Last 12 months
Inside the activity.
3 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 2 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 1 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 23, 2018 Filed Aug 27, 2018 20:52 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 39,619 | $5.05 | $200,167.07 |
DisclosureSEC source: 0001209191-18-048510 · doc4.xml · nonDerivative · entry 3 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,298,733 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.05 to $5.07; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| August 23, 2018 Filed Aug 27, 2018 20:52 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 39,619 | $5.05 | $200,167.07 |
DisclosureSEC source: 0001209191-18-048510 · doc4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,408,940 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.05 to $5.07; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| August 21, 2018 Filed Aug 23, 2018 22:42 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 100,000 | $5.00 | $500,000.00 |
DisclosureSEC source: 0001209191-18-048271 · doc4.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,338,352 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.02; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| August 21, 2018 Filed Aug 23, 2018 22:42 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 100,000 | $5.00 | $500,000.00 |
DisclosureSEC source: 0001209191-18-048271 · doc4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,448,559 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.02; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| August 20, 2018 Filed Aug 22, 2018 01:20 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 2,950 | $5.00 | $14,750.30 |
DisclosureSEC source: 0001209191-18-047880 · doc4.xml · nonDerivative · entry 4 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,438,352 F2 · price: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.01; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F3 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| August 20, 2018 Filed Aug 22, 2018 01:20 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 2,950 | $5.00 | $14,750.30 |
DisclosureSEC source: 0001209191-18-047880 · doc4.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,548,559 F2 · price: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.01; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| August 17, 2018 Filed Aug 22, 2018 01:20 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 33,500 | $5.00 | $167,600.50 |
DisclosureSEC source: 0001209191-18-047880 · doc4.xml · nonDerivative · entry 3 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,441,302 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.04; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F3 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| August 17, 2018 Filed Aug 22, 2018 01:20 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 33,500 | $5.00 | $167,600.50 |
DisclosureSEC source: 0001209191-18-047880 · doc4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,551,509 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.04; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| August 16, 2018 Filed Aug 17, 2018 21:05 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 58,000 | $5.00 | $290,000.00 |
DisclosureSEC source: 0001209191-18-047435 · doc4.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,474,802 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.01; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| August 16, 2018 Filed Aug 17, 2018 21:05 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 58,000 | $5.00 | $290,000.00 |
DisclosureSEC source: 0001209191-18-047435 · doc4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,585,009 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.01; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| August 13, 2018 Filed Apr 24, 2019 20:39 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 1,800 | $5.00 | $9,000.00 |
DisclosureSEC source: 0001209191-19-025765 · doc4.xml · nonDerivative · entry 3 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,532,802 F2 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| August 10, 2018 Filed Aug 14, 2018 22:43 UTC |
Jacobson Craig ADirector
|
PurchaseCommon Stock | 20,240 | $4.97 | $100,689.95 |
DisclosureSEC source: 0000899243-18-022351 · doc4.xml · nonDerivative · entry 1 Jacobson Craig A · CIK 0001419485 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,440 F1 · price: The shares reported as purchased on August 10, 2018 were purchased in multiple transactions at actual purchase prices ranging from $4.955 to $4.99 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| August 10, 2018 Filed Aug 14, 2018 22:43 UTC |
Zimmerman BruceDirector
|
PurchaseCommon Stock | 3,000 | $4.96 | $14,880.00 |
DisclosureSEC source: 0000899243-18-022350 · doc4.xml · nonDerivative · entry 1 Zimmerman Bruce · CIK 0001720536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,000 Read SEC document |
