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Nasdaq · USD

PBYI

PUMA BIOTECHNOLOGY, INC.

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Tapewire entity
5478
SEC CIK
0001401667
Parsed reports
383

Last 12 months

Inside the activity.

0 purchase rows · 17 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202606
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202605
Jul 202603
Aug 202600
Sep 202602
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
September 14, 2026 Filed Sep 17, 2026 01:13 UTC SaleCommon Stock 5,000 $9.10 $45,500.00
Disclosure

SEC source: 0001437749-26-030597 · rdgdoc.xml · nonDerivative · entry 1

WILSON TROY EDWARD · CIK 0001589597 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 54,750

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 06-15-2026

Read SEC document
September 14, 2026 Filed Sep 17, 2026 01:06 UTC Exercise / conversionStock Option · Derivative 50,000 $0.00 Strike: $2.93 $0.00
Disclosure

SEC source: 0001437749-26-030593 · rdgdoc.xml · derivative · entry 3

Cesano Alessandra · CIK 0001827015 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-07-28

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

F3 · derivative.exercise_date: The Stock Option is fully vested.

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September 14, 2026 Filed Sep 17, 2026 01:06 UTC SaleCommon Stock 62,150 $9.12 $566,994.45
Disclosure

SEC source: 0001437749-26-030593 · rdgdoc.xml · nonDerivative · entry 2

Cesano Alessandra · CIK 0001827015 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 56,700

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 06-15-2026

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.03 to $9.2, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
September 14, 2026 Filed Sep 17, 2026 01:06 UTC Exercise / conversionCommon Stock 50,000 $2.93 $146,500.00
Disclosure

SEC source: 0001437749-26-030593 · rdgdoc.xml · nonDerivative · entry 1

Cesano Alessandra · CIK 0001827015 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 118,850

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
July 06, 2026 Filed Jul 9, 2026 00:21 UTC
AUERBACH ALAN HDirector · President and CEO · 10% owner
SaleCommon Stock 44,058 $8.26 $364,051.25
Disclosure

SEC source: 0001437749-26-023079 · rdgdoc.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · President and CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,261,671

F1 · kind: Adoption date of referenced 10b5-1(c) sell to cover program is: 12-17-2020.

Read SEC document
July 06, 2026 Filed Jul 9, 2026 00:19 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 8,460 $8.26 $69,904.98
Disclosure

SEC source: 0001437749-26-023078 · rdgdoc.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 196,841

F1 · kind: Adoption date of referenced 10b5-1(c) sell to cover program is: 12-14-2020.

Read SEC document
July 06, 2026 Filed Jul 9, 2026 00:18 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCommon Stock 9,386 $8.26 $77,556.52
Disclosure

SEC source: 0001437749-26-023077 · rdgdoc.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 230,637

F1 · kind: Adoption date of referenced 10b5-1(c) sell to cover program is: 12-14-2020.

Read SEC document
June 12, 2026 Filed Jun 16, 2026 00:14 UTC SaleCommon Stock 8,100 $7.20 $58,311.09
Disclosure

SEC source: 0001437749-26-020708 · rdgdoc.xml · nonDerivative · entry 2

Stuglik Brian M · CIK 0001716328 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 113,858

F2 · kind: Adoption date of referenced 10b5-1(c) plan is: 03-12-2025

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.98 to $7.32, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
June 12, 2026 Filed Jun 16, 2026 00:16 UTC SaleCommon Stock 10,800 $7.20 $77,748.12
Disclosure

SEC source: 0001437749-26-020709 · rdgdoc.xml · nonDerivative · entry 2

WILSON TROY EDWARD · CIK 0001589597 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 59,750

F2 · kind: Adoption date of referenced 10b5-1(c) plan is: 03-12-2025

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.98 to $7.32, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
June 12, 2026 Filed Jun 16, 2026 00:13 UTC SaleCommon Stock 27,000 $7.20 $194,310.90
Disclosure

