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ORC

Orchid Island Capital, Inc.

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4781
SEC CIK
0001518621
Parsed reports
346

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 10, 2018 Filed Apr 4, 2019 21:02 UTC
Parker Ava LDirector
GrantDeferred Stock Units · Derivative 37 $0.00 $0.00
Disclosure

SEC source: 0001275477-19-000039 · form4.xml · derivative · entry 1

Parker Ava L · CIK 0001526207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,967

Underlying: Common Stock · 37 shares

Expires not disclosed

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

F2 · shares: Deferred stock units issued in lieu of the issuer's monthly dividend pursuant to the reporting person's election.

F3 · derivative.exercise_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

F3 · derivative.expiration_date: The deferred stock units are 100% vested but do not become payable until the reporting person's separation from service as a director of the Issuer.

Read SEC document
January 03, 2018 Filed Jan 3, 2018 21:42 UTC GrantCommon Stock 250 $9.28 $2,320.00
Disclosure

SEC source: 0001275477-18-000011 · form4.xml · nonDerivative · entry 1

Morabito Paula · CIK 0001726294 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,250

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.28 per share, which represents the closing price on December 29, 2017.

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.28 per share, which represents the closing price on December 29, 2017.

Read SEC document
January 03, 2018 Filed Jan 3, 2018 21:40 UTC GrantCommon Stock 1,212 $9.28 $11,247.36
Disclosure

SEC source: 0001275477-18-000009 · form4.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,773

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.28 per share, which represents the closing price on December 29, 2017.

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.28 per share, which represents the closing price on December 29, 2017.

Read SEC document
January 03, 2018 Filed Jan 3, 2018 21:36 UTC GrantCommon Stock 1,212 $9.28 $11,247.36
Disclosure

SEC source: 0001275477-18-000006 · form4.xml · nonDerivative · entry 1

Bitting W Coleman · CIK 0001526170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,368.334

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.28 per share, which represents the closing price on December 29, 2017.

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.28 per share, which represents the closing price on December 29, 2017.

Read SEC document
January 03, 2018 Filed Jan 3, 2018 21:30 UTC
Parker Ava LDirector
GrantCommon Stock 1,212 $9.28 $11,247.36
Disclosure

SEC source: 0001275477-18-000002 · form4.xml · nonDerivative · entry 1

Parker Ava L · CIK 0001526207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,582

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.28 per share, which represents the closing price on December 29, 2017.

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.28 per share, which represents the closing price on December 29, 2017.

Read SEC document
December 29, 2017 Filed Jan 3, 2018 21:47 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
Tax withholdingCommon Stock 457 $9.40 $4,295.80
Disclosure

SEC source: 0001275477-18-000013 · form4.xml · nonDerivative · entry 3

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,000

F4 · shares: The Reporting Person disposed of these shares to the Issuer to satisfy the Reporting Person's estimated tax withholding obligations in connection with the shares issued on December 29, 2017.

F3 · price: The price represents the closing price of the Company's common stock on December 28, 2017.

Read SEC document
December 29, 2017 Filed Jan 3, 2018 21:47 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
Exercise / conversionCommon Stock 1,721 $9.40 $16,177.40
Disclosure

SEC source: 0001275477-18-000013 · form4.xml · nonDerivative · entry 2

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,457

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.

F2 · shares: These shares represent 1,721 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on March 15, 2016 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan and 2015 Long Term Equity Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2017 and concluding with the quarter ended June 30, 2019.

F3 · price: The price represents the closing price of the Company's common stock on December 28, 2017.

Read SEC document
December 29, 2017 Filed Jan 3, 2018 21:47 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
Exercise / conversionCommon Stock 337 $9.40 $3,167.80
Disclosure

SEC source: 0001275477-18-000013 · form4.xml · nonDerivative · entry 1

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,736

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 · shares: These shares represent 337 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on January 21, 2015 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2016 and concluding with the quarter ended June 30, 2018. The Reporting Person received cash in lieu of fractional shares.

F3 · price: The price represents the closing price of the Company's common stock on December 28, 2017.

