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NYSE · USD

MMI

Marcus & Millichap, Inc.

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Tapewire entity
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
January 05, 2020 Filed Jan 8, 2020 00:34 UTC
Nadji HessamDirector · Chief Executive Officer
Tax withholdingCommon Stock 2,976 $38.02 $113,147.52
Disclosure

SEC source: 0001209191-20-002405 · doc4.xml · nonDerivative · entry 4

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,830

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 sales price on the date of settlement.

Read SEC document
January 05, 2020 Filed Jan 8, 2020 00:34 UTC
Nadji HessamDirector · Chief Executive Officer
Exercise / conversionCommon Stock 8,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-002405 · doc4.xml · nonDerivative · entry 3

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,806

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
December 06, 2019 Filed Dec 9, 2019 22:52 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 4,130 $37.22 $153,707.86
Disclosure

SEC source: 0001209191-19-059760 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,792

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 $37.00 to $37.44. 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 29, 2019 Filed Dec 3, 2019 00:12 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 1,870 $37.03 $69,252.83
Disclosure

SEC source: 0001209191-19-058612 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,922

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 $37.00 to $37.09 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
October 31, 2019 Filed Nov 1, 2019 23:12 UTC
MARCUS GEORGE MDirector · 10% owner
OtherCommon Stock 84,086 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-054785 · 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: 14,803,262

F1 · kind: Distribution by Phoenix Investments Holdings LLC ("Phoenix") to a unitholder to redeem the unitholder's membership interest in Phoenix.

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 after the redemption. 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
October 31, 2019 Filed Nov 1, 2019 23:11 UTC OtherCommon Stock 84,086 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-054783 · doc4.xml · nonDerivative · entry 1

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,803,262

F1 · kind: Distribution by Phoenix Investments Holdings LLC ("Phoenix") to a unitholder to redeem the unitholder's membership interest in Phoenix.

Read SEC document
September 23, 2019 Filed Sep 24, 2019 22:44 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 11,000 $36.25 $398,740.10
Disclosure

SEC source: 0001209191-19-050592 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,792

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 $35.93 to $36.54 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 19, 2019 Filed Aug 20, 2019 22:43 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 10,000 $35.47 $354,680.00
Disclosure

SEC source: 0001209191-19-046889 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,792

F1 · price: The range of prices for the shares of Common Stock is from $35.39 to $35.60. 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, 2019 Filed Aug 6, 2019 23:42 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 386 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-044899 · doc4.xml · derivative · entry 3

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390

Underlying: Common Stock · 386 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, 2019 Filed Aug 6, 2019 23:42 UTC
Schwarz Kurt HenryChief Accounting Officer
Tax withholdingCommon Stock 134 $31.03 $4,158.02
Disclosure

SEC source: 0001209191-19-044899 · 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: 3,437

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 5, 2019.

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, 2019 Filed Aug 6, 2019 23:42 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionCommon Stock 386 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-044899 · 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: 3,571

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: Include 164 shares of common stock acquired via the Issuer's ESPP.

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 01, 2019 Filed Aug 5, 2019 20:11 UTC GrantCommon Stock 2,264 $33.12 $74,983.68
Disclosure

SEC source: 0001209191-19-044508 · doc4.xml · nonDerivative · entry 1

MARTIN LAURALEE · CIK 0001164495 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,264

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

Read SEC document
June 10, 2019 Filed Jun 11, 2019 18:50 UTC
LaBar Mitchell RExecutive VP and COO
SaleCommon Stock 10,586 $31.24 $330,725.69
Disclosure

SEC source: 0001209191-19-036233 · doc4.xml · nonDerivative · entry 1

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The range of prices for the shares of Common Stock is from $31.22 to $31.37. 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
May 10, 2019 Filed May 13, 2019 20:20 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionRestricted Stock Units · Derivative 2,112 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-029491 · doc4.xml · derivative · entry 9

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,225

Underlying: Common Stock · 2,112 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 three equal annual installments on each of the first three anniversaries commencing on the tenth (10th) day of the month following February 13, 2020, subject to the recipient remaining a Service Provider through each such vesting date. On May 2, 2019, the Compensation Committee approved the acceleration of the vesting of 2,112 restricted stock units effective as of May 10, 2019.