SEC source: 0001437749-26-020706 · rdgdoc.xml · nonDerivative · entry 2

Senderowicz Adrian · CIK 0001616230 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,000

F2 · kind: Adoption date of referenced 10b5-1(c) plan is: 03-12-2025

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.98 to $7.32, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
June 12, 2026 Filed Jun 16, 2026 00:10 UTC
MOYES JAY MDirector
SaleCommon Stock 22,000 $7.22 $158,796.00
Disclosure

SEC source: 0001437749-26-020704 · rdgdoc.xml · nonDerivative · entry 2

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 58,322

F2 · kind: Adoption date of referenced 10b5-1(c) plan is: 03-12-2025

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.98 to $7.32, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
June 12, 2026 Filed Jun 16, 2026 00:09 UTC SaleCommon Stock 11,610 $7.20 $83,579.23
Disclosure

SEC source: 0001437749-26-020703 · rdgdoc.xml · nonDerivative · entry 2

Dorval Allison · CIK 0001625110 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 90,780

F2 · kind: Adoption date of referenced 10b5-1(c) plan is: 03-12-2025

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.98 to $7.32, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
June 11, 2026 Filed Jun 16, 2026 00:14 UTC GrantCommon Stock 27,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-020708 · rdgdoc.xml · nonDerivative · entry 1

Stuglik Brian M · CIK 0001716328 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 121,958

F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

Read SEC document
June 11, 2026 Filed Jun 16, 2026 00:16 UTC GrantCommon Stock 27,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-020709 · rdgdoc.xml · nonDerivative · entry 1

WILSON TROY EDWARD · CIK 0001589597 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 70,550

F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

Read SEC document
June 11, 2026 Filed Jun 16, 2026 00:13 UTC GrantCommon Stock 27,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-020706 · rdgdoc.xml · nonDerivative · entry 1

Senderowicz Adrian · CIK 0001616230 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 54,000

F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

Read SEC document
June 11, 2026 Filed Jun 16, 2026 00:12 UTC GrantCommon Stock 27,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-020705 · rdgdoc.xml · nonDerivative · entry 1

MILLER MICHAEL PATRICK · CIK 0001236514 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,000

F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

Read SEC document
June 11, 2026 Filed Jun 16, 2026 00:10 UTC
MOYES JAY MDirector
GrantCommon Stock 27,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-020704 · rdgdoc.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 80,322

F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

Read SEC document
June 11, 2026 Filed Jun 16, 2026 00:09 UTC GrantCommon Stock 27,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-020703 · rdgdoc.xml · nonDerivative · entry 1

Dorval Allison · CIK 0001625110 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 102,390

F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

Read SEC document
June 11, 2026 Filed Jun 16, 2026 00:07 UTC GrantCommon Stock 27,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-020702 · rdgdoc.xml · nonDerivative · entry 1

Cesano Alessandra · CIK 0001827015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,850

F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

Read SEC document
February 18, 2026 Filed Feb 21, 2026 01:29 UTC
AUERBACH ALAN HDirector · President and CEO · 10% owner
GrantStock Option (Right to Buy) · Derivative 227,474 $0.00 Strike: $6.68 $0.00
Disclosure

SEC source: 0001437749-26-004948 · rdgdoc.xml · derivative · entry 2

AUERBACH ALAN H · CIK 0001358285 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 227,474

Underlying: Common Stock · 227,474 shares

Expires 2036-02-17

F2 · derivative.exercise_date: Subject to the Reporting Person's continued status as an Employee of the Company, the Options shall vest and become exercisable with respect to one-fourth (1/4th) of the shares of Common Stock subject thereto on each of July 1, 2026, January 1, 2027, July 1, 2027 and January 1, 2028, subject to acceleration in certain events.

