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NETWORK-1 TECHNOLOGIES, INC.

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7374
SEC CIK
0001065078
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127

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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
December 29, 2022 Filed Jan 3, 2023 17:34 UTC
Greene Jonathan MDirector · Executive VP & Secretary
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-23-000001 · ownership.xml · derivative · entry 3

Greene Jonathan M · CIK 0001589485 · Director · Executive VP & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 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.

F3 · derivative.exercise_price: 5,000 restricted stock units vested on December 29, 2022.

F3 · derivative.exercise_date: 5,000 restricted stock units vested on December 29, 2022.

F3 · derivative.expiration_date: 5,000 restricted stock units vested on December 29, 2022.

Read SEC document
December 29, 2022 Filed Jan 3, 2023 17:34 UTC
Greene Jonathan MDirector · Executive VP & Secretary
Tax withholdingCommon Stock, $.01 par value per share 1,523 $2.20 $3,350.60
Disclosure

SEC source: 0001072613-23-000001 · ownership.xml · nonDerivative · entry 2

Greene Jonathan M · CIK 0001589485 · Director · Executive VP & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,194

F2 · balance_after: 1,523 shares of common stock were delivered by Mr. Greene to satisfy withholding taxes.

Read SEC document
December 29, 2022 Filed Jan 3, 2023 17:34 UTC
Greene Jonathan MDirector · Executive VP & Secretary
GrantCommon Stock, $.01 par value per share 5,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-23-000001 · ownership.xml · nonDerivative · entry 1

Greene Jonathan M · CIK 0001589485 · Director · Executive VP & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,717

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
October 27, 2022 Filed Oct 31, 2022 17:01 UTC
HOROWITZ COREY MDirector · CEO and Chairman · 10% owner
Exercise / conversionOption to purchase common stock (right to buy) · Derivative 500,000 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001072613-22-000598 · horowitz4-102722_18623.xml · derivative · entry 8

HOROWITZ COREY M · CIK 0001078774 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 500,000 shares

Expires 2022-11-01

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.

Read SEC document
October 27, 2022 Filed Oct 31, 2022 17:01 UTC
HOROWITZ COREY MDirector · CEO and Chairman · 10% owner
Tax withholdingCommon Stock, $.01 par value per share 334,459 $2.48 $829,458.32
Disclosure

SEC source: 0001072613-22-000598 · horowitz4-102722_18623.xml · nonDerivative · entry 2

HOROWITZ COREY M · CIK 0001078774 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,868,909

F1 · balance_after: Includes 239,920 shares of common stock delivered by Mr. Horowitz in connection with the net (cashless) exercise of the stock option and 94,539 shares of common stock delivered to satisfy withholding taxes resulting in net shares issued to Mr. Horowitz of 328,111.

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October 27, 2022 Filed Oct 31, 2022 17:01 UTC
HOROWITZ COREY MDirector · CEO and Chairman · 10% owner
Exercise / conversionCommon Stock, $.01 par value per share 500,000 $1.19 $595,000.00
Disclosure

SEC source: 0001072613-22-000598 · horowitz4-102722_18623.xml · nonDerivative · entry 1

HOROWITZ COREY M · CIK 0001078774 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,203,368

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.

Read SEC document
June 01, 2022 Filed Jun 3, 2022 15:32 UTC Disposition to issuerCommon Stock, $.01 par value per share 41,500 $2.42 $100,430.00
Disclosure

SEC source: 0001072613-22-000450 · ownership.xml · nonDerivative · entry 1

Hoffman Allison C · CIK 0001564521 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,311

F1 · shares: Represents sale of shares to the Issuer pursuant to 16b-3(e).

Read SEC document
March 22, 2022 Filed Mar 24, 2022 15:32 UTC
HOROWITZ COREY MDirector · CEO and Chairman · 10% owner
GrantRestricted Stock Units · Derivative 600,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001072613-22-000360 · ownership.xml · derivative · entry 1

HOROWITZ COREY M · CIK 0001078774 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The restricted stock units (RSUs) were granted pursuant to an Employment Agreement, dated March 22, 2022, between the Company and Mr. Horowitz, for a four-year term beginning March 22, 2022 and ending March 22, 2026 (the "Term"). Each restricted stock unit represents a right to receive one share of common stock, subject to the vesting provisions described below.

