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Nasdaq · USD

OSW

ONESPAWORLD HOLDINGS Ltd

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Tapewire entity
4411
SEC CIK
0001758488
Parsed reports
279

Last 12 months

Inside the activity.

0 purchase rows · 18 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202505
Jan 202600
Feb 202600
Mar 202601
Apr 202600
May 202602
Jun 202606
Jul 202600
Aug 202604
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
November 06, 2024 Filed Nov 8, 2024 21:18 UTC SaleCommon Shares 25,000 $18.88 $471,997.50
Disclosure

SEC source: 0000950170-24-124114 · ownership.xml · nonDerivative · entry 3

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 545,432

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.7600 to $19.7599. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within this range.

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November 06, 2024 Filed Nov 8, 2024 21:18 UTC SaleCommon Shares 25,000 $18.64 $465,997.50
Disclosure

SEC source: 0000950170-24-124114 · ownership.xml · nonDerivative · entry 2

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 570,432

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.5100 to $19.5099. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within this range.

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November 06, 2024 Filed Nov 8, 2024 21:18 UTC SaleCommon Shares 25,000 $18.52 $463,035.00
Disclosure

SEC source: 0000950170-24-124114 · ownership.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 595,432

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.3800 to $19.3799. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commissionthe (the "SEC"), upon request, full information regarding the number of shares sold at each price within this range.

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November 05, 2024 Filed Nov 7, 2024 16:54 UTC
LAZARUS STEPHENCFO and COO
SaleCommon Shares 51,462 $18.04 $928,564.89
Disclosure

SEC source: 0000950170-24-123479 · ownership.xml · nonDerivative · entry 1

LAZARUS STEPHEN · CIK 0001253436 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 437,913

F1 · kind: The reported sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2024.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.0050 to $18.1000. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within this range.

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October 31, 2024 Filed Nov 1, 2024 18:24 UTC
LAZARUS STEPHENCFO and COO
SaleCommon Shares 1,300 $18.02 $23,420.02
Disclosure

SEC source: 0000950170-24-120208 · ownership.xml · nonDerivative · entry 2

LAZARUS STEPHEN · CIK 0001253436 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 489,375

F1 · kind: The reported sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2024.

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.0000 to $18.0400. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within this range.

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October 30, 2024 Filed Nov 1, 2024 18:24 UTC
LAZARUS STEPHENCFO and COO
SaleCommon Shares 65,906 $18.51 $1,219,603.71
Disclosure

SEC source: 0000950170-24-120208 · ownership.xml · nonDerivative · entry 1

LAZARUS STEPHEN · CIK 0001253436 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 490,675

F1 · kind: The reported sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2024.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.0000 to $18.7500. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within this range.

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September 26, 2024 Filed Sep 26, 2024 18:58 UTC
LAZARUS STEPHENCFO and COO
SaleCommon Shares 170,339 $16.91 $2,880,108.85
Disclosure

SEC source: 0000950170-24-109713 · ownership.xml · nonDerivative · entry 2

LAZARUS STEPHEN · CIK 0001253436 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 556,581

F1 · kind: The reported sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2024.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.7500 to $17.0100. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within this range.

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September 24, 2024 Filed Sep 26, 2024 18:58 UTC
LAZARUS STEPHENCFO and COO
SaleCommon Shares 603 $16.75 $10,100.25
Disclosure

SEC source: 0000950170-24-109713 · ownership.xml · nonDerivative · entry 1

LAZARUS STEPHEN · CIK 0001253436 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 726,317

F1 · kind: The reported sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2024.

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September 23, 2024 Filed Sep 23, 2024 18:13 UTC
LAZARUS STEPHENCFO and COO
SaleCommon Shares 8,271 $16.75 $138,560.75
Disclosure

SEC source: 0000950170-24-108840 · ownership.xml · nonDerivative · entry 3

LAZARUS STEPHEN · CIK 0001253436 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 726,920

F1 · kind: The reported sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2024.