F6 · derivative.expiration_date: The restricted stock units vest in three equal annual installments on each of the first three anniversaries commencing on the tenth (10th) day of the month following February 13, 2020, subject to the recipient remaining a Service Provider through each such vesting date. On May 2, 2019, the Compensation Committee approved the acceleration of the vesting of 2,112 restricted stock units effective as of May 10, 2019.

Read SEC document
May 10, 2019 Filed May 13, 2019 20:20 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionRestricted Stock Units · Derivative 1,561 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-029491 · doc4.xml · derivative · entry 8

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,685

Underlying: Common Stock · 1,561 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: Twenty percent will vest on each of the first five anniversaries commencing on the tenth (10th) day of the month following February 26, 2018, subject to the recipient remaining a Service Provider through each such vesting date. On May 2, 2019, the Compensation Committee approved the acceleration of the vesting of 1,561 restricted stock units effective as of May 10, 2019.

F5 · derivative.expiration_date: Twenty percent will vest on each of the first five anniversaries commencing on the tenth (10th) day of the month following February 26, 2018, subject to the recipient remaining a Service Provider through each such vesting date. On May 2, 2019, the Compensation Committee approved the acceleration of the vesting of 1,561 restricted stock units effective as of May 10, 2019.

Read SEC document
May 10, 2019 Filed May 13, 2019 20:20 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionRestricted Stock Units · Derivative 9,327 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-029491 · doc4.xml · derivative · entry 7

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,492

Underlying: Common Stock · 9,327 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 five equal annual installments beginning February 16, 2018. On May 2, 2019, the Compensation Committee approved the acceleration of the vesting of 9,327 restricted stock units effective as of May 10, 2019.

F4 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning February 16, 2018. On May 2, 2019, the Compensation Committee approved the acceleration of the vesting of 9,327 restricted stock units effective as of May 10, 2019.

Read SEC document
May 10, 2019 Filed May 13, 2019 20:20 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionRestricted Stock Units · Derivative 2,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-029491 · doc4.xml · derivative · entry 6

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 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 vest in five equal annual installments beginning March 31, 2017. On May 2, 2019, the Compensation Committee approved the acceleration of the vesting of the remaining 2,000 restricted stock units effective as of May 10, 2019.

F3 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning March 31, 2017. On May 2, 2019, the Compensation Committee approved the acceleration of the vesting of the remaining 2,000 restricted stock units effective as of May 10, 2019.

Read SEC document
May 10, 2019 Filed May 13, 2019 20:20 UTC
LaBar Mitchell RExecutive VP and COO
Tax withholdingCommon Stock 7,439 $35.36 $263,043.04
Disclosure

SEC source: 0001209191-19-029491 · doc4.xml · nonDerivative · entry 5

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,586

F2 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlements of RSUs. The amount of shares withheld is based on the closing sale price on May 10, 2019.

Read SEC document
May 10, 2019 Filed May 13, 2019 20:20 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionCommon Stock 2,112 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-029491 · doc4.xml · nonDerivative · entry 4

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,025

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
May 10, 2019 Filed May 13, 2019 20:20 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionCommon Stock 1,561 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-029491 · doc4.xml · nonDerivative · entry 3

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,913

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
May 10, 2019 Filed May 13, 2019 20:20 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionCommon Stock 9,327 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-029491 · doc4.xml · nonDerivative · entry 2

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,352

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
May 10, 2019 Filed May 13, 2019 20:20 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionCommon Stock 2,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-029491 · doc4.xml · nonDerivative · entry 1

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,025

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
May 02, 2019 Filed May 7, 2019 00:26 UTC
MARCUS GEORGE MDirector · 10% owner
GrantCommon Stock 1,757 $42.68 $74,988.76
Disclosure

SEC source: 0001209191-19-027870 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,778

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

Read SEC document
May 02, 2019 Filed May 7, 2019 00:29 UTC GrantCommon Stock 1,757 $42.68 $74,988.76
Disclosure