Read SEC document
February 18, 2026 Filed Feb 21, 2026 01:29 UTC
AUERBACH ALAN HDirector · President and CEO · 10% owner
GrantCommon Stock 159,778 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-004948 · rdgdoc.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,305,729

F1 · security: Represents the grant of Restricted Stock Units ('RSUs"). Subject to the Reporting Person's continued status as an Employee of the Company, the RSUs shall vest with respect to one-fourth (1/4th) of the RSUs on each of July 1, 2026, January 1, 2027, July 1, 2027 and January 1, 2028, subject to acceleration in certain events.

F1 · shares: Represents the grant of Restricted Stock Units ('RSUs"). Subject to the Reporting Person's continued status as an Employee of the Company, the RSUs shall vest with respect to one-fourth (1/4th) of the RSUs on each of July 1, 2026, January 1, 2027, July 1, 2027 and January 1, 2028, subject to acceleration in certain events.

F1 · price: Represents the grant of Restricted Stock Units ('RSUs"). Subject to the Reporting Person's continued status as an Employee of the Company, the RSUs shall vest with respect to one-fourth (1/4th) of the RSUs on each of July 1, 2026, January 1, 2027, July 1, 2027 and January 1, 2028, subject to acceleration in certain events.

Read SEC document
February 18, 2026 Filed Feb 21, 2026 01:28 UTC
HUNT DOUGLAS MSee Remarks
GrantStock Option (Right to Buy) · Derivative 70,321 $0.00 Strike: $6.68 $0.00
Disclosure

SEC source: 0001437749-26-004947 · rdgdoc.xml · derivative · entry 2

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,321

Underlying: Common Stock · 70,321 shares

Expires 2036-02-17

F2 · derivative.exercise_date: Options shall vest and become exercisable with respect to one-fourth (1/4th) of the shares subject thereto on each of July 1, 2026, January 1, 2027, July 1, 2027 and January 1, 2028, subject to the Reporting Person's continued service with the Company through the applicable vesting date.

Read SEC document
February 18, 2026 Filed Feb 21, 2026 01:28 UTC
HUNT DOUGLAS MSee Remarks
GrantCommon Stock 49,394 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-004947 · rdgdoc.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 205,301

F1 · shares: Represents Restricted Stock Units ("RSUs") that shall vest with respect to one-fourth (1/4th) of the RSUs on each of July 1, 2026, January 1, 2027, July 1, 2027 and January 1, 2028, subject to the Reporting Person's continued service with the Company through the applicable vesting date.

F1 · price: Represents Restricted Stock Units ("RSUs") that shall vest with respect to one-fourth (1/4th) of the RSUs on each of July 1, 2026, January 1, 2027, July 1, 2027 and January 1, 2028, subject to the Reporting Person's continued service with the Company through the applicable vesting date.

Read SEC document
February 18, 2026 Filed Feb 21, 2026 01:28 UTC
NOUGUES MAXIMO FChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 66,541 $0.00 Strike: $6.68 $0.00
Disclosure

SEC source: 0001437749-26-004946 · rdgdoc.xml · derivative · entry 2

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,541

Underlying: Common Stock · 66,541 shares

Expires 2036-02-17

F2 · derivative.exercise_date: Options shall vest and become exercisable with respect to one-fourth (1/4th) of the shares subject thereto on each of July 1, 2026, January 1, 2027, July 1, 2027 and January 1, 2028, subject to the Reporting Person's continued service with the Company through the applicable vesting date.

Read SEC document
February 18, 2026 Filed Feb 21, 2026 01:28 UTC
NOUGUES MAXIMO FChief Financial Officer
GrantCommon Stock 46,739 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-004946 · rdgdoc.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 240,023

F1 · shares: Represents Restricted Stock Units ("RSUs") that shall vest with respect to one-fourth (1/4th) of the RSUs on each of July 1, 2026, January 1, 2027, July 1, 2027 and January 1, 2028, subject to the Reporting Person's continued service with the Company through the applicable vesting date.

F1 · price: Represents Restricted Stock Units ("RSUs") that shall vest with respect to one-fourth (1/4th) of the RSUs on each of July 1, 2026, January 1, 2027, July 1, 2027 and January 1, 2028, subject to the Reporting Person's continued service with the Company through the applicable vesting date.