Read SEC document
December 29, 2017 Filed Jan 3, 2018 22:32 UTC
Cauley Robert EDirector · CEO
Exercise / conversionCommon Stock 2,103 $9.40 $19,768.20
Disclosure

SEC source: 0001275477-18-000017 · form4.xml · nonDerivative · entry 2

Cauley Robert E · CIK 0001303084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,344

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.

F2 · shares: These shares represent 2,103 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on March 15, 2016 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan and 2015 Long Term Equity Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2017 and concluding with the quarter ended June 30, 2019.

F3 · price: The price represents the closing price of the Company's common stock on December 28, 2017.

Read SEC document
December 29, 2017 Filed Jan 3, 2018 22:32 UTC
Cauley Robert EDirector · CEO
Exercise / conversionCommon Stock 412 $9.40 $3,872.80
Disclosure

SEC source: 0001275477-18-000017 · form4.xml · nonDerivative · entry 1

Cauley Robert E · CIK 0001303084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,241

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 · shares: These shares represent 412 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on January 21, 2015 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2016 and concluding with the quarter ended June 30, 2018. The Reporting Person received cash in lieu of fractional shares.

F3 · price: The price represents the closing price of the Company's common stock on December 28, 2017.

F4 · balance_after: Includes 386 shares acquired from June 2016 through December 2016, and 1,247 shares acquired from January 2017 through December 2017, respectively, pursuant to monthly dividend reinvestments in the Reporting Person's individual retirement account.

Read SEC document
October 02, 2017 Filed Oct 3, 2017 20:52 UTC GrantCommon Stock 1,104 $10.19 $11,249.76
Disclosure

SEC source: 0001275477-17-000083 · form4.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,561

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $10.19 per share, which represents the closing price on September 29, 2017.

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $10.19 per share, which represents the closing price on September 29, 2017.

Read SEC document
October 02, 2017 Filed Oct 3, 2017 20:53 UTC GrantCommon Stock 1,104 $10.19 $11,249.76
Disclosure

SEC source: 0001275477-17-000085 · form4.xml · nonDerivative · entry 1

Bitting W Coleman · CIK 0001526170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,156.334

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $10.19 per share, which represents the closing price on September 29, 2017.

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $10.19 per share, which represents the closing price on September 29, 2017.

Read SEC document
October 02, 2017 Filed Oct 3, 2017 20:50 UTC
Parker Ava LDirector
GrantCommon Stock 1,104 $10.19 $11,249.76
Disclosure

SEC source: 0001275477-17-000081 · form4.xml · nonDerivative · entry 1

Parker Ava L · CIK 0001526207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,370

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $10.19 per share, which represents the closing price on September 29, 2017.

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $10.19 per share, which represents the closing price on September 29, 2017.

Read SEC document
September 29, 2017 Filed Oct 3, 2017 20:58 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
Tax withholdingCommon Stock 470 $10.19 $4,789.30
Disclosure

SEC source: 0001275477-17-000089 · form4.xml · nonDerivative · entry 3

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,399

F4 · shares: The Reporting Person disposed of these shares to the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the shares issued on September 29, 2017.

F3 · price: The price represents the closing price of the Company's common stock on September 28, 2017.

Read SEC document
September 29, 2017 Filed Oct 3, 2017 20:58 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
Exercise / conversionCommon Stock 1,721 $10.19 $17,536.99
Disclosure

SEC source: 0001275477-17-000089 · form4.xml · nonDerivative · entry 2

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,869

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.

F2 · shares: These shares represent 1,721 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on March 15, 2016 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan and 2015 Long Term Equity Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2017 and concluding with the quarter ended June 30, 2019.

F3 · price: The price represents the closing price of the Company's common stock on September 28, 2017.

Read SEC document
September 29, 2017 Filed Oct 3, 2017 20:58 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
Exercise / conversionCommon Stock 337 $10.19 $3,434.03
Disclosure

SEC source: 0001275477-17-000089 · form4.xml · nonDerivative · entry 1

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,148

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 · shares: These shares represent 337 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on January 21, 2015 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2016 and concluding with the quarter ended June 30, 2018. The Reporting Person received cash in lieu of fractional shares.

F3 · price: The price represents the closing price of the Company's common stock on September 28, 2017.