F4 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.7500 to $16.7800. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within this range.

Read SEC document
September 20, 2024 Filed Sep 23, 2024 18:13 UTC
LAZARUS STEPHENCFO and COO
SaleCommon Shares 20,493 $16.76 $343,395.05
Disclosure

SEC source: 0000950170-24-108840 · ownership.xml · nonDerivative · entry 2

LAZARUS STEPHEN · CIK 0001253436 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 735,191

F1 · kind: The reported sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2024.

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16. 7500 to $16.8000. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within this range.

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September 19, 2024 Filed Sep 23, 2024 18:13 UTC
LAZARUS STEPHENCFO and COO
SaleCommon Shares 294 $16.75 $4,925.50
Disclosure

SEC source: 0000950170-24-108840 · ownership.xml · nonDerivative · entry 1

LAZARUS STEPHEN · CIK 0001253436 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 755,684

F1 · kind: The reported sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2024.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.7500 to $16.7600. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each price within this range.

Read SEC document
September 13, 2024 Filed Sep 17, 2024 20:05 UTC SaleCommon Shares 7,500 $15.89 $119,199.00
Disclosure

SEC source: 0000950170-24-107256 · ownership.xml · nonDerivative · entry 1

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 188,917

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.8900 to $15.9200. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each price within this range.

Read SEC document
August 05, 2024 Filed Aug 7, 2024 20:05 UTC SaleCommon Shares 6,000 $14.57 $87,420.00
Disclosure

SEC source: 0000950170-24-092734 · ownership.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 467,145

F1 · ownership.nature: Includes (i) 324,269 Common Shares held by Heyer Investment Management, LLC (ii) 31,219 Common Shares held by Harris Reid Heyer Trust, (iii) 47,219 Common Shares held by James Heyer Trust, (iv) 17,219 Common Shares held by Peter Justin Heyer Trust and (v) 47,219 Common Shares held by William Heyer Trust. The reporting person is (i) a trustee of each of Harris Reid Heyer Trust, James Heyer Trust, Peter Justin Heyer Trust, and William Heyer Trust, and (ii) the managing member of Heyer Investment Management, LLC (the foregoing entities, the "Andrew Heyer Entities"). The reporting person may be deemed to have or share beneficial ownership of the securities held by the Andrew Heyer Entities. The reporting person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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July 23, 2024 Filed Jul 25, 2024 22:01 UTC GrantCommon Shares 7,306 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-086668 · ownership.xml · nonDerivative · entry 1

FUSFIELD GLENN · CIK 0001128759 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 220,669

F1 · shares: The reported transaction reflects a grant of the Issuer's restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The RSUs vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the earlier of the 60th day from separation from service and immediately prior to a change in control.

Read SEC document
July 23, 2024 Filed Jul 25, 2024 22:46 UTC GrantCommon Shares 7,306 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-086684 · ownership.xml · nonDerivative · entry 1

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,417

F1 · shares: The reported transaction reflects a grant of the Issuer's restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The RSUs vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the earlier of the 60th day from separation from service and immediately prior to a change in control.

Read SEC document
July 23, 2024 Filed Jul 25, 2024 22:17 UTC GrantCommon Shares 12,127 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-086676 · ownership.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 620,432

F1 · shares: The reported transaction reflects a grant of the Issuer's restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The RSUs vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the earlier of the 60th day from separation from service and immediately prior to a change in control.

Read SEC document
July 23, 2024 Filed Jul 25, 2024 22:05 UTC GrantCommon Shares 13,589 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-086670 · ownership.xml · nonDerivative · entry 1

STIEFLER JEFFREY E · CIK 0001227965 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,072

F1 · shares: The reported transaction reflects a grant of the Issuer's restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The RSUs vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the earlier of the 60th day from separation from service and immediately prior to a change in control.