F1 · price: The restricted stock units (RSUs) were granted pursuant to an Employment Agreement, dated March 22, 2022, between the Company and Mr. Horowitz, for a four-year term beginning March 22, 2022 and ending March 22, 2026 (the "Term"). Each restricted stock unit represents a right to receive one share of common stock, subject to the vesting provisions described below.

F2 · derivative.exercise_date: The RSUs shall vest in four tranches and all RSUs shall be subject to continued employment through the applicable vesting date. The RSUs shall vest as follows: (i) 175,000 RSUs shall vest 100,000 RSUs on March 22, 2023 and 75,000 RSUs on March 22, 2024; (ii) 150,000 RSUs shall vest if at any time during the Term Network 1's common stock achieves a Closing Price (as defined in the Employment Agreement) of a minimum of $3.50 per share (subject to adjustment for stock splits); (iii) 150,000 RSUs shall vest if at any time during the Term the common stock achieves a Closing Price of a minimum of $4.00 per share (subject to adjustment for stock splits); and (iv) 125,000 RSUs shall vest if at any time during the Term the common stock achieves a Closing Price of a minimum of $4.50 per share (subject to adjustment for stock splits).

F3 · derivative.exercise_date: Further, all of the RSUs become fully vested upon a Change of Control, or upon the Company's termination of Mr. Horowitz's employment Other Than for Cause, or upon Mr. Horowitz's termination of his employment for Good Reason (all as defined in the Employment Agreement).

F2 · derivative.expiration_date: The RSUs shall vest in four tranches and all RSUs shall be subject to continued employment through the applicable vesting date. The RSUs shall vest as follows: (i) 175,000 RSUs shall vest 100,000 RSUs on March 22, 2023 and 75,000 RSUs on March 22, 2024; (ii) 150,000 RSUs shall vest if at any time during the Term Network 1's common stock achieves a Closing Price (as defined in the Employment Agreement) of a minimum of $3.50 per share (subject to adjustment for stock splits); (iii) 150,000 RSUs shall vest if at any time during the Term the common stock achieves a Closing Price of a minimum of $4.00 per share (subject to adjustment for stock splits); and (iv) 125,000 RSUs shall vest if at any time during the Term the common stock achieves a Closing Price of a minimum of $4.50 per share (subject to adjustment for stock splits).

F3 · derivative.expiration_date: Further, all of the RSUs become fully vested upon a Change of Control, or upon the Company's termination of Mr. Horowitz's employment Other Than for Cause, or upon Mr. Horowitz's termination of his employment for Good Reason (all as defined in the Employment Agreement).

Read SEC document
March 11, 2022 Filed Mar 15, 2022 16:14 UTC
HOROWITZ COREY MDirector · CEO and Chairman · 10% owner
Exercise / conversionRestricted Stock Units · Derivative 125,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-22-000354 · ownership.xml · derivative · entry 8

HOROWITZ COREY M · CIK 0001078774 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 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 · security: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_price: 125,000 restricted stock units settled on March 11, 2022 in accordance with an agreement with the Issuer, such restricted stock units vested on July 14, 2021 in accordance with Mr. Horowitz's employment agreement, dated July 14, 2016, with the Issuer.

F3 · derivative.exercise_date: 125,000 restricted stock units settled on March 11, 2022 in accordance with an agreement with the Issuer, such restricted stock units vested on July 14, 2021 in accordance with Mr. Horowitz's employment agreement, dated July 14, 2016, with the Issuer.

F3 · derivative.expiration_date: 125,000 restricted stock units settled on March 11, 2022 in accordance with an agreement with the Issuer, such restricted stock units vested on July 14, 2021 in accordance with Mr. Horowitz's employment agreement, dated July 14, 2016, with the Issuer.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 16:14 UTC
HOROWITZ COREY MDirector · CEO and Chairman · 10% owner
Tax withholdingCommon Stock, $.01 par value per share 45,438 $2.53 $114,958.14
Disclosure

SEC source: 0001072613-22-000354 · ownership.xml · nonDerivative · entry 2

HOROWITZ COREY M · CIK 0001078774 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,703,368

F2 · balance_after: 45,438 shares of common stock were delivered by Mr. Horowitz to satisfy withholding taxes resulting in net shares issued to Mr. Horowitz of 79,562.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 16:14 UTC
HOROWITZ COREY MDirector · CEO and Chairman · 10% owner
Exercise / conversionCommon Stock, $.01 par value per share 125,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-22-000354 · ownership.xml · nonDerivative · entry 1

HOROWITZ COREY M · CIK 0001078774 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,748,806

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.