Read SEC document
September 29, 2017 Filed Oct 3, 2017 20:56 UTC
Cauley Robert EDirector · CEO
Exercise / conversionCommon Stock 2,103 $10.19 $21,429.57
Disclosure

SEC source: 0001275477-17-000087 · form4.xml · nonDerivative · entry 2

Cauley Robert E · CIK 0001303084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,196

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.

F2 · shares: These shares represent 2,103 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on March 15, 2016 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan and 2015 Long Term Equity Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2017 and concluding with the quarter ended June 30, 2019.

F3 · price: The price represents the closing price of the Company's common stock on September 28, 2017.

Read SEC document
September 29, 2017 Filed Oct 3, 2017 20:56 UTC
Cauley Robert EDirector · CEO
Exercise / conversionCommon Stock 412 $10.19 $4,198.28
Disclosure

SEC source: 0001275477-17-000087 · form4.xml · nonDerivative · entry 1

Cauley Robert E · CIK 0001303084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,093

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 · shares: These shares represent 412 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on January 21, 2015 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2016 and concluding with the quarter ended June 30, 2018. The Reporting Person received cash in lieu of fractional shares.

F3 · price: The price represents the closing price of the Company's common stock on September 28, 2017.

Read SEC document
July 07, 2017 Filed Jul 12, 2017 01:39 UTC GrantCommon Stock 1,140 $9.86 $11,240.40
Disclosure

SEC source: 0001275477-17-000057 · form4.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,457

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.86 per share, which represents the closing price on June 30, 2017.

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.86 per share, which represents the closing price on June 30, 2017.

Read SEC document
July 07, 2017 Filed Jul 12, 2017 01:43 UTC GrantCommon Stock 1,140 $9.86 $11,240.40
Disclosure

SEC source: 0001275477-17-000060 · form4.xml · nonDerivative · entry 1

Bitting W Coleman · CIK 0001526170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,052.334

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.86 per share, which represents the closing price on June 30, 2017

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.86 per share, which represents the closing price on June 30, 2017

Read SEC document
July 07, 2017 Filed Jul 12, 2017 01:31 UTC
Parker Ava LDirector
GrantCommon Stock 1,140 $9.86 $11,240.40
Disclosure

SEC source: 0001275477-17-000053 · form4.xml · nonDerivative · entry 1

Parker Ava L · CIK 0001526207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,266

F1 · shares: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.86 per share, which represents the closing price on June 30, 2017

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.86 per share, which represents the closing price on June 30, 2017

Read SEC document
July 03, 2017 Filed Jul 6, 2017 20:54 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
Tax withholdingCommon Stock 482 $9.93 $4,786.26
Disclosure

SEC source: 0001275477-17-000051 · form4.xml · nonDerivative · entry 3

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,811

F4 · shares: The Reporting Person disposed of these shares to the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the shares issued on July 3, 2017.

F3 · price: The price represents the closing price of the Company's common stock on June 29, 2017.

Read SEC document
July 03, 2017 Filed Jul 6, 2017 20:54 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
Exercise / conversionCommon Stock 1,721 $9.93 $17,089.53
Disclosure

SEC source: 0001275477-17-000051 · form4.xml · nonDerivative · entry 2

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,293

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.

F2 · shares: These shares represent 1,721 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on March 15, 2016 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan and 2015 Long Term Equity Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2017 and concluding with the quarter ended June 30, 2019.

F3 · price: The price represents the closing price of the Company's common stock on June 29, 2017.

Read SEC document
July 03, 2017 Filed Jul 6, 2017 20:54 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
Exercise / conversionCommon Stock 337 $9.93 $3,346.41
Disclosure

SEC source: 0001275477-17-000051 · form4.xml · nonDerivative · entry 1

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,572

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 · shares: These shares represent 337 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on January 21, 2015 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2016 and concluding with the quarter ended June 30, 2018. The Reporting Person received cash in lieu of fractional shares.

F3 · price: The price represents the closing price of the Company's common stock on June 29, 2017.

Read SEC document
July 03, 2017 Filed Jul 6, 2017 20:45 UTC
Cauley Robert EDirector · CEO
Exercise / conversionCommon Stock 2,103 $9.93 $20,882.79
Disclosure

SEC source: 0001275477-17-000047 · form4.xml · nonDerivative · entry 2

Cauley Robert E · CIK 0001303084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,681

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.