| August 03, 2018 Filed Apr 24, 2019 20:39 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 100,000 | $5.00 | $500,000.00 |
DisclosureSEC source: 0001209191-19-025765 · doc4.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,534,602 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.02; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| August 02, 2018 Filed Apr 24, 2019 20:39 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 100,000 | $5.00 | $500,000.00 |
DisclosureSEC source: 0001209191-19-025765 · doc4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,634,602 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.02; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 21:16 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 17,902 | $5.00 | $89,581.61 |
DisclosureSEC source: 0001209191-18-036117 · doc4.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,734,602 F1 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. F2 · ownership.nature: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.03; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| June 04, 2018 Filed Jun 6, 2018 21:16 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 23,226 | $5.00 | $116,130.00 |
DisclosureSEC source: 0001209191-18-036117 · doc4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,752,504 F1 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| May 30, 2018 Filed May 31, 2018 21:42 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 47,100 | $5.00 | $235,500.00 |
DisclosureSEC source: 0001209191-18-034434 · doc4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,775,730 F1 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. F2 · ownership.nature: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.02; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| May 25, 2018 Filed May 30, 2018 20:13 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 14,923 | $5.00 | $74,615.00 |
DisclosureSEC source: 0001209191-18-034109 · doc4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,822,830 F1 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| May 23, 2018 Filed May 25, 2018 01:42 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 100 | $5.00 | $500.00 |
DisclosureSEC source: 0001209191-18-033259 · doc4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,837,753 F1 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| May 22, 2018 Filed May 23, 2018 20:58 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 100,000 | $5.00 | $500,000.00 |
DisclosureSEC source: 0001209191-18-032650 · doc4.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,837,853 F1 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. F2 · ownership.nature: This transaction was executed in multiple trades at prices ranging from $5.00 to $5.02; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| May 21, 2018 Filed May 23, 2018 20:58 UTC |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 23,868 | $5.00 | $119,340.00 |
DisclosureSEC source: 0001209191-18-032650 · doc4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,937,853 F1 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 22:53 UTC |
Pendo MathewChief Operating Officer
|
PurchaseCommon Stock | 4,950 | $4.32 | $21,383.51 |
DisclosureSEC source: 0000899243-18-006197 · doc4.xml · nonDerivative · entry 1 Pendo Mathew · CIK 0001603759 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,950 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 18:41 UTC |
Zimmerman BruceDirector
|
PurchaseCommon Stock | 22,400 | $4.42 | $99,008.00 |
DisclosureSEC source: 0000899243-18-003823 · doc4.xml · nonDerivative · entry 2 Zimmerman Bruce · CIK 0001720536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,000 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 18:41 UTC |
Zimmerman BruceDirector
|
PurchaseCommon Stock | 1,600 | $4.41 | $7,056.00 |
DisclosureSEC source: 0000899243-18-003823 · doc4.xml · nonDerivative · entry 1 Zimmerman Bruce · CIK 0001720536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,600 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 18:41 UTC |
Gamsin MarcDirector
|
PurchaseCommon Stock | 35,000 | $4.39 | $153,643.00 |
DisclosureSEC source: 0000899243-18-003822 · doc4.xml · nonDerivative · entry 1 Gamsin Marc · CIK 0001570488 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 F1 · price: The shares reported as purchased on February 12, 2018 were purchased in multiple transactions at actual purchase prices ranging from $4.365 to $4.40 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:54 UTC |
Zimmerman BruceDirector
|
PurchaseCommon Stock | 2,000 | $4.74 | $9,480.00 |
DisclosureSEC source: 0000899243-17-029210 · doc4.xml · nonDerivative · entry 5 Zimmerman Bruce · CIK 0001720536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:54 UTC |
Zimmerman BruceDirector
|
PurchaseCommon Stock | 2,000 | $4.74 | $9,480.00 |
DisclosureSEC source: 0000899243-17-029210 · doc4.xml · nonDerivative · entry 4 Zimmerman Bruce · CIK 0001720536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:54 UTC |