Read SEC document
July 23, 2024 Filed Jul 25, 2024 21:56 UTC GrantCommon Shares 7,306 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-086661 · ownership.xml · nonDerivative · entry 1

Banikarim Maryam · CIK 0001515359 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,071

F1 · shares: The reported transaction reflects a grant of the Issuer's restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The RSUs vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the earlier of the 60th day from separation from service and immediately prior to a change in control.

Read SEC document
July 23, 2024 Filed Jul 25, 2024 22:08 UTC
Myers LisaDirector
GrantCommon Shares 7,306 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-086673 · ownership.xml · nonDerivative · entry 1

Myers Lisa · CIK 0001988524 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,710

F1 · shares: The reported transaction reflects a grant of the Issuer's restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The RSUs vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the earlier of the 60th day from separation from service and immediately prior to a change in control.

Read SEC document
July 23, 2024 Filed Jul 25, 2024 21:54 UTC GrantCommon Shares 12,127 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-086660 · ownership.xml · nonDerivative · entry 1

Magliacano Marc · CIK 0001770264 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,162

F1 · shares: The reported transaction reflects a grant of the Issuer's restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The RSUs vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the earlier of the 60th day from separation from service and immediately prior to a change in control.

F2 · balance_after: Marc Magliacano has entered into a Nominee and Indemnity Agreement, pursuant to which he has agreed that all equity awards granted to him for his service as director of the Issuer are held, effective from the date of grant, for the benefit of L Catterton, L.P. L Catterton, L.P., together with L Catterton GP, LLC, as the general partner of L Catterton, L.P. (together, the "L Catterton Entities"), which may be deemed to have shared beneficial ownership of the equity awards granted to and held by the reporting person. Solely for purposes of Section 16 of the Securities and Exchange Act of 1934, the L Catterton Entities may be deemed directors by deputization with respect to the Issuer.

Read SEC document
July 23, 2024 Filed Jul 25, 2024 21:52 UTC
Hasiba AdamDirector
GrantCommon Shares 12,127 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-086657 · ownership.xml · nonDerivative · entry 1

Hasiba Adam · CIK 0001814687 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,960

F1 · shares: The reported transaction reflects a grant of the Issuer's restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The RSUs vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the earlier of the 60th day from separation from service and immediately prior to a change in control.

F2 · balance_after: Adam Hasiba has entered into a Nominee and Indemnity Agreement, pursuant to which he has agreed that all equity awards granted to him for his service as director of the Issuer are held, effective from the date of grant, for the benefit of L Catterton, L.P. L Catterton, L.P., together with L Catterton GP, LLC, as the general partner of L Catterton, L.P. (together, the "L Catterton Entities"), which may be deemed to have shared beneficial ownership of the equity awards granted to and held by the reporting person. Solely for purposes of Section 16 of the Securities and Exchange Act of 1934, the L Catterton Entities may be deemed directors by deputization with respect to the Issuer.

Read SEC document
July 23, 2024 Filed Jul 25, 2024 21:36 UTC GrantCommon Shares 16,511 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-086648 · ownership.xml · nonDerivative · entry 1

POWELL STEPHEN W. · CIK 0001770759 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,694

F1 · shares: The reported transaction reflects a grant of the Issuer's restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The RSUs vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the earlier of the 60th day from separation from service and immediately prior to a change in control.

F2 · balance_after: Includes an additional 51,346 Common Shares to correct for inadvertent errors in the Column 5 amount reflected in connection with previously reported transactions.

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June 13, 2024 Filed Jun 17, 2024 20:05 UTC Disposition to issuerCommon Shares 8,042 $15.49 $124,570.58
Disclosure

SEC source: 0000950170-24-074232 · ownership.xml · nonDerivative · entry 3

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,111

F2 · kind: On June 13, 2024, the Reporting Person exercised a warrant to purchase 21,667 Common Shares for $5.75 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 8,042 Common Shares to pay the exercise price.