F2 · shares: These shares represent 2,103 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on March 15, 2016 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan and 2015 Long Term Equity Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2017 and concluding with the quarter ended June 30, 2019.

F3 · price: The price represents the closing price of the Company's common stock on June 29, 2017.

Read SEC document
July 03, 2017 Filed Jul 6, 2017 20:45 UTC
Cauley Robert EDirector · CEO
Exercise / conversionCommon Stock 412 $9.93 $4,091.16
Disclosure

SEC source: 0001275477-17-000047 · form4.xml · nonDerivative · entry 1

Cauley Robert E · CIK 0001303084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,578

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 · shares: These shares represent 412 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on January 21, 2015 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2016 and concluding with the quarter ended June 30, 2018. The Reporting Person received cash in lieu of fractional shares.

F3 · price: The price represents the closing price of the Company's common stock on June 29, 2017.

Read SEC document
June 19, 2017 Filed Jun 20, 2017 20:31 UTC SaleCommon Stock 2,900 $10.09 $29,261.00
Disclosure

SEC source: 0001275477-17-000045 · form4.xml · nonDerivative · entry 3

Bitting W Coleman · CIK 0001526170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,912.334

F1 · shares: The sole purpose of these transactions was to cause shares to be owned in the reporting person's IRA and 401(k) accounts rather than his taxable account.

Read SEC document
June 19, 2017 Filed Jun 20, 2017 20:31 UTC PurchaseCommon Stock 162 $10.15 $1,644.30
Disclosure

SEC source: 0001275477-17-000045 · form4.xml · nonDerivative · entry 2

Bitting W Coleman · CIK 0001526170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,812.334

F1 · shares: The sole purpose of these transactions was to cause shares to be owned in the reporting person's IRA and 401(k) accounts rather than his taxable account.

Read SEC document
June 19, 2017 Filed Jun 20, 2017 20:31 UTC PurchaseCommon Stock 2,750 $10.10 $27,775.00
Disclosure

SEC source: 0001275477-17-000045 · form4.xml · nonDerivative · entry 1

Bitting W Coleman · CIK 0001526170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,650.334

F1 · shares: The sole purpose of these transactions was to cause shares to be owned in the reporting person's IRA and 401(k) accounts rather than his taxable account.

Read SEC document
April 06, 2017 Filed Apr 10, 2017 08:04 UTC GrantCommon Stock 1,126 $9.99 $11,248.74
Disclosure

SEC source: 0001179110-17-005885 · edgar.xml · nonDerivative · entry 1

HEUVELEN JOHN VAN · CIK 0001221440 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,457

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.99 per share, which represents the closing price on March 31, 2017.

Read SEC document
April 06, 2017 Filed Apr 10, 2017 12:05 UTC GrantCommon Stock 1,126 $9.99 $11,248.74
Disclosure

SEC source: 0001179110-17-005886 · edgar.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,317

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.99 per share, which represents the closing price on March 31, 2017.

Read SEC document
April 06, 2017 Filed Apr 10, 2017 12:05 UTC GrantCommon Stock 1,126 $9.99 $11,248.74
Disclosure

SEC source: 0001179110-17-005887 · edgar.xml · nonDerivative · entry 1

Bitting W Coleman · CIK 0001526170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,900.334

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.99 per share, which represents the closing price on March 31, 2017.

Read SEC document
April 05, 2017 Filed Apr 10, 2017 12:04 UTC
Parker Ava LDirector
GrantCommon Stock 1,126 $9.99 $11,248.74
Disclosure

SEC source: 0001179110-17-005884 · edgar.xml · nonDerivative · entry 1

Parker Ava L · CIK 0001526207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,126

F1 · price: These shares were issued in consideration for service on the Issuer's Board of Directors at a price of $9.99 per share, which represents the closing price on March 31, 2017.

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March 31, 2017 Filed Mar 31, 2017 20:24 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
Exercise / conversionComomon Stock 1,721 $9.97 $17,158.37
Disclosure

SEC source: 0001179110-17-005306 · edgar.xml · nonDerivative · entry 2

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,235

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.