Zimmerman BruceDirector
|
PurchaseCommon Stock | 2,000 | $4.74 | $9,480.00 |
DisclosureSEC source: 0000899243-17-029210 · doc4.xml · nonDerivative · entry 3 Zimmerman Bruce · CIK 0001720536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:54 UTC |
Zimmerman BruceDirector
|
PurchaseCommon Stock | 2,000 | $4.74 | $9,480.00 |
DisclosureSEC source: 0000899243-17-029210 · doc4.xml · nonDerivative · entry 2 Zimmerman Bruce · CIK 0001720536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:54 UTC |
Zimmerman BruceDirector
|
PurchaseCommon Stock | 2,000 | $4.74 | $9,480.00 |
DisclosureSEC source: 0000899243-17-029210 · doc4.xml · nonDerivative · entry 1 Zimmerman Bruce · CIK 0001720536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:51 UTC |
Lee EdgarSee Remarks
|
PurchaseCommon Stock | 7,476 | $4.66 | $34,872.55 |
DisclosureSEC source: 0000899243-17-029209 · doc4.xml · nonDerivative · entry 2 Lee Edgar · CIK 0001511022 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:51 UTC |
Lee EdgarSee Remarks
|
PurchaseCommon Stock | 4,524 | $4.67 | $21,125.27 |
DisclosureSEC source: 0000899243-17-029209 · doc4.xml · nonDerivative · entry 1 Lee Edgar · CIK 0001511022 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,524 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:47 UTC |
Pendo MathewChief Operating Officer
|
PurchaseCommon Stock | 1,400 | $4.66 | $6,524.00 |
DisclosureSEC source: 0000899243-17-029205 · doc4.xml · nonDerivative · entry 3 Pendo Mathew · CIK 0001603759 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:47 UTC |
Pendo MathewChief Operating Officer
|
PurchaseCommon Stock | 100 | $4.66 | $465.50 |
DisclosureSEC source: 0000899243-17-029205 · doc4.xml · nonDerivative · entry 2 Pendo Mathew · CIK 0001603759 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,600 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:47 UTC |
Pendo MathewChief Operating Officer
|
PurchaseCommon Stock | 10,500 | $4.66 | $48,930.00 |
DisclosureSEC source: 0000899243-17-029205 · doc4.xml · nonDerivative · entry 1 Pendo Mathew · CIK 0001603759 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,500 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:42 UTC |
Frank JohnDirector
|
PurchaseCommon Stock | 28,784 | $4.74 | $136,318.15 |
DisclosureSEC source: 0000899243-17-029203 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,784 Read SEC document |
| December 14, 2017 Filed Dec 16, 2017 02:27 UTC |
OAKTREE CAPITAL MANAGEMENT LP10% owner
Oaktree Holdings, Inc.10% owner
Brookfield Oaktree Holdings, LLC10% owner
|
PurchaseCommon Stock | 138,000 | $4.78 | $659,129.40 |
DisclosureSEC source: 0000899243-17-028897 · doc4.xml · nonDerivative · entry 2 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Oaktree Capital I, L.P. Disclosed balance after: 276,000 F2 · price: The shares reported as purchased on December 14, 2017 were purchased in multiple transactions at actual purchase prices ranging from $4.68 to $4.84 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F3 · ownership.nature: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I") purchased shares of the common stock (the "Common Stock") of Oaktree Specialty Lending Corporation ("Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F4 · ownership.nature: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation, the Tannenbaum Family 2012 Trust and 777 West Putnam Avenue LLC (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. Read SEC document |
| December 13, 2017 Filed Dec 16, 2017 02:27 UTC |
OAKTREE CAPITAL MANAGEMENT LP10% owner
Oaktree Holdings, Inc.10% owner
Brookfield Oaktree Holdings, LLC10% owner
|
PurchaseCommon Stock | 138,000 | $4.80 | $662,234.40 |
DisclosureSEC source: 0000899243-17-028897 · doc4.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Oaktree Capital I, L.P. Disclosed balance after: 138,000 F1 · price: The shares reported as purchased on December 13, 2017 were purchased in multiple transactions at actual purchase prices ranging from $4.775 to $4.83 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F3 · ownership.nature: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I") purchased shares of the common stock (the "Common Stock") of Oaktree Specialty Lending Corporation ("Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F4 · ownership.nature: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation, the Tannenbaum Family 2012 Trust and 777 West Putnam Avenue LLC (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. Read SEC document |
| December 13, 2017 Filed Dec 16, 2017 02:30 UTC |
Jacobson Craig ADirector
|
PurchaseCommon Stock | 31,200 | $4.80 | $149,641.44 |
DisclosureSEC source: 0000899243-17-028900 · doc4.xml · nonDerivative · entry 1 Jacobson Craig A · CIK 0001419485 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,200 F1 · price: The shares reported as purchased on December 13, 2017 were purchased in multiple transactions at actual purchase prices ranging from $4.77 to $4.825 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| December 13, 2017 Filed Dec 16, 2017 02:34 UTC |