Read SEC document
June 13, 2024 Filed Jun 17, 2024 20:05 UTC Exercise / conversionCommon Shares 21,667 $5.75 $124,585.25
Disclosure

SEC source: 0000950170-24-074232 · ownership.xml · nonDerivative · entry 2

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 197,153

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 13, 2024 Filed Jun 17, 2024 20:05 UTC SaleCommon Shares 2,500 $15.23 $38,075.00
Disclosure

SEC source: 0000950170-24-074232 · ownership.xml · nonDerivative · entry 1

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,486

F1 · price: The reported price is a volume weighted average price ("VWAP"). The reported securities were sold in open market transactions at prices ranging from $15.23 to $15.26, inclusive. The reporting person undertakes to provide to the SEC, the Issuer or any stockholder of the Issuer, upon request, the number of shares sold at each price within such range.

Read SEC document
June 12, 2024 Filed Jun 17, 2024 20:05 UTC Exercise / conversionWarrants · Derivative 21,667 $0.00 Strike: $5.75 $0.00
Disclosure

SEC source: 0000950170-24-074232 · ownership.xml · derivative · entry 4

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 21,667 shares

Expires 2025-06-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 30, 2024 Filed May 31, 2024 23:19 UTC SaleCommon Shares 17,469 $15.21 $265,649.34
Disclosure

SEC source: 0000950170-24-067566 · ownership.xml · nonDerivative · entry 2

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 177,986

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.1500 to $15.2700. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each price within this range.

Read SEC document
May 29, 2024 Filed May 31, 2024 23:19 UTC SaleCommon Shares 31 $15.07 $467.17
Disclosure

SEC source: 0000950170-24-067566 · ownership.xml · nonDerivative · entry 1

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 195,455

Read SEC document
May 14, 2024 Filed May 15, 2024 00:19 UTC
Bonner Susan ReardonChief Commercial Officer
SaleCommon Shares 22,546 $14.72 $331,804.97
Disclosure

SEC source: 0000950170-24-059946 · ownership.xml · nonDerivative · entry 3

Bonner Susan Reardon · CIK 0001828192 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,077

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.7000 to $14.8000. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within this range.

Read SEC document
May 13, 2024 Filed May 15, 2024 00:19 UTC
Bonner Susan ReardonChief Commercial Officer
SaleCommon Shares 35,554 $14.85 $527,848.91
Disclosure

SEC source: 0000950170-24-059946 · ownership.xml · nonDerivative · entry 2

Bonner Susan Reardon · CIK 0001828192 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 272,623

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.8000 to $14.8500. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within this range.

Read SEC document
May 10, 2024 Filed May 15, 2024 00:19 UTC
Bonner Susan ReardonChief Commercial Officer
SaleCommon Shares 12,677 $14.88 $188,662.92
Disclosure

SEC source: 0000950170-24-059946 · ownership.xml · nonDerivative · entry 1

Bonner Susan Reardon · CIK 0001828192 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 308,177

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.8500 to $14.9200. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each price within this range.

Read SEC document
March 15, 2024 Filed Mar 18, 2024 21:00 UTC Exercise / conversionWarrants · Derivative 10,000 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0000950170-24-032904 · ownership.xml · derivative · entry 4

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 10,000 shares

Expires 2024-03-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · shares: The reported amount includes 400 warrants previously reported as sold in a transaction reported on Form 4 filed on March 6, 2024, which transaction did not occur due to broker error.

F4 · derivative.exercise_date: The warrants were exercisable in accordance with the provisions of the Amended and Restated Warrant Agreement, dated as of March 19, 2019, between the Issuer and Continental Stock Transfer & Trust Company.

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March 15, 2024 Filed Mar 18, 2024 21:00 UTC Disposition to issuerCommon Shares 8,936 $12.87 $115,006.32
Disclosure

SEC source: 0000950170-24-032904 · ownership.xml · nonDerivative · entry 3

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 195,486

F2 · kind: On March 15, 2024, the Reporting Person exercised a warrant to purchase 10,000 Common Shares for $11.50 a share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 8,936 Common Shares to pay the exercise price.