F2 · shares: These shares represent 1,721 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on March 15, 2016 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan and 2015 Long Term Equity Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2017 and concluding with the quarter ended June 30, 2019.

F3 · price: The price represents the closing price of the Company's common stock on March 30, 2017.

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March 31, 2017 Filed Mar 31, 2017 20:24 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
Exercise / conversionCommon Stock 337 $9.97 $3,359.89
Disclosure

SEC source: 0001179110-17-005306 · edgar.xml · nonDerivative · entry 1

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,514

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 · shares: These shares represent 337 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on January 21, 2015 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2016 and concluding with the quarter ended June 30, 2018. The Reporting Person received cash in lieu of fractional shares.

F3 · price: The price represents the closing price of the Company's common stock on March 30, 2017.

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March 31, 2017 Filed Mar 31, 2017 20:24 UTC
Cauley Robert EDirector · CEO
Exercise / conversionCommon Stock 2,103 $9.97 $20,966.91
Disclosure

SEC source: 0001179110-17-005307 · edgar.xml · nonDerivative · entry 2

Cauley Robert E · CIK 0001303084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,166

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.

F2 · shares: These shares represent 2,103 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on March 15, 2016 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan and 2015 Long Term Equity Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2017 and concluding with the quarter ended June 30, 2019.

F3 · price: The price represents the closing price of the Company's Common Stock on March 30, 2017.

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March 31, 2017 Filed Mar 31, 2017 20:24 UTC
Cauley Robert EDirector · CEO
Exercise / conversionCommon Stock 412 $9.97 $4,107.64
Disclosure

SEC source: 0001179110-17-005307 · edgar.xml · nonDerivative · entry 1

Cauley Robert E · CIK 0001303084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,063

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 · shares: These shares represent 412 shares of the Company's common stock issued upon the vesting of Performance Units awarded to the Reporting Person on January 21, 2015 pursuant to the Issuer's 2012 Long Term Incentive Compensation Plan. Each Performance Unit represents the right to receive one share of the Company's common stock subject to the Reporting Person continuing to serve as an executive officer of the Issuer, and are earned at a rate of 10% per quarter commencing with the quarter ended March 31, 2016 and concluding with the quarter ended June 30, 2018. The Reporting Person received cash in lieu of fractional shares.

F3 · price: The price represents the closing price of the Company's Common Stock on March 30, 2017.

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March 31, 2017 Filed Mar 31, 2017 20:24 UTC
Parker Ava LDirector
SaleCommon Stock 11,477 $9.93 $113,966.61
Disclosure

SEC source: 0001179110-17-005305 · edgar.xml · nonDerivative · entry 1

Parker Ava L · CIK 0001526207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Read SEC document
March 13, 2017 Filed Mar 15, 2017 20:55 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
GrantPerformance Units · Derivative 6,152 $9.55 $58,751.60
Disclosure

SEC source: 0001179110-17-004634 · edgar.xml · derivative · entry 3

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,391.54

Underlying: Common Stock · 6,152 shares

Expires 2020-06-30

F4 · derivative.exercise_price: Each performance unit shall be settled by the issuance of one share of the Company's common stock, at which time the performance unit shall be cancelled. Each performance unit is subject to adjustment as set forth in a performance unit award agreement by and between the Issuer and the Reporting Person.

F3 · shares: Performance units issued under the 2012 Long Term Incentive Compensation Plan and the 2016 Long-Term Equity Incentive Compensation Plan. The price is based on the market closing price on March 13, 2017. The performance units are earned at the rate of 10% per quarter commencing with the quarter ending March 31, 2018 and concluding with the quarter ending June 30, 2020.

F4 · shares: Each performance unit shall be settled by the issuance of one share of the Company's common stock, at which time the performance unit shall be cancelled. Each performance unit is subject to adjustment as set forth in a performance unit award agreement by and between the Issuer and the Reporting Person.

F3 · price: Performance units issued under the 2012 Long Term Incentive Compensation Plan and the 2016 Long-Term Equity Incentive Compensation Plan. The price is based on the market closing price on March 13, 2017. The performance units are earned at the rate of 10% per quarter commencing with the quarter ending March 31, 2018 and concluding with the quarter ending June 30, 2020.

