Tapewire

Nasdaq · USD

OPXS

Optex Systems Holdings Inc

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Tapewire entity
7005
SEC CIK
0001397016
Parsed reports
77

Last 12 months

Inside the activity.

0 purchase rows · 8 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202607
Feb 202600
Mar 202601
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 13, 2024 Filed Mar 15, 2024 13:01 UTC Tax withholdingCOMMON STOCK 1,641 $6.95 $11,404.95
Disclosure

SEC source: 0001500557-24-000002 · primary_doc.xml · nonDerivative · entry 2

HAWKINS KAREN LEA · CIK 0001500557 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,310

Read SEC document
March 13, 2024 Filed Mar 15, 2024 13:12 UTC
SCHOENING DANNY ROBERTDirector · PRESIDENT & CEO · 10% owner
Tax withholdingCOMMON STOCK 4,690 $6.95 $32,595.50
Disclosure

SEC source: 0001500558-24-000002 · primary_doc.xml · nonDerivative · entry 2

SCHOENING DANNY ROBERT · CIK 0001500558 · Director · PRESIDENT & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 929,478

Read SEC document
March 11, 2024 Filed Mar 15, 2024 13:01 UTC Exercise / conversionPERFORMANCE SHARES · Derivative 7,000 $0.00 $0.00
Disclosure

SEC source: 0001500557-24-000002 · primary_doc.xml · derivative · entry 3

HAWKINS KAREN LEA · CIK 0001500557 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,000

Underlying: COMMON STOCK · 7,000 shares

Expires 2028-10-01

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.

F1 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

F1 · derivative.exercise_date: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
March 11, 2024 Filed Mar 15, 2024 13:01 UTC Exercise / conversionCOMMON STOCK 7,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001500557-24-000002 · primary_doc.xml · nonDerivative · entry 1

HAWKINS KAREN LEA · CIK 0001500557 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,951

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 performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
March 11, 2024 Filed Mar 15, 2024 13:12 UTC
SCHOENING DANNY ROBERTDirector · PRESIDENT & CEO · 10% owner
Exercise / conversionPERFORMANCE SHARES · Derivative 20,000 $0.00 $0.00
Disclosure

SEC source: 0001500558-24-000002 · primary_doc.xml · derivative · entry 3

SCHOENING DANNY ROBERT · CIK 0001500558 · Director · PRESIDENT & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20

Underlying: COMMON STOCK · 20,000 shares

Expires 2028-10-01

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.

F1 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

F1 · derivative.exercise_date: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
March 11, 2024 Filed Mar 15, 2024 13:12 UTC
SCHOENING DANNY ROBERTDirector · PRESIDENT & CEO · 10% owner
Exercise / conversionCOMMON STOCK 20,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001500558-24-000002 · primary_doc.xml · nonDerivative · entry 1

SCHOENING DANNY ROBERT · CIK 0001500558 · Director · PRESIDENT & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 934,168

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 performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
January 05, 2024 Filed Jan 10, 2024 21:30 UTC Tax withholdingCOMMON STOCK 4,151 $6.32 $26,234.32
Disclosure

SEC source: 0001500557-24-000001 · primary_doc.xml · nonDerivative · entry 2

HAWKINS KAREN LEA · CIK 0001500557 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,951

Read SEC document
January 05, 2024 Filed Jan 10, 2024 21:22 UTC
SCHOENING DANNY ROBERTDirector · PRESIDENT & CEO · 10% owner
Tax withholdingCOMMON STOCK 10,286 $6.32 $65,007.52
Disclosure

SEC source: 0001500558-24-000001 · primary_doc.xml · nonDerivative · entry 2

SCHOENING DANNY ROBERT · CIK 0001500558 · Director · PRESIDENT & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 914,168

Read SEC document
December 29, 2023 Filed Jan 10, 2024 21:30 UTC Exercise / conversionPERFORMANCE SHARES · Derivative 14,000 $0.00 $0.00
Disclosure

SEC source: 0001500557-24-000001 · primary_doc.xml · derivative · entry 3

HAWKINS KAREN LEA · CIK 0001500557 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,000

Underlying: COMMON STOCK · 14,000 shares

Expires 2028-10-01

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.