Read SEC document
March 15, 2024 Filed Mar 18, 2024 21:00 UTC Exercise / conversionCommon Shares 10,000 $11.50 $115,000.00
Disclosure

SEC source: 0000950170-24-032904 · ownership.xml · nonDerivative · entry 2

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 204,422

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 14, 2024 Filed Mar 18, 2024 21:00 UTC SaleCommon Shares 15,000 $13.04 $195,600.00
Disclosure

SEC source: 0000950170-24-032904 · ownership.xml · nonDerivative · entry 1

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194,422

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.01 to $13.08. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within this range.

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March 14, 2024 Filed Mar 18, 2024 19:41 UTC SaleCommon Shares 6,411 $13.07 $83,796.90
Disclosure

SEC source: 0000950170-24-032800 · ownership.xml · nonDerivative · entry 1

Banikarim Maryam · CIK 0001515359 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,765

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.9500 to $13.2000. The Reporting Person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within this range.

F2 · balance_after: Includes an additional 41,730 Common Shares to correct for inadvertent errors in the Column 5 amount reflected in connection with previously reported transactions.

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March 07, 2024 Filed Mar 12, 2024 00:14 UTC Exercise / conversionWarrants · Derivative 42,602 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0000950170-24-029548 · ownership.xml · derivative · entry 7

STIEFLER JEFFREY E · CIK 0001227965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Stiefler Trust U/T/D 5/31/07

Disclosed balance after: 0

Underlying: Common Shares · 42,602 shares

Expires 2024-03-19

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.

F5 · derivative.exercise_date: The warrants were exercisable in accordance with the provisions of the Amended and Restated Warrant Agreement, dated as of March 19, 2019, between the Issuer and Continental Stock Transfer & Trust Company.

F2 · ownership.nature: The reporting person is the trustee of Stiefler Trust and has voting and dispositive power over the securities held by it. Accordingly, the reporting person may be deemed to have or share beneficial ownership of such securities. The reporting person disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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March 07, 2024 Filed Mar 12, 2024 00:14 UTC Exercise / conversionWarrants · Derivative 6,667 $0.00 Strike: $5.75 $0.00
Disclosure

SEC source: 0000950170-24-029548 · ownership.xml · derivative · entry 6

STIEFLER JEFFREY E · CIK 0001227965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Stiefler Trust U/T/D 5/31/07

Disclosed balance after: 0

Underlying: Common Shares · 6,667 shares

Expires 2025-06-12

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 · ownership.nature: The reporting person is the trustee of Stiefler Trust and has voting and dispositive power over the securities held by it. Accordingly, the reporting person may be deemed to have or share beneficial ownership of such securities. The reporting person disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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March 07, 2024 Filed Mar 12, 2024 00:14 UTC Disposition to issuerCommon Shares 36,186 $13.54 $489,958.44
Disclosure

SEC source: 0000950170-24-029548 · ownership.xml · nonDerivative · entry 4

STIEFLER JEFFREY E · CIK 0001227965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Stiefler Trust U/T/D 5/31/07

Disclosed balance after: 73,928

F3 · kind: On March 7, 2024, Stiefler Trust exercised a warrant to purchase 42,602 Common Shares for $11.50 a share. Stiefler Trust paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 36,186 Common Shares to pay the exercise price.

F2 · ownership.nature: The reporting person is the trustee of Stiefler Trust and has voting and dispositive power over the securities held by it. Accordingly, the reporting person may be deemed to have or share beneficial ownership of such securities. The reporting person disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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March 07, 2024 Filed Mar 12, 2024 00:14 UTC Exercise / conversionCommon Shares 42,602 $11.50 $489,923.00
Disclosure

SEC source: 0000950170-24-029548 · ownership.xml · nonDerivative · entry 3

STIEFLER JEFFREY E · CIK 0001227965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Stiefler Trust U/T/D 5/31/07