SEC source: 0001209191-19-027874 · doc4.xml · nonDerivative · entry 1

SHAHEEN GEORGE T · CIK 0001242465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,447

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

Read SEC document
May 02, 2019 Filed May 6, 2019 20:29 UTC GrantCommon Stock 1,757 $42.68 $74,988.76
Disclosure

SEC source: 0001209191-19-027873 · doc4.xml · nonDerivative · entry 1

MILLICHAP WILLIAM A · CIK 0001194685 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,112

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

Read SEC document
May 02, 2019 Filed May 7, 2019 00:27 UTC GrantCommon Stock 1,757 $42.68 $74,988.76
Disclosure

SEC source: 0001209191-19-027871 · doc4.xml · nonDerivative · entry 1

McClanahan Nicholas F. · CIK 0001588281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,822

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

Read SEC document
May 02, 2019 Filed May 7, 2019 00:30 UTC GrantCommon Stock 1,757 $42.68 $74,988.76
Disclosure

SEC source: 0001209191-19-027875 · doc4.xml · nonDerivative · entry 1

Watters Don C. · CIK 0001588453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,778

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

Read SEC document
May 02, 2019 Filed May 7, 2019 00:25 UTC GrantCommon Stock 1,757 $42.68 $74,988.76
Disclosure

SEC source: 0001209191-19-027869 · doc4.xml · nonDerivative · entry 1

Lawrence Norma J. · CIK 0001588559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,822

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

Read SEC document
April 10, 2019 Filed Apr 12, 2019 22:29 UTC
Nadji HessamDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 3,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-024525 · doc4.xml · derivative · entry 3

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 3,000 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 vest in five equal annual installments beginning April 10, 2019.

F3 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning April 10, 2019.

Read SEC document
April 10, 2019 Filed Apr 12, 2019 22:29 UTC
Nadji HessamDirector · Chief Executive Officer
Tax withholdingCommon Stock 1,488 $42.60 $63,388.80
Disclosure

SEC source: 0001209191-19-024525 · doc4.xml · nonDerivative · entry 2

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,792

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 sales price on the date of settlement.

Read SEC document
April 10, 2019 Filed Apr 12, 2019 22:29 UTC
Nadji HessamDirector · Chief Executive Officer
Exercise / conversionCommon Stock 3,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-024525 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 274,280

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 31, 2019 Filed Apr 2, 2019 18:58 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionRestricted Stock Units · Derivative 6,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-022721 · doc4.xml · derivative · entry 3

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 6,000 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 vest in five equal annual installments beginning March 31, 2017.

F3 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning March 31, 2017.

Read SEC document
March 31, 2019 Filed Apr 2, 2019 18:58 UTC
LaBar Mitchell RExecutive VP and COO
Tax withholdingCommon Stock 2,975 $41.12 $122,332.00
Disclosure

SEC source: 0001209191-19-022721 · doc4.xml · nonDerivative · entry 2

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,025

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 April 1, 2019.

Read SEC document
March 31, 2019 Filed Apr 2, 2019 18:58 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionCommon Stock 6,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-022721 · doc4.xml · nonDerivative · entry 1

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

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 14, 2019 Filed Mar 15, 2019 18:51 UTC
LaBar Mitchell RExecutive VP and COO
SaleCommon Stock 787 $38.46 $30,268.02
Disclosure

SEC source: 0001209191-19-019837 · doc4.xml · nonDerivative · entry 1

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
March 10, 2019 Filed Mar 12, 2019 20:06 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionRestricted Stock Units · Derivative 1,561 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-019031 · doc4.xml · derivative · entry 3

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,246

Underlying: Common Stock · 1,561 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: Twenty percent will vest on each of the first five anniversaries commencing on the tenth (10th) day of the month following the Grant Date, subject to the recipient remaining a Service Provider through each such vesting date.

F3 · derivative.expiration_date: Twenty percent will vest on each of the first five anniversaries commencing on the tenth (10th) day of the month following the Grant Date, subject to the recipient remaining a Service Provider through each such vesting date.