Read SEC document
January 07, 2026 Filed Jan 9, 2026 01:27 UTC
AUERBACH ALAN HDirector · President and CEO · 10% owner
SaleCommon Stock 18,012 $5.88 $105,892.55
Disclosure

SEC source: 0001437749-26-000924 · rdgdoc.xml · nonDerivative · entry 2

AUERBACH ALAN H · CIK 0001358285 · Director · President and CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,145,951

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 12-17-2020

Read SEC document
January 07, 2026 Filed Jan 9, 2026 01:15 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 5,014 $5.88 $29,477.31
Disclosure

SEC source: 0001437749-26-000922 · rdgdoc.xml · nonDerivative · entry 2

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 155,907

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 12-14-2020

Read SEC document
January 07, 2026 Filed Jan 9, 2026 01:14 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCommon Stock 6,405 $5.88 $37,655.00
Disclosure

SEC source: 0001437749-26-000921 · rdgdoc.xml · nonDerivative · entry 2

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 193,284

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 12-14-2020

Read SEC document
January 06, 2026 Filed Jan 9, 2026 01:27 UTC
AUERBACH ALAN HDirector · President and CEO · 10% owner
SaleCommon Stock 16,938 $5.84 $98,985.67
Disclosure

SEC source: 0001437749-26-000924 · rdgdoc.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · President and CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,163,963

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 12-17-2020

Read SEC document
January 06, 2026 Filed Jan 9, 2026 01:15 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 3,973 $5.84 $23,218.21
Disclosure

SEC source: 0001437749-26-000922 · rdgdoc.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 160,921

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 12-14-2020

Read SEC document
January 06, 2026 Filed Jan 9, 2026 01:14 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCommon Stock 4,540 $5.84 $26,531.76
Disclosure

SEC source: 0001437749-26-000921 · rdgdoc.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 199,689

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 12-14-2020

Read SEC document
November 11, 2025 Filed Nov 13, 2025 21:41 UTC SaleCommon Stock 20,000 $4.86 $97,228.00
Disclosure

SEC source: 0001437749-25-034874 · rdgdoc.xml · nonDerivative · entry 1

MILLER MICHAEL PATRICK · CIK 0001236514 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.82 to $4.97, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
July 18, 2025 Filed Jul 22, 2025 23:51 UTC SaleCommon Stock 27,000 $3.37 $90,909.00
Disclosure

SEC source: 0001437749-25-023268 · rdgdoc.xml · nonDerivative · entry 1

Cesano Alessandra · CIK 0001827015 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 41,850

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 03-11-2025

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.34 to $3.41, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
July 09, 2025 Filed Jul 11, 2025 00:56 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCommon Stock 3,935 $3.54 $13,910.23
Disclosure

SEC source: 0001437749-25-022551 · rdgdoc.xml · nonDerivative · entry 2

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 204,229

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 12-14-2020

Read SEC document
July 09, 2025 Filed Jul 11, 2025 00:49 UTC
AUERBACH ALAN HDirector · President and CEO · 10% owner
SaleCommon Stock 21,580 $3.54 $76,285.30
Disclosure

SEC source: 0001437749-25-022547 · rdgdoc.xml · nonDerivative · entry 2

AUERBACH ALAN H · CIK 0001358285 · Director · President and CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,180,901

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 12-17-2020

Read SEC document
July 09, 2025 Filed Jul 11, 2025 00:52 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 3,443 $3.54 $12,171.01
Disclosure

SEC source: 0001437749-25-022549 · rdgdoc.xml · nonDerivative · entry 2

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 164,894

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 12-14-2020

Read SEC document
July 08, 2025 Filed Jul 11, 2025 00:56 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCommon Stock 5,587 $3.53 $19,738.87
Disclosure

SEC source: 0001437749-25-022551 · rdgdoc.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 208,164