F3 · balance_after: 125,000 restricted stock units settled on March 11, 2022 in accordance with an agreement with the Issuer, such restricted stock units vested on July 14, 2021 in accordance with Mr. Horowitz's employment agreement, dated July 14, 2016, with the Issuer.

Read SEC document
February 23, 2022 Filed Feb 24, 2022 12:35 UTC
HARIZMAN NIVDirector
GrantCommon Stock, $.01 par value per share 15,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-22-000293 · ownership.xml · nonDerivative · entry 1

HARIZMAN NIV · CIK 0001070124 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,235

F1 · shares: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2022, June 15, 2022, September 15, 2022 and December 15, 2022, subject to Mr. Harizman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date.

Read SEC document
February 23, 2022 Filed Feb 24, 2022 17:36 UTC GrantCommon Stock, $.01 par value per share 15,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-22-000294 · pearlman4-022322_18579.xml · nonDerivative · entry 1

PEARLMAN EMANUEL R · CIK 0001315915 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,309

F1 · shares: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2022, June 15, 2022, September 15, 2022 and December 15, 2022, subject to Mr. Pearlman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date.

Read SEC document
February 23, 2022 Filed Feb 25, 2022 19:27 UTC GrantCommon Stock, $.01 par value per share 15,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-22-000298 · ownership.xml · nonDerivative · entry 1

Hoffman Allison C · CIK 0001564521 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,061

F1 · shares: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2022, June 15, 2022, September 15, 2022 and December 15, 2022, subject to Ms. Hoffman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date.

Read SEC document
January 18, 2022 Filed Jan 19, 2022 21:50 UTC
Greene Jonathan MExecutive Vice President
GrantRestricted Stock Units · Derivative 15,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-22-000040 · ownership.xml · derivative · entry 1

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

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

F2 · derivative.exercise_date: The restricted stock units vest in two annual installments, 7,500 units on January 18, 2023 and 7,500 units on January 18, 2024. These shares are deliverable to the reporting person upon each vesting date.

F2 · derivative.expiration_date: The restricted stock units vest in two annual installments, 7,500 units on January 18, 2023 and 7,500 units on January 18, 2024. These shares are deliverable to the reporting person upon each vesting date.

Read SEC document
December 29, 2021 Filed Dec 30, 2021 18:45 UTC
Greene Jonathan MExecutive Vice President
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-21-000694 · ownership.xml · derivative · entry 3

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 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.

F3 · derivative.exercise_price: 5,000 restricted stock units vested on December 29, 2021.

F3 · derivative.exercise_date: 5,000 restricted stock units vested on December 29, 2021.

F3 · derivative.expiration_date: 5,000 restricted stock units vested on December 29, 2021.

Read SEC document
December 29, 2021 Filed Dec 30, 2021 18:45 UTC
Greene Jonathan MExecutive Vice President
Tax withholdingCommon Stock, $.01 par value per share 1,473 $2.86 $4,212.78
Disclosure

SEC source: 0001072613-21-000694 · ownership.xml · nonDerivative · entry 2

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,717

F2 · balance_after: 1,473 shares of common stock were delivered by Mr. Greene to satisfy withholding taxes.

Read SEC document
December 29, 2021 Filed Dec 30, 2021 18:45 UTC
Greene Jonathan MExecutive Vice President
GrantCommon Stock, $.01 par value per share 5,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-21-000694 · ownership.xml · nonDerivative · entry 1

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,190

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
December 29, 2021 Filed Dec 30, 2021 18:44 UTC
KAHN DAVID CDirector · Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 3,750 $0.00 $0.00
Disclosure

SEC source: 0001072613-21-000693 · kahn4-122920_18411.xml · derivative · entry 3

KAHN DAVID C · CIK 0001278189 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 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.

F3 · derivative.exercise_price: 3,750 restricted stock units vested on December 29, 2021.

F3 · derivative.exercise_date: 3,750 restricted stock units vested on December 29, 2021.

F3 · derivative.expiration_date: 3,750 restricted stock units vested on December 29, 2021.