F1 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

F1 · derivative.exercise_date: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
December 29, 2023 Filed Jan 10, 2024 21:30 UTC Exercise / conversionCOMMON STOCK 14,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001500557-24-000001 · primary_doc.xml · nonDerivative · entry 1

HAWKINS KAREN LEA · CIK 0001500557 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,102

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 performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
December 29, 2023 Filed Jan 10, 2024 21:22 UTC
SCHOENING DANNY ROBERTDirector · PRESIDENT & CEO · 10% owner
Exercise / conversionPERFORMANCE SHARES · Derivative 40,000 $0.00 $0.00
Disclosure

SEC source: 0001500558-24-000001 · primary_doc.xml · derivative · entry 3

SCHOENING DANNY ROBERT · CIK 0001500558 · Director · PRESIDENT & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: COMMON STOCK · 40,000 shares

Expires 2028-10-01

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.

F1 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

F1 · derivative.exercise_date: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
December 29, 2023 Filed Jan 10, 2024 21:22 UTC
SCHOENING DANNY ROBERTDirector · PRESIDENT & CEO · 10% owner
Exercise / conversionCOMMON STOCK 40,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001500558-24-000001 · primary_doc.xml · nonDerivative · entry 1

SCHOENING DANNY ROBERT · CIK 0001500558 · Director · PRESIDENT & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 924,454

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 performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
October 02, 2023 Filed Oct 17, 2023 22:38 UTC Exercise / conversionPERFORMANCE SHARES · Derivative 7,000 $0.00 $0.00
Disclosure

SEC source: 0001500557-23-000002 · primary_doc.xml · derivative · entry 3

HAWKINS KAREN LEA · CIK 0001500557 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,000

Underlying: COMMON STOCK · 7,000 shares

Expires 2028-10-01

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.

F1 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

F1 · derivative.exercise_date: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
October 02, 2023 Filed Oct 17, 2023 22:38 UTC Tax withholdingCOMMON STOCK 1,540 $3.98 $6,129.20
Disclosure

SEC source: 0001500557-23-000002 · primary_doc.xml · nonDerivative · entry 2

HAWKINS KAREN LEA · CIK 0001500557 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,102

Read SEC document
October 02, 2023 Filed Oct 17, 2023 22:38 UTC Exercise / conversionCOMMON STOCK 7,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001500557-23-000002 · primary_doc.xml · nonDerivative · entry 1

HAWKINS KAREN LEA · CIK 0001500557 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,642

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 performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
October 02, 2023 Filed Oct 17, 2023 22:31 UTC
SCHOENING DANNY ROBERTDirector · PRESIDENT & CEO · 10% owner
Exercise / conversionPERFORMANCE SHARES · Derivative 20,000 $0.00 $0.00
Disclosure

SEC source: 0001500558-23-000003 · primary_doc.xml · derivative · entry 3

SCHOENING DANNY ROBERT · CIK 0001500558 · Director · PRESIDENT & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: COMMON STOCK · 20,000 shares

Expires 2028-10-01

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.

F1 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

F1 · derivative.exercise_date: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
October 02, 2023 Filed Oct 17, 2023 22:31 UTC
SCHOENING DANNY ROBERTDirector · PRESIDENT & CEO · 10% owner
Tax withholdingCOMMON STOCK 4,400 $3.98 $17,512.00
Disclosure

SEC source: 0001500558-23-000003 · primary_doc.xml · nonDerivative · entry 2

SCHOENING DANNY ROBERT · CIK 0001500558 · Director · PRESIDENT & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 884,454

Read SEC document
October 02, 2023 Filed Oct 17, 2023 22:31 UTC
SCHOENING DANNY ROBERTDirector · PRESIDENT & CEO · 10% owner
Exercise / conversionCOMMON STOCK 20,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001500558-23-000003 · primary_doc.xml · nonDerivative · entry 1

SCHOENING DANNY ROBERT · CIK 0001500558 · Director · PRESIDENT & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 888,854

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 performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
May 09, 2023 Filed May 11, 2023 16:05 UTC
Dayton JuddDirector · 10% owner
GrantCOMMON STOCK 40,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-23-016381 · ownership.xml · nonDerivative · entry 1

Dayton Judd · CIK 0001643192 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

F1 · shares: Award of restricted stock that vests in two equal increments on 01/01/2024 and 01/01/2025. The NASDAQ closing price per share of common stock on the date of grant was $3.09.