Disclosed balance after: 110,114

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 · ownership.nature: The reporting person is the trustee of Stiefler Trust and has voting and dispositive power over the securities held by it. Accordingly, the reporting person may be deemed to have or share beneficial ownership of such securities. The reporting person disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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March 07, 2024 Filed Mar 12, 2024 00:14 UTC Disposition to issuerCommon Shares 2,831 $13.54 $38,331.74
Disclosure

SEC source: 0000950170-24-029548 · ownership.xml · nonDerivative · entry 2

STIEFLER JEFFREY E · CIK 0001227965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Stiefler Trust U/T/D 5/31/07

Disclosed balance after: 67,512

F1 · kind: On March 7, 2024, the Stiefler Trust U/T/D 5/31/07 ("Stiefler Trust") exercised a warrant to purchase 6,667 Common Shares for $5.75 a share. Stiefler Trust paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 2,831 Common Shares to pay the exercise price.

F2 · ownership.nature: The reporting person is the trustee of Stiefler Trust and has voting and dispositive power over the securities held by it. Accordingly, the reporting person may be deemed to have or share beneficial ownership of such securities. The reporting person disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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March 07, 2024 Filed Mar 12, 2024 00:14 UTC Exercise / conversionCommon Shares 6,667 $5.75 $38,335.25
Disclosure

SEC source: 0000950170-24-029548 · ownership.xml · nonDerivative · entry 1

STIEFLER JEFFREY E · CIK 0001227965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Stiefler Trust U/T/D 5/31/07

Disclosed balance after: 70,343

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 · ownership.nature: The reporting person is the trustee of Stiefler Trust and has voting and dispositive power over the securities held by it. Accordingly, the reporting person may be deemed to have or share beneficial ownership of such securities. The reporting person disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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March 04, 2024 Filed Mar 6, 2024 20:41 UTC SaleWarrants · Derivative 400 $1.50 Strike: $11.50 $600.00
Disclosure

SEC source: 0000950170-24-027094 · ownership.xml · derivative · entry 1

McLallen Walter Field · CIK 0001666150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,600

Underlying: Common Shares · 400 shares

Expires 2024-03-19

F1 · derivative.exercise_date: The warrants are exercisable in accordance with the provisions of the Amended and Restated Warrant Agreement, dated as of March 19, 2019, between the Issuer and Continental Stock Transfer & Trust Company.

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March 04, 2024 Filed Mar 6, 2024 22:10 UTC SaleCommon Shares 9,000 $13.00 $116,988.30
Disclosure

SEC source: 0000950170-24-027315 · ownership.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 473,145

F1 · shares: Reflects 9,000 Common Shares sold by Harris Reid Heyer Trust.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.97 to $13.05. The reporting person undertakes to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within this range.

F3 · ownership.nature: Includes (i) 324,269 Common Shares held by Heyer Investment Management, LLC (ii) 37,219 Common Shares held by Harris Reid Heyer Trust, (iii) 47,219 Common Shares held by James Heyer Trust, (iv) 17,219 Common Shares held by Peter Justin Heyer Trust and (v) 47,219 Common Shares held by William Heyer Trust. The reporting person is (i) a trustee of each of Harris Reid Heyer Trust, James Heyer Trust, Peter Justin Heyer Trust, and William Heyer Trust, and (ii) the managing member of Heyer Investment Management, LLC (the foregoing entities, the "Andrew Heyer Entities").

F4 · ownership.nature: The reporting person may be deemed to have or share beneficial ownership of the securities held by the Andrew Heyer Entities. The reporting person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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February 23, 2024 Filed Feb 27, 2024 19:58 UTC Exercise / conversionWarrant (right to buy) · Derivative 33,333 $0.00 Strike: $5.75 $0.00
Disclosure

SEC source: 0000950170-24-020968 · ownership.xml · derivative · entry 7

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Shares · 33,333 shares

Expires 2025-06-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · ownership.nature: Includes (i) 324,269 Common Shares held by Heyer Management, (ii) 46,219 Common Shares held by Harris Reid Heyer Trust, (iii) 47,219 Common Shares held by James Heyer Trust, (iv) 17,219 Common Shares held by Peter Justin Heyer Trust and (v) 47,219 Common Shares held by William Heyer Trust. The reporting person is (i) a trustee of each of Harris Reid Heyer Trust, James Heyer Trust, Peter Justin Heyer Trust, and William Heyer Trust, and (ii) the managing member of Heyer Management (the foregoing entities, the "Andrew Heyer Entities").