Read SEC document
December 29, 2021 Filed Dec 30, 2021 18:44 UTC
KAHN DAVID CDirector · Chief Financial Officer
Tax withholdingCommon Stock, $.01 par value per share 1,123 $2.86 $3,211.78
Disclosure

SEC source: 0001072613-21-000693 · kahn4-122920_18411.xml · nonDerivative · entry 2

KAHN DAVID C · CIK 0001278189 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,053

F2 · balance_after: 1,123 shares of common stock were delivered by Mr. Kahn to satisfy withholding taxes.

Read SEC document
December 29, 2021 Filed Dec 30, 2021 18:44 UTC
KAHN DAVID CDirector · Chief Financial Officer
GrantCommon Stock, $.01 par value per share 3,750 $0.00 $0.00
Disclosure

SEC source: 0001072613-21-000693 · kahn4-122920_18411.xml · nonDerivative · entry 1

KAHN DAVID C · CIK 0001278189 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,176

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
December 20, 2021 Filed Dec 21, 2021 22:05 UTC
KAHN DAVID CDirector · Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 3,750 $0.00 $0.00
Disclosure

SEC source: 0001072613-21-000689 · kahn4-122020_18411.xml · derivative · entry 3

KAHN DAVID C · CIK 0001278189 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 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.

F3 · derivative.exercise_price: 3,750 restricted stock units vested on December 20, 2021.

F3 · derivative.exercise_date: 3,750 restricted stock units vested on December 20, 2021.

F3 · derivative.expiration_date: 3,750 restricted stock units vested on December 20, 2021.

Read SEC document
December 20, 2021 Filed Dec 21, 2021 22:05 UTC
KAHN DAVID CDirector · Chief Financial Officer
Tax withholdingCommon Stock, $.01 par value per share 1,123 $2.69 $3,020.87
Disclosure

SEC source: 0001072613-21-000689 · kahn4-122020_18411.xml · nonDerivative · entry 2

KAHN DAVID C · CIK 0001278189 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,426

F2 · balance_after: 1,123 shares of common stock were delivered by Mr. Kahn to satisfy withholding taxes.

Read SEC document
December 20, 2021 Filed Dec 21, 2021 22:05 UTC
KAHN DAVID CDirector · Chief Financial Officer
GrantCommon Stock, $.01 par value per share 3,750 $0.00 $0.00
Disclosure

SEC source: 0001072613-21-000689 · kahn4-122020_18411.xml · nonDerivative · entry 1

KAHN DAVID C · CIK 0001278189 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,549

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
December 20, 2021 Filed Dec 21, 2021 22:04 UTC
Greene Jonathan MExecutive Vice President
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-21-000688 · ownership.xml · derivative · entry 3

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 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.

F3 · derivative.exercise_price: 5,000 restricted stock units vested on December 20, 2021.

F3 · derivative.exercise_date: 5,000 restricted stock units vested on December 20, 2021.

F3 · derivative.expiration_date: 5,000 restricted stock units vested on December 20, 2021.

Read SEC document
December 20, 2021 Filed Dec 21, 2021 22:04 UTC
Greene Jonathan MExecutive Vice President
Tax withholdingCommon Stock, $.01 par value per share 1,473 $2.69 $3,962.37
Disclosure

SEC source: 0001072613-21-000688 · ownership.xml · nonDerivative · entry 2

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,190

F2 · balance_after: 1,473 shares of common stock were delivered by Mr. Greene to satisfy withholding taxes.

Read SEC document
December 20, 2021 Filed Dec 21, 2021 22:04 UTC
Greene Jonathan MExecutive Vice President
GrantCommon Stock, $.01 par value per share 5,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-21-000688 · ownership.xml · nonDerivative · entry 1

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,663

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
July 27, 2021 Filed Jul 29, 2021 21:17 UTC SaleCommon Stock 150,000 $3.59 $539,205.00
Disclosure

SEC source: 0001567619-21-014177 · doc1.xml · nonDerivative · entry 2

Heinemann Steven D. · CIK 0001431926 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Goose Hill Capital, LLC

Disclosed balance after: 1,722,058

Read SEC document
May 27, 2021 Filed May 28, 2021 20:34 UTC Disposition to issuerCommon Stock, $.01 par value per share 40,000 $3.27 $130,800.00
Disclosure

SEC source: 0001072613-21-000435 · pearlman4-052721_18505.xml · nonDerivative · entry 1

PEARLMAN EMANUEL R · CIK 0001315915 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,059

F1 · shares: Represents sale of shares to the Issuer pursuant to 16b-3(e).