F1 · price: Award of restricted stock that vests in two equal increments on 01/01/2024 and 01/01/2025. The NASDAQ closing price per share of common stock on the date of grant was $3.09.

Read SEC document
May 03, 2023 Filed May 5, 2023 11:18 UTC GrantPERFORMANCE SHARES · Derivative 35,000 $0.00 $0.00
Disclosure

SEC source: 0001500557-23-000001 · primary_doc.xml · derivative · entry 1

HAWKINS KAREN LEA · CIK 0001500557 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: COMMON STOCK · 35,000 shares

Expires 2028-10-01

F1 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

F1 · derivative.exercise_date: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
May 03, 2023 Filed May 5, 2023 11:12 UTC
SCHOENING DANNY ROBERTDirector · PRESIDENT & CEO · 10% owner
GrantPERFORMANCE SHARES · Derivative 100,000 $0.00 $0.00
Disclosure

SEC source: 0001500558-23-000002 · primary_doc.xml · derivative · entry 1

SCHOENING DANNY ROBERT · CIK 0001500558 · Director · PRESIDENT & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: COMMON STOCK · 100,000 shares

Expires 2028-10-01

F1 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

F1 · derivative.exercise_date: Each performance share represents a contingent right to receive one share of OPXS common stock. The performance shares vest in five equal increments if, in each case and during a performance period beginning on October 2, 2023, the average VWAP per share of OPXS common stock over a 30 consecutive trading day period equals or exceeds a specified price.

Read SEC document
April 06, 2023 Filed Apr 7, 2023 23:30 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
PurchaseCommon Stock 15,000 $2.99 $44,850.00
Disclosure

SEC source: 0001792549-23-000006 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 806,063

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
April 06, 2023 Filed Apr 7, 2023 23:25 UTC PurchaseCommon Stock 15,000 $2.99 $44,850.00
Disclosure

SEC source: 0001754074-23-000005 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 806,063

Read SEC document
April 05, 2023 Filed Apr 7, 2023 23:30 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
PurchaseCommon Stock 2,400 $2.96 $7,104.00
Disclosure

SEC source: 0001792549-23-000006 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 791,063

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
April 05, 2023 Filed Apr 7, 2023 23:25 UTC PurchaseCommon Stock 2,400 $2.96 $7,104.00
Disclosure

SEC source: 0001754074-23-000005 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 791,063

Read SEC document
January 04, 2023 Filed Jan 5, 2023 21:03 UTC
SCHOENING DANNY ROBERTDirector · PRESIDENT & CEO · 10% owner
GrantCOMMON STOCK 34,824 $2.94 $102,382.56
Disclosure

SEC source: 0001500558-23-000001 · primary_doc.xml · nonDerivative · entry 1

SCHOENING DANNY ROBERT · CIK 0001500558 · Director · PRESIDENT & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 868,854

F1 · shares: Shares issued upon settlement of RSUs previously granted to Mr. Schoening.

Read SEC document
September 20, 2022 Filed Sep 22, 2022 22:24 UTC OtherCommon Stock 88,858 $2.65 $235,473.70
Disclosure

SEC source: 0001493152-22-026592 · ownership.xml · nonDerivative · entry 2

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: 6,888

F1 · kind: Shares Sold in Issuer Tender Offer.

F2 · ownership.nature: Shares held of record by Nicoya Fund LLC. The reporting person is the managing member of Nicoya Capital LLC, which is the managing member of Nicoya Fund LLC.

Read SEC document
September 20, 2022 Filed Sep 22, 2022 22:24 UTC OtherCommon Stock 21,624 $2.65 $57,303.60
Disclosure

SEC source: 0001493152-22-026592 · ownership.xml · nonDerivative · entry 1

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,677

F1 · kind: Shares Sold in Issuer Tender Offer.

