosure

SEC source: 0001209191-21-014509 · doc4.xml · nonDerivative · entry 1

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,798,362

F1 · price: The range of prices for the shares of Common Stock is from $40.00 to $40.39. The reporting person undertakes that it will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
February 16, 2021 Filed Feb 17, 2021 01:30 UTC
LaBerge Gregory A.Chief Administrative Officer
Exercise / conversionRestricted Stock Units · Derivative 436 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-011072 · doc4.xml · derivative · entry 4

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 437

Underlying: Common Stock · 436 shares

Expires not disclosed

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

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

F4 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning February 16, 2020.

F4 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning February 16, 2020.

Read SEC document
February 16, 2021 Filed Feb 17, 2021 01:30 UTC
LaBerge Gregory A.Chief Administrative Officer
Tax withholdingCommon Stock 179 $38.44 $6,880.76
Disclosure

SEC source: 0001209191-21-011072 · doc4.xml · nonDerivative · entry 2

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,901

F2 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on February 16, 2021.

Read SEC document
February 16, 2021 Filed Feb 17, 2021 01:30 UTC
LaBerge Gregory A.Chief Administrative Officer
Exercise / conversionCommon Stock 436 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-011072 · doc4.xml · nonDerivative · entry 1

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,080

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

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

Read SEC document
February 16, 2021 Filed Feb 17, 2021 01:20 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 127 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-011059 · doc4.xml · derivative · entry 4

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130

Underlying: Common Stock · 127 shares

Expires not disclosed

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

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

F6 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning February 16, 2018.

F6 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning February 16, 2018.

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February 16, 2021 Filed Feb 17, 2021 01:20 UTC
Schwarz Kurt HenryChief Accounting Officer
Tax withholdingCommon Stock 52 $38.44 $1,998.88
Disclosure

SEC source: 0001209191-21-011059 · doc4.xml · nonDerivative · entry 2

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 4,913

F4 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on February 16, 2021.

F3 · ownership.nature: Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees.

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February 16, 2021 Filed Feb 17, 2021 01:20 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionCommon Stock 127 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-011059 · doc4.xml · nonDerivative · entry 1

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 4,965

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

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

F2 · balance_after: Includes 215 shares acquired on December 17, 2020 under the Issuer's employee stock purchase plan.

F3 · ownership.nature: Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees.

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February 11, 2021 Filed Feb 17, 2021 01:30 UTC
LaBerge Gregory A.Chief Administrative Officer
GrantRestricted Stock Units · Derivative 5,068 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-011072 · doc4.xml · derivative · entry 3

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,068

Underlying: Common Stock · 5,068 shares

Expires not disclosed

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

F3 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning March 10, 2022.

F3 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning March 10, 2022.

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February 11, 2021 Filed Feb 17, 2021 01:17 UTC
Nadji HessamDirector · Chief Executive Officer
GrantRestricted Stock Units · Derivative 92,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-011054 · doc4.xml · derivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,000

Underlying: Common Stock · 92,000 shares

Expires not disclosed

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

F2 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning March 10, 2022.

F2 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning March 10, 2022.

Read SEC document
February 11, 2021 Filed Feb 17, 2021 01:20 UTC
Schwarz Kurt HenryChief Accounting Officer
GrantRestricted Stock Units · Derivative 448 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-011059 · doc4.xml · derivative · entry 3

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 448

Underlying: Common Stock · 448 shares

Expires not disclosed

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

F5 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning March 10, 2022.

F5 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning March 10, 2022.

Read SEC document
November 17, 2020 Filed Nov 18, 2020 22:25 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 14,100 $35.05 $494,228.97
Disclosure

SEC source: 0001209191-20-059181 · doc4.xml · nonDerivative · entry 2

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,619

F3 · price: The range of prices for the shares of Common Stock is from $34.89 to $35.34. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

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November 16, 2020 Filed Nov 18, 2020 22:25 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 3,000 $35.28 $105,847.80
Disclosure

SEC source: 0001209191-20-059181 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,719

F1 · kind: SALE EFFECTED UNDER SALES PLAN PURSUANT TO RULE 10B5-1(C)(1) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED.

F2 · price: The range of prices for the shares of Common Stock is from $35.05 to $35.65. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

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November 11, 2020 Filed Nov 13, 2020 02:03 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 400 $35.05 $14,019.00
Disclosure

SEC source: 0001209191-20-058199 · doc4.xml · nonDerivative · entry 3

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,719

F1 · kind: SALE EFFECTED UNDER SALES PLAN PURSUANT TO RULE 10B5-1(C)(1) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED.

F4 · price: The range of prices for the shares of Common Stock is from $35.00 to $35.12. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
November 10, 2020 Filed Nov 13, 2020 02:03 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 2,200 $35.02 $77,045.76
Disclosure

SEC source: 0001209191-20-058199 · doc4.xml · nonDerivative · entry 2

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,119

F1 · kind: SALE EFFECTED UNDER SALES PLAN PURSUANT TO RULE 10B5-1(C)(1) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED.

F3 · price: The range of prices for the shares of Common Stock is from $34.95 to $35.0950. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
November 10, 2020 Filed Nov 13, 2020 02:03 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 7,300 $34.38 $250,976.19
Disclosure

SEC source: 0001209191-20-058199 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,319

F1 · kind: SALE EFFECTED UNDER SALES PLAN PURSUANT TO RULE 10B5-1(C)(1) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED.

F2 · price: The range of prices for the shares of Common Stock is from $33.90 to $34.86. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
August 04, 2020 Filed Aug 6, 2020 22:10 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 390 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-045553 · doc4.xml · derivative · entry 3

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 390 shares

Expires not disclosed

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

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

F5 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning August 4, 2016.

F5 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning August 4, 2016.

Read SEC document
August 04, 2020 Filed Aug 6, 2020 22:10 UTC
Schwarz Kurt HenryChief Accounting Officer
Tax withholdingCommon Stock 135 $26.81 $3,619.35
Disclosure

SEC source: 0001209191-20-045553 · doc4.xml · nonDerivative · entry 2

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 4,623

F4 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on August 4, 2020.

F3 · ownership.nature: Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees.

Read SEC document
August 04, 2020 Filed Aug 6, 2020 22:10 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionCommon Stock 390 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-045553 · doc4.xml · nonDerivative · entry 1

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 4,758

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

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

F2 · balance_after: Includes 215 shares acquired under the Issuer's employee stock purchase plan.

F3 · ownership.nature: Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees.

Read SEC document
June 08, 2020 Filed Jun 8, 2020 23:22 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 7,500 $32.38 $242,835.00
Disclosure

SEC source: 0001209191-20-035125 · doc4.xml · nonDerivative · entry 2

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,619

F1 · kind: SALE EFFECTED UNDER SALES PLAN PURSUANT TO RULE 10B5-1(C)(1) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED.

F3 · price: The range of prices for the shares of Common Stock is from $31.86 to $32.76. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
June 05, 2020 Filed Jun 8, 2020 23:22 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 7,500 $31.94 $239,517.75
Disclosure

SEC source: 0001209191-20-035125 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,119

F1 · kind: SALE EFFECTED UNDER SALES PLAN PURSUANT TO RULE 10B5-1(C)(1) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED.

F2 · price: The range of prices for the shares of Common Stock is from $31.63 to $32.11. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

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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.