Read SEC document
April 20, 2021 Filed Apr 22, 2021 20:50 UTC SaleCommon Stock 38,027 $3.39 $128,938.15
Disclosure

SEC source: 0001567619-21-008483 · doc1.xml · nonDerivative · entry 2

Heinemann Steven D. · CIK 0001431926 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Goose Hill Capital, LLC

Disclosed balance after: 1,872,058

Read SEC document
March 26, 2021 Filed Mar 29, 2021 21:30 UTC SaleCommon Stock 304 $3.28 $997.12
Disclosure

SEC source: 0001567619-21-007137 · doc1.xml · nonDerivative · entry 3

Heinemann Steven D. · CIK 0001431926 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Goose Hill Capital, LLC

Disclosed balance after: 1,910,085

Read SEC document
March 25, 2021 Filed Mar 29, 2021 21:30 UTC SaleCommon Stock 31,512 $3.28 $103,359.36
Disclosure

SEC source: 0001567619-21-007137 · doc1.xml · nonDerivative · entry 2

Heinemann Steven D. · CIK 0001431926 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Goose Hill Capital, LLC

Disclosed balance after: 1,910,389

Read SEC document
February 23, 2021 Filed Feb 25, 2021 16:23 UTC
HARIZMAN NIVDirector
GrantCommon Stock, $.01 par value per share 15,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-21-000275 · ownership.xml · nonDerivative · entry 1

HARIZMAN NIV · CIK 0001070124 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,235

F1 · shares: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2021, June 15, 2021, September 15, 2021 and December 15, 2021, subject to Mr. Harizman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 19:06 UTC GrantCommon Stock, $.01 par value per share 15,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-21-000274 · ownership.xml · nonDerivative · entry 1

Hoffman Allison C · CIK 0001564521 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,061

F1 · shares: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2021, June 15, 2021, September 15, 2021 and December 15, 2021, subject to Ms. Hoffman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 19:05 UTC GrantCommon Stock, $.01 par value per share 15,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-21-000273 · pearlman4-022321_18469.xml · nonDerivative · entry 1

PEARLMAN EMANUEL R · CIK 0001315915 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,309

F1 · shares: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2021, June 15, 2021, September 15, 2021 and December 15, 2021, subject to Mr. Pearlman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date.

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February 16, 2021 Filed Feb 17, 2021 22:31 UTC SaleCommon Stock 54,275 $3.73 $202,445.75
Disclosure

SEC source: 0001567619-21-004291 · doc1.xml · nonDerivative · entry 3

Heinemann Steven D. · CIK 0001431926 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Goose Hill Capital, LLC

Disclosed balance after: 1,941,901

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February 12, 2021 Filed Feb 17, 2021 22:31 UTC SaleCommon Stock 6,225 $3.65 $22,721.25
Disclosure

SEC source: 0001567619-21-004291 · doc1.xml · nonDerivative · entry 2

Heinemann Steven D. · CIK 0001431926 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Goose Hill Capital, LLC

Disclosed balance after: 1,996,176

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December 29, 2020 Filed Dec 30, 2020 21:34 UTC
Greene Jonathan MExecutive Vice President
SaleCommon Stock, $.01 par value per share 5,000 $3.30 $16,500.00
Disclosure

SEC source: 0001072613-20-000420 · ownership.xml · nonDerivative · entry 1

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,663

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December 22, 2020 Filed Dec 28, 2020 21:24 UTC SaleCommon Stock 24,000 $3.44 $82,670.40
Disclosure

SEC source: 0001567619-20-021591 · doc1.xml · nonDerivative · entry 2

Heinemann Steven D. · CIK 0001431926 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Goose Hill Capital, LLC

Disclosed balance after: 2,002,401

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December 20, 2020 Filed Dec 22, 2020 19:35 UTC
Greene Jonathan MExecutive Vice President
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-20-000416 · ownership.xml · derivative · entry 3

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 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.

F3 · derivative.exercise_price: 5,000 restricted stock units vested on December 20, 2020.

F3 · derivative.exercise_date: 5,000 restricted stock units vested on December 20, 2020.

F3 · derivative.expiration_date: 5,000 restricted stock units vested on December 20, 2020.