Ruben RichardDirector
|
PurchaseCommon Stock | 15,700 | $4.79 | $75,196.72 |
DisclosureSEC source: 0000899243-17-028904 · doc4.xml · nonDerivative · entry 1 Ruben Richard · CIK 0001720535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,250 F1 · price: The shares reported as purchased on December 13, 2017 were purchased in multiple transactions at actual purchase prices ranging from $4.785 to $4.79 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| December 06, 2017 Filed Dec 7, 2017 21:33 UTC |
Ruben RichardDirector
|
PurchaseCommon Stock | 1,350 | $4.82 | $6,506.33 |
DisclosureSEC source: 0000899243-17-028169 · doc4.xml · nonDerivative · entry 3 Ruben Richard · CIK 0001720535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,550 Read SEC document |
| December 06, 2017 Filed Dec 7, 2017 21:33 UTC |
Ruben RichardDirector
|
PurchaseCommon Stock | 7,800 | $4.82 | $37,627.20 |
DisclosureSEC source: 0000899243-17-028169 · doc4.xml · nonDerivative · entry 2 Ruben Richard · CIK 0001720535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,200 Read SEC document |
| December 05, 2017 Filed Dec 7, 2017 21:33 UTC |
Ruben RichardDirector
|
PurchaseCommon Stock | 5,400 | $4.80 | $25,943.76 |
DisclosureSEC source: 0000899243-17-028169 · doc4.xml · nonDerivative · entry 1 Ruben Richard · CIK 0001720535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,400 Read SEC document |
| October 19, 2017 Filed Oct 23, 2017 20:19 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 437,799 | $5.56 | $2,434,162.44 |
DisclosureSEC source: 0001414932-17-000029 · wf-form4_150878998144721.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,961,721 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.55 to $5.60; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| October 19, 2017 Filed Oct 23, 2017 20:19 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 971,807 | $5.56 | $5,403,246.92 |
DisclosureSEC source: 0001414932-17-000029 · wf-form4_150878998144721.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,643,009 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.55 to $5.60; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| October 19, 2017 Filed Oct 25, 2017 20:51 UTC Amendment |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 437,799 | $5.56 | $2,434,162.44 |
DisclosureSEC source: 0001144204-17-054130 · tv477739_4.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,961,721 F1 · kind: The transaction code is corrected from the reporting person's Form 4 filed on October 23, 2017. F2 · price: This transaction was executed in multiple trades at prices ranging from $5.55 to $5.60; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F3 · ownership.nature: These shares of Common Stock are held by Fifth Street Holdings L.P. ("FSH"), a Delaware limited partnership. Fifth Street Asset Management Inc. ("FSAM") is the general partner of FSH, and Mr. Tannenbaum is the Chairman and Chief Executive Officer of FSAM. Mr. Tannenbaum is also the controlling stockholder of FSAM. Mr. Tannenbaum may be deemed a beneficial owner of such shares of Common Stock, but disclaims beneficial ownership thereof except to the extent of his pecuniary interest. Read SEC document |
| October 19, 2017 Filed Oct 25, 2017 20:51 UTC Amendment |
TANNENBAUM LEONARD M10% owner
|
SaleCommon Stock | 971,807 | $5.56 | $5,403,246.92 |
DisclosureSEC source: 0001144204-17-054130 · tv477739_4.xml · nonDerivative · entry 1 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,643,009 F1 · kind: The transaction code is corrected from the reporting person's Form 4 filed on October 23, 2017. F2 · price: This transaction was executed in multiple trades at prices ranging from $5.55 to $5.60; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 09:10 UTC |
Berman Bernard DDirector · Chief Executive Officer
|
SaleCommon Stock | 20,000 | $5.43 | $108,600.00 |
DisclosureSEC source: 0001144204-17-051057 · v476327_4.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,968 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.42 to $5.4301; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 21:47 UTC |
TANNENBAUM LEONARD M10% owner
|
PurchaseCommon Stock | 102,000 | $4.71 | $480,420.00 |
DisclosureSEC source: 0001414932-17-000019 · wf-form4_149091045385074.xml · nonDerivative · entry 2 TANNENBAUM LEONARD M · CIK 0001200461 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,614,816.404 F2 · price: Mr. Tannenbaum has previously disgorged to FSC profits realized in connection with purchases of an aggregate of 242,289 shares of FSC common stock occurring at prices less than or equal to $4.40 per share. Because the transactions reported herein occurred at prices greater than $4.40 per share, there are no additional recoverable profits subject to disgorgement to FSC. F3 · price: This transaction was executed in multiple trades at prices ranging from $4.69 to $4.74; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. 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.