Read SEC document
September 20, 2022 Filed Sep 22, 2022 22:22 UTC
HAWKINS KAREN LEAChief Financial Officer
OtherCommon Stock 227,610 $2.65 $603,166.50
Disclosure

SEC source: 0001493152-22-026590 · ownership.xml · nonDerivative · entry 1

HAWKINS KAREN LEA · CIK 0001500557 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,642

F1 · kind: Shares Sold in Issuer Tender Offer.

Read SEC document
January 04, 2022 Filed Jan 24, 2022 21:26 UTC GrantCOMMON STOCK 11,608 $1.91 $22,171.28
Disclosure

SEC source: 0001500557-22-000002 · primary_doc.xml · nonDerivative · entry 5

HAWKINS KAREN LEA · CIK 0001500557 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,252

F1 · shares: Shares issued as a result of settlement of RSUs previously issued to Ms. Hawkins.

Read SEC document
September 14, 2021 Filed Sep 16, 2021 00:16 UTC PurchaseCommon Stock 500 $1.75 $875.00
Disclosure

SEC source: 0001493152-21-022849 · ownership.xml · nonDerivative · entry 2

Lehmann Dale E · CIK 0001793666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,558

Read SEC document
September 09, 2021 Filed Sep 16, 2021 00:16 UTC PurchaseCommon Stock 4,500 $1.71 $7,677.00
Disclosure

SEC source: 0001493152-21-022849 · ownership.xml · nonDerivative · entry 1

Lehmann Dale E · CIK 0001793666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,058

Read SEC document
September 08, 2021 Filed Sep 8, 2021 23:11 UTC PurchaseCommon Stock 10,000 $1.68 $16,750.00
Disclosure

SEC source: 0001493152-21-022234 · ownership.xml · nonDerivative · entry 3

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Note 2

Disclosed balance after: 95,746

F2 · balance_after: Shares purchased by the Nicoya Fund LLC, bringing total ownership by Nicoya Fund to 95,746 shares. This reporting person is the managing member of Nicoya Capital LLC, which is the managing member of the Nicoya Fund.

Read SEC document
September 07, 2021 Filed Sep 8, 2021 23:11 UTC PurchaseCommon Stock 8,846 $1.66 $14,684.36
Disclosure

SEC source: 0001493152-21-022234 · ownership.xml · nonDerivative · entry 2

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Note 2

Disclosed balance after: 85,746

F2 · balance_after: Shares purchased by the Nicoya Fund LLC, bringing total ownership by Nicoya Fund to 95,746 shares. This reporting person is the managing member of Nicoya Capital LLC, which is the managing member of the Nicoya Fund.

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September 03, 2021 Filed Sep 8, 2021 23:11 UTC PurchaseCommon Stock 4,991 $1.65 $8,235.15
Disclosure

SEC source: 0001493152-21-022234 · ownership.xml · nonDerivative · entry 1

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,301

F1 · balance_after: 80,000 shares represented by this figure are subject to vesting as previously disclosed.

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September 01, 2021 Filed Sep 2, 2021 14:50 UTC PurchaseCommon Stock 5,810 $1.56 $9,063.60
Disclosure

SEC source: 0001493152-21-021846 · ownership.xml · nonDerivative · entry 2

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,310

F1 · balance_after: Mr. Malhotra is also the indirect beneficial owner of 76,900 shares which are directly owned by The Nicoya Fund, LLC, a Delaware limited liability company. This reporting person is the managing member of Nicoya Capital LLC, which is the managing member of the Nicoya Fund.

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September 01, 2021 Filed Sep 2, 2021 14:50 UTC PurchaseCommon Stock 2,500 $1.55 $3,875.00
Disclosure

SEC source: 0001493152-21-021846 · ownership.xml · nonDerivative · entry 1

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,500

F1 · balance_after: Mr. Malhotra is also the indirect beneficial owner of 76,900 shares which are directly owned by The Nicoya Fund, LLC, a Delaware limited liability company. This reporting person is the managing member of Nicoya Capital LLC, which is the managing member of the Nicoya Fund.