F4 · ownership.nature: The reporting person may be deemed to have or share beneficial ownership of the securities held by the Andrew Heyer Entities. The reporting person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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February 23, 2024 Filed Feb 27, 2024 19:58 UTC Exercise / conversionWarrant (right to buy) · Derivative 66,667 $0.00 Strike: $5.75 $0.00
Disclosure

SEC source: 0000950170-24-020968 · ownership.xml · derivative · entry 6

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 66,667 shares

Expires 2025-06-12

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.

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February 23, 2024 Filed Feb 27, 2024 19:58 UTC Disposition to issuerCommon Shares 13,316 $14.39 $191,617.24
Disclosure

SEC source: 0000950170-24-020968 · ownership.xml · nonDerivative · entry 4

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 482,145

F2 · kind: On February 23, 2024, Heyer Investment Management, LLC ("Heyer Management") exercised a warrant to purchase 33,333 Common Shares for $5.75 a share. Heyer Management paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 13,316 Common Shares to pay the exercise price.

F3 · ownership.nature: Includes (i) 324,269 Common Shares held by Heyer Management, (ii) 46,219 Common Shares held by Harris Reid Heyer Trust, (iii) 47,219 Common Shares held by James Heyer Trust, (iv) 17,219 Common Shares held by Peter Justin Heyer Trust and (v) 47,219 Common Shares held by William Heyer Trust. The reporting person is (i) a trustee of each of Harris Reid Heyer Trust, James Heyer Trust, Peter Justin Heyer Trust, and William Heyer Trust, and (ii) the managing member of Heyer Management (the foregoing entities, the "Andrew Heyer Entities").

F4 · ownership.nature: The reporting person may be deemed to have or share beneficial ownership of the securities held by the Andrew Heyer Entities. The reporting person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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February 23, 2024 Filed Feb 27, 2024 19:58 UTC Exercise / conversionCommon Shares 33,333 $5.75 $191,664.75
Disclosure

SEC source: 0000950170-24-020968 · ownership.xml · nonDerivative · entry 3

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 495,461

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · ownership.nature: Includes (i) 324,269 Common Shares held by Heyer Management, (ii) 46,219 Common Shares held by Harris Reid Heyer Trust, (iii) 47,219 Common Shares held by James Heyer Trust, (iv) 17,219 Common Shares held by Peter Justin Heyer Trust and (v) 47,219 Common Shares held by William Heyer Trust. The reporting person is (i) a trustee of each of Harris Reid Heyer Trust, James Heyer Trust, Peter Justin Heyer Trust, and William Heyer Trust, and (ii) the managing member of Heyer Management (the foregoing entities, the "Andrew Heyer Entities").

F4 · ownership.nature: The reporting person may be deemed to have or share beneficial ownership of the securities held by the Andrew Heyer Entities. The reporting person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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February 23, 2024 Filed Feb 27, 2024 19:58 UTC Disposition to issuerCommon Shares 26,632 $14.39 $383,234.48
Disclosure

SEC source: 0000950170-24-020968 · ownership.xml · nonDerivative · entry 2

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 608,305

F1 · kind: On February 23, 2024, the reporting person exercised a warrant to purchase 66,667 Common Shares for $5.75 a share. The reporting person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 26,632 Common Shares to pay the exercise price.

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February 23, 2024 Filed Feb 27, 2024 19:58 UTC Exercise / conversionCommon Shares 66,667 $5.75 $383,335.25
Disclosure

SEC source: 0000950170-24-020968 · ownership.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 634,937

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.

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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.