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 12-14-2020

Read SEC document
July 08, 2025 Filed Jul 11, 2025 00:49 UTC
AUERBACH ALAN HDirector · President and CEO · 10% owner
SaleCommon Stock 25,592 $3.53 $90,416.54
Disclosure

SEC source: 0001437749-25-022547 · rdgdoc.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · President and CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,202,481

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 12-17-2020

Read SEC document
July 08, 2025 Filed Jul 11, 2025 00:52 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 4,374 $3.53 $15,453.34
Disclosure

SEC source: 0001437749-25-022549 · rdgdoc.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 168,337

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 12-14-2020

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June 13, 2025 Filed Jun 17, 2025 23:52 UTC SaleCommon Stock 8,100 $3.39 $27,459.00
Disclosure

SEC source: 0001437749-25-020719 · rdgdoc.xml · nonDerivative · entry 1

Stuglik Brian M · CIK 0001716328 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 94,958

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 03/12/2025

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.34 to $3.46, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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June 13, 2025 Filed Jun 17, 2025 23:55 UTC SaleCommon Stock 10,800 $3.40 $36,720.00
Disclosure

SEC source: 0001437749-25-020721 · rdgdoc.xml · nonDerivative · entry 1

WILSON TROY EDWARD · CIK 0001589597 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 43,550

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 03/12/2025

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.34 to $3.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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June 13, 2025 Filed Jun 17, 2025 23:49 UTC SaleCommon Stock 27,000 $3.40 $91,800.00
Disclosure

SEC source: 0001437749-25-020717 · rdgdoc.xml · nonDerivative · entry 1

Senderowicz Adrian · CIK 0001616230 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,000

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 03/12/2025

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.34 to $3.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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June 13, 2025 Filed Jun 17, 2025 23:46 UTC
MOYES JAY MDirector
SaleCommon Stock 22,000 $3.40 $74,800.00
Disclosure

SEC source: 0001437749-25-020715 · rdgdoc.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 53,322

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 03/12/2025

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.34 to $3.49, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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June 13, 2025 Filed Jun 17, 2025 23:43 UTC SaleCommon Stock 11,610 $3.40 $39,474.00
Disclosure

SEC source: 0001437749-25-020713 · rdgdoc.xml · nonDerivative · entry 1

Dorval Allison · CIK 0001625110 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 75,390

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 03/12/2025

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.34 to $3.48, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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June 13, 2025 Filed Jun 17, 2025 23:41 UTC SaleCommon Stock 12,150 $3.40 $41,310.00
Disclosure

SEC source: 0001437749-25-020711 · rdgdoc.xml · nonDerivative · entry 1

Cesano Alessandra · CIK 0001827015 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 68,850

F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 03-11-2025

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.34 to $3.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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June 11, 2025 Filed Jun 14, 2025 00:12 UTC GrantCommon Stock 27,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-25-020359 · rdgdoc.xml · nonDerivative · entry 1

Stuglik Brian M · CIK 0001716328 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,058

F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

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June 11, 2025 Filed Jun 14, 2025 00:19 UTC GrantCommon Stock 27,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-25-020363 · rdgdoc.xml · nonDerivative · entry 1

MILLER MICHAEL PATRICK · CIK 0001236514 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,000

F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

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June 11, 2025 Filed Jun 14, 2025 00:18 UTC GrantCommon Stock 27,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-25-020362 · rdgdoc.xml · nonDerivative · entry 1

Senderowicz Adrian · CIK 0001616230 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,000

F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

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June 11, 2025 Filed Jun 14, 2025 00:16 UTC
MOYES JAY MDirector
GrantCommon Stock 27,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-25-020361 · rdgdoc.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,322

F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

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June 11, 2025 Filed Jun 14, 2025 00:11 UTC GrantCommon Stock 27,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-25-020358 · rdgdoc.xml · nonDerivative · entry 1

WILSON TROY EDWARD · CIK 0001589597 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,350

F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

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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.