F3 · derivative.underlying_shares: Performance units issued under the 2012 Long Term Incentive Compensation Plan and the 2016 Long-Term Equity Incentive Compensation Plan. The price is based on the market closing price on March 13, 2017. The performance units are earned at the rate of 10% per quarter commencing with the quarter ending March 31, 2018 and concluding with the quarter ending June 30, 2020.

F4 · derivative.underlying_shares: Each performance unit shall be settled by the issuance of one share of the Company's common stock, at which time the performance unit shall be cancelled. Each performance unit is subject to adjustment as set forth in a performance unit award agreement by and between the Issuer and the Reporting Person.

F3 · balance_after: Performance units issued under the 2012 Long Term Incentive Compensation Plan and the 2016 Long-Term Equity Incentive Compensation Plan. The price is based on the market closing price on March 13, 2017. The performance units are earned at the rate of 10% per quarter commencing with the quarter ending March 31, 2018 and concluding with the quarter ending June 30, 2020.

Read SEC document
March 13, 2017 Filed Mar 15, 2017 20:55 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
Tax withholdingCommon Stock 461 $9.55 $4,402.55
Disclosure

SEC source: 0001179110-17-004634 · edgar.xml · nonDerivative · entry 2

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,177

F2 · shares: The Reporting Person disposed of these shares of the Company's common stock to the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the grant of shares that occurred on March 13, 2017.

F2 · price: The Reporting Person disposed of these shares of the Company's common stock to the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the grant of shares that occurred on March 13, 2017.

Read SEC document
March 13, 2017 Filed Mar 15, 2017 20:55 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
GrantCommon Stock 6,152 $9.55 $58,751.60
Disclosure

SEC source: 0001179110-17-004634 · edgar.xml · nonDerivative · entry 1

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,638

F1 · shares: Shares of the Company's common stock issued under the 2012 Long Term Incentive Compensation Plan and the 2016 Long-Term Equity Incentive Compensation Plan. The price is based on the market closing price on March 13, 2017.

F1 · price: Shares of the Company's common stock issued under the 2012 Long Term Incentive Compensation Plan and the 2016 Long-Term Equity Incentive Compensation Plan. The price is based on the market closing price on March 13, 2017.

Read SEC document
March 13, 2017 Filed Mar 15, 2017 20:55 UTC
Cauley Robert EDirector · President, CEO
GrantPerformance Units · Derivative 6,911 $9.55 $66,000.05
Disclosure

SEC source: 0001179110-17-004635 · edgar.xml · derivative · entry 3

Cauley Robert E · CIK 0001303084 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,425.96

Underlying: Common Stock · 6,911 shares

Expires 2020-06-30

F4 · derivative.exercise_price: Each performance unit shall be settled by the issuance of one share of the Company's common stock, at which time the performance unit shall be cancelled. Each performance unit is subject to adjustment as set forth in a performance unit award agreement by and between the Issuer and the Reporting Person.

F3 · shares: Performance units issued under the 2012 Long Term Incentive Compensation Plan and the 2016 Long-Term Equity Incentive Compensation Plan. The price is based on the market closing price on March 13, 2017. The performance units are earned at the rate of 10% per quarter commencing with the quarter ending March 31, 2018 and concluding with the quarter ending June 30, 2020.

F4 · shares: Each performance unit shall be settled by the issuance of one share of the Company's common stock, at which time the performance unit shall be cancelled. Each performance unit is subject to adjustment as set forth in a performance unit award agreement by and between the Issuer and the Reporting Person.

F3 · price: Performance units issued under the 2012 Long Term Incentive Compensation Plan and the 2016 Long-Term Equity Incentive Compensation Plan. The price is based on the market closing price on March 13, 2017. The performance units are earned at the rate of 10% per quarter commencing with the quarter ending March 31, 2018 and concluding with the quarter ending June 30, 2020.

F3 · derivative.underlying_shares: Performance units issued under the 2012 Long Term Incentive Compensation Plan and the 2016 Long-Term Equity Incentive Compensation Plan. The price is based on the market closing price on March 13, 2017. The performance units are earned at the rate of 10% per quarter commencing with the quarter ending March 31, 2018 and concluding with the quarter ending June 30, 2020.