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December 20, 2020 Filed Dec 22, 2020 19:35 UTC
Greene Jonathan MExecutive Vice President
Tax withholdingCommon Stock, $.01 par value per share 1,473 $3.48 $5,126.04
Disclosure

SEC source: 0001072613-20-000416 · ownership.xml · nonDerivative · entry 2

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,663

F2 · balance_after: 1,473 shares of common stock were delivered by Mr. Greene to satisfy withholding taxes.

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December 20, 2020 Filed Dec 22, 2020 19:35 UTC
Greene Jonathan MExecutive Vice President
GrantCommon Stock, $.01 par value per share 5,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-20-000416 · ownership.xml · nonDerivative · entry 1

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,136

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of common stock.

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December 20, 2020 Filed Dec 22, 2020 19:36 UTC
KAHN DAVID CDirector · Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 3,750 $0.00 $0.00
Disclosure

SEC source: 0001072613-20-000417 · kahn4-122020_18411.xml · derivative · entry 3

KAHN DAVID C · CIK 0001278189 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 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.

F3 · derivative.exercise_price: 3,750 restricted stock units vested on December 20, 2020.

F3 · derivative.exercise_date: 3,750 restricted stock units vested on December 20, 2020.

F3 · derivative.expiration_date: 3,750 restricted stock units vested on December 20, 2020.

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December 20, 2020 Filed Dec 22, 2020 19:36 UTC
KAHN DAVID CDirector · Chief Financial Officer
Tax withholdingCommon Stock, $.01 par value per share 1,123 $3.48 $3,908.04
Disclosure

SEC source: 0001072613-20-000417 · kahn4-122020_18411.xml · nonDerivative · entry 2

KAHN DAVID C · CIK 0001278189 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,799

F2 · balance_after: 1,123 shares of common stock were delivered by Mr. Kahn to satisfy withholding taxes.

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December 20, 2020 Filed Dec 22, 2020 19:36 UTC
KAHN DAVID CDirector · Chief Financial Officer
GrantCommon Stock, $.01 par value per share 3,750 $0.00 $0.00
Disclosure

SEC source: 0001072613-20-000417 · kahn4-122020_18411.xml · nonDerivative · entry 1

KAHN DAVID C · CIK 0001278189 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,922

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of common stock.

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December 08, 2020 Filed Dec 9, 2020 21:25 UTC SaleCommon Stock 14,000 $3.21 $44,898.00
Disclosure

SEC source: 0001567619-20-020803 · doc1.xml · nonDerivative · entry 3

Heinemann Steven D. · CIK 0001431926 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Goose Hill Capital, LLC

Disclosed balance after: 2,026,401

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December 07, 2020 Filed Dec 9, 2020 21:25 UTC SaleCommon Stock 15,171 $3.23 $48,941.65
Disclosure

SEC source: 0001567619-20-020803 · doc1.xml · nonDerivative · entry 2

Heinemann Steven D. · CIK 0001431926 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Goose Hill Capital, LLC

Disclosed balance after: 2,040,401

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November 27, 2020 Filed Dec 1, 2020 22:24 UTC
Greene Jonathan MExecutive Vice President
Exercise / conversionRestricted Stock Units · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-20-000393 · ownership.xml · derivative · entry 3

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 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.

F3 · derivative.exercise_price: 25,000 restricted stock units vested on November 27, 2020.

F3 · derivative.exercise_date: 25,000 restricted stock units vested on November 27, 2020.

F3 · derivative.expiration_date: 25,000 restricted stock units vested on November 27, 2020.

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November 27, 2020 Filed Dec 1, 2020 22:24 UTC
Greene Jonathan MExecutive Vice President
Tax withholdingCommon Stock, $.01 par value per share 7,363 $2.91 $21,426.33
Disclosure

SEC source: 0001072613-20-000393 · ownership.xml · nonDerivative · entry 2

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,136

F2 · balance_after: 7,363 shares of common stock were delivered by Mr. Greene to satisfy withholding taxes.

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November 27, 2020 Filed Dec 1, 2020 22:24 UTC
Greene Jonathan MExecutive Vice President
GrantCommon Stock, $.01 par value per share 25,000 $0.00 $0.00
Disclosure

SEC source: 0001072613-20-000393 · ownership.xml · nonDerivative · entry 1

Greene Jonathan M · CIK 0001589485 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,499

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of common stock.

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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.