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September 01, 2021 Filed Sep 2, 2021 14:32 UTC PurchaseCommon Stock 10,000 $1.56 $15,600.00
Disclosure

SEC source: 0001493152-21-021844 · ownership.xml · nonDerivative · entry 1

Hagenbuch Lawrence F · CIK 0001564286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

F1 · shares: Restricted stock grant vesting in five equal amounts of 20,000 shares on each of January 1, 2021, January 1, 2022, January 1, 2023, January 1, 2024 and January 1, 2025.

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September 01, 2021 Filed Jan 24, 2022 21:26 UTC SaleCOMMON STOCK 6,000 $1.56 $9,360.00
Disclosure

SEC source: 0001500557-22-000002 · primary_doc.xml · nonDerivative · entry 4

HAWKINS KAREN LEA · CIK 0001500557 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,644

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August 26, 2021 Filed Aug 28, 2021 01:50 UTC PurchaseCommon Stock 24,000 $1.46 $35,040.00
Disclosure

SEC source: 0001683168-21-003973 · ownership.xml · nonDerivative · entry 1

Fields Ephraim G · CIK 0001510865 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,154,399

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August 26, 2021 Filed Sep 1, 2021 20:58 UTC Amendment PurchaseCommon Stock 24,000 $1.46 $35,040.00
Disclosure

SEC source: 0001683168-21-004035 · ownership.xml · nonDerivative · entry 1

Fields Ephraim G · CIK 0001510865 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,154,399

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August 26, 2021 Filed Sep 2, 2021 16:25 UTC PurchaseCommon Stock 100 $1.48 $147.50
Disclosure

SEC source: 0001493152-21-021848 · ownership.xml · nonDerivative · entry 6

Lehmann Dale E · CIK 0001793666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,658

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August 26, 2021 Filed Sep 2, 2021 16:25 UTC PurchaseCommon Stock 400 $1.48 $592.00
Disclosure

SEC source: 0001493152-21-021848 · ownership.xml · nonDerivative · entry 5

Lehmann Dale E · CIK 0001793666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,558

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August 26, 2021 Filed Sep 2, 2021 16:25 UTC PurchaseCommon Stock 2,000 $1.50 $3,000.00
Disclosure

SEC source: 0001493152-21-021848 · ownership.xml · nonDerivative · entry 4

Lehmann Dale E · CIK 0001793666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,158

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August 25, 2021 Filed Sep 2, 2021 16:25 UTC PurchaseCommon Stock 10,000 $1.50 $15,000.00
Disclosure

SEC source: 0001493152-21-021848 · ownership.xml · nonDerivative · entry 3

Lehmann Dale E · CIK 0001793666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,158

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August 23, 2021 Filed Sep 2, 2021 16:25 UTC PurchaseCommon Stock 9,858 $1.50 $14,787.00
Disclosure

SEC source: 0001493152-21-021848 · ownership.xml · nonDerivative · entry 2

Lehmann Dale E · CIK 0001793666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,158

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August 20, 2021 Filed Sep 2, 2021 16:25 UTC PurchaseCommon Stock 800 $1.55 $1,240.00
Disclosure

SEC source: 0001493152-21-021848 · ownership.xml · nonDerivative · entry 1

Lehmann Dale E · CIK 0001793666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,300

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January 21, 2021 Filed Jan 21, 2021 22:30 UTC SaleCommon Stock 12,700 $2.02 $25,654.00
Disclosure

SEC source: 0001683168-21-000216 · ownership.xml · nonDerivative · entry 3

Fields Ephraim G · CIK 0001510865 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,130,399

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January 20, 2021 Filed Jan 21, 2021 22:30 UTC SaleCommon Stock 26,776 $2.01 $53,819.76
Disclosure

SEC source: 0001683168-21-000216 · ownership.xml · nonDerivative · entry 2

Fields Ephraim G · CIK 0001510865 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,143,099

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January 19, 2021 Filed Jan 21, 2021 22:30 UTC SaleCommon Stock 9,299 $2.08 $19,341.92
Disclosure

SEC source: 0001683168-21-000216 · ownership.xml · nonDerivative · entry 1

Fields Ephraim G · CIK 0001510865 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,169,875

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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.