Read SEC document
March 10, 2019 Filed Mar 12, 2019 20:06 UTC
LaBar Mitchell RExecutive VP and COO
Tax withholdingCommon Stock 774 $38.57 $29,853.18
Disclosure

SEC source: 0001209191-19-019031 · doc4.xml · nonDerivative · entry 2

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 787

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 11, 2019.

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March 10, 2019 Filed Mar 12, 2019 20:06 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionCommon Stock 1,561 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-019031 · doc4.xml · nonDerivative · entry 1

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,561

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.

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March 10, 2019 Filed Mar 13, 2019 01:06 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 128 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-019038 · doc4.xml · derivative · entry 11

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 514

Underlying: Common Stock · 128 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.

F10 · derivative.exercise_date: Twenty percent will vest on each of the first five anniversaries commencing on the tenth (10th) day of the month following the grant date, subject to the recipient remaining a Service Provider through each such vesting date.

F10 · derivative.expiration_date: Twenty percent will vest on each of the first five anniversaries commencing on the tenth (10th) day of the month following the grant date, subject to the recipient remaining a Service Provider through each such vesting date.

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March 10, 2019 Filed Mar 13, 2019 01:06 UTC
Schwarz Kurt HenryChief Accounting Officer
Tax withholdingCommon Stock 44 $38.57 $1,697.08
Disclosure

SEC source: 0001209191-19-019038 · doc4.xml · nonDerivative · entry 6

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 3,021

F6 · 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 11, 2019.

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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March 10, 2019 Filed Mar 13, 2019 01:06 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionCommon Stock 128 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-019038 · doc4.xml · nonDerivative · entry 5

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 3,065

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.

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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March 01, 2019 Filed Mar 4, 2019 23:05 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 10,000 $38.62 $386,209.00
Disclosure

SEC source: 0001209191-19-015873 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,280

F1 · price: The range of prices for the shares of Common Stock is from $38.61 to $38.64. 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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February 25, 2019 Filed Feb 25, 2019 20:10 UTC
LaBar Mitchell RExecutive VP and COO
SaleCommon Stock 9,127 $39.44 $359,998.09
Disclosure

SEC source: 0001209191-19-013280 · doc4.xml · nonDerivative · entry 1

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The range of prices for the shares of Common Stock is from $39.44 to $39.51. 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.

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February 25, 2019 Filed Mar 13, 2019 01:06 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 186 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-019038 · doc4.xml · derivative · entry 10

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 372

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.

F9 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning February 25, 2017.

F9 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning February 25, 2017.

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February 25, 2019 Filed Mar 13, 2019 01:06 UTC
Schwarz Kurt HenryChief Accounting Officer
Tax withholdingCommon Stock 63 $38.66 $2,435.58
Disclosure

SEC source: 0001209191-19-019038 · doc4.xml · nonDerivative · entry 4

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 2,937

F5 · 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 of the date of settlement.

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 25, 2019 Filed Mar 13, 2019 01:06 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionCommon Stock 186 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-019038 · doc4.xml · nonDerivative · entry 3

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 3,000

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.

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 22, 2019 Filed Feb 26, 2019 01:09 UTC
Louie Martin E.Chief Financial Officer
SaleCommon Stock 7,000 $39.98 $279,860.00
Disclosure

SEC source: 0001209191-19-013278 · doc4.xml · nonDerivative · entry 1

Louie Martin E. · CIK 0001588207 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,964

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

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February 19, 2019 Filed Feb 20, 2019 18:28 UTC
LaBar Mitchell RExecutive VP and COO
Tax withholdingCommon Stock 3,606 $39.56 $142,653.36
Disclosure

SEC source: 0001209191-19-011769 · doc4.xml · nonDerivative · entry 2

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,127

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 of the date of settlement.

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February 16, 2019 Filed Feb 20, 2019 18:28 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionRestricted Stock Units · Derivative 7,272 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-011769 · doc4.xml · derivative · entry 3

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,819

Underlying: Common Stock · 7,272 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 vest in five equal annual installments beginning February 16, 2018.

F3 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning February 16, 2018.

Read SEC document
February 16, 2019 Filed Feb 20, 2019 18:28 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionCommon Stock 7,272 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-011769 · doc4.xml · nonDerivative · entry 1

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,733

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

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.