F4 · derivative.underlying_shares: Each performance unit shall be settled by the issuance of one share of the Company's common stock, at which time the performance unit shall be cancelled. Each performance unit is subject to adjustment as set forth in a performance unit award agreement by and between the Issuer and the Reporting Person.

F3 · balance_after: Performance units issued under the 2012 Long Term Incentive Compensation Plan and the 2016 Long-Term Equity Incentive Compensation Plan. The price is based on the market closing price on March 13, 2017. The performance units are earned at the rate of 10% per quarter commencing with the quarter ending March 31, 2018 and concluding with the quarter ending June 30, 2020.

Read SEC document
March 13, 2017 Filed Mar 15, 2017 20:55 UTC
Cauley Robert EDirector · President, CEO
Tax withholdingCommon Stock 691 $9.55 $6,599.05
Disclosure

SEC source: 0001179110-17-004635 · edgar.xml · nonDerivative · entry 2

Cauley Robert E · CIK 0001303084 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,651

F2 · shares: The Reporting Person disposed of these shares of the Company's common stock to the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the grant of shares that occurred on March 13, 2017.

F2 · price: The Reporting Person disposed of these shares of the Company's common stock to the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the grant of shares that occurred on March 13, 2017.

Read SEC document
March 13, 2017 Filed Mar 15, 2017 20:55 UTC
Cauley Robert EDirector · President, CEO
GrantCommon Stock 6,911 $9.55 $66,000.05
Disclosure

SEC source: 0001179110-17-004635 · edgar.xml · nonDerivative · entry 1

Cauley Robert E · CIK 0001303084 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,342

F1 · shares: Shares of the Company's common stock issued under the 2012 Long Term Incentive Compensation Plan and the 2016 Long-Term Equity Incentive Compensation Plan. The price is based on the market closing price on March 13, 2017.

F1 · price: Shares of the Company's common stock issued under the 2012 Long Term Incentive Compensation Plan and the 2016 Long-Term Equity Incentive Compensation Plan. The price is based on the market closing price on March 13, 2017.

Read SEC document
March 03, 2017 Filed Mar 7, 2017 16:15 UTC PurchaseCommon Stock 19,130 $9.39 $179,611.57
Disclosure

SEC source: 0001179110-17-004088 · edgar.xml · nonDerivative · entry 2

HEUVELEN JOHN VAN · CIK 0001221440 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,331

Read SEC document
March 03, 2017 Filed Mar 7, 2017 16:15 UTC PurchaseCommon Stock 80,870 $9.40 $760,178.00
Disclosure

SEC source: 0001179110-17-004088 · edgar.xml · nonDerivative · entry 1

HEUVELEN JOHN VAN · CIK 0001221440 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,201

Read SEC document
March 02, 2017 Filed Mar 6, 2017 13:02 UTC PurchaseCommon Stock 3,000 $9.44 $28,320.00
Disclosure

SEC source: 0001179110-17-003932 · edgar.xml · nonDerivative · entry 1

FILIPPS FRANK P · CIK 0001188562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,191

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February 27, 2017 Filed Feb 27, 2017 22:13 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
PurchaseCommon Stock 4,100 $9.69 $39,729.00
Disclosure

SEC source: 0001179110-17-003277 · edgar.xml · nonDerivative · entry 3

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,486

Read SEC document
February 27, 2017 Filed Feb 27, 2017 22:13 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
PurchaseCommon Stock 2,700 $9.68 $26,136.00
Disclosure

SEC source: 0001179110-17-003277 · edgar.xml · nonDerivative · entry 2

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,386

Read SEC document
February 27, 2017 Filed Feb 27, 2017 22:13 UTC
Haas G Hunter IVDirector · CFO, CIO and Secretary
PurchaseCommon Stock 200 $9.67 $1,934.00
Disclosure

SEC source: 0001179110-17-003277 · edgar.xml · nonDerivative · entry 1

Haas G Hunter IV · CIK 0001432283 · Director · CFO, CIO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,686

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.