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PBYI

PUMA BIOTECHNOLOGY, INC.

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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

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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
February 02, 2022 Filed Feb 3, 2022 22:34 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCommon Stock 199 $2.48 $493.96
Disclosure

SEC source: 0001437749-22-002412 · rdgdoc.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,592

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
January 03, 2022 Filed Jan 5, 2022 20:32 UTC
Ludwig Jeffrey JeromeChief Commercial Officer
SaleCommon Stock 4,727 $3.20 $15,121.20
Disclosure

SEC source: 0001437749-22-000498 · rdgdoc.xml · nonDerivative · entry 1

Ludwig Jeffrey Jerome · CIK 0001807133 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,342

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.17 to $3.21, 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 range set forth in this footnote.

Read SEC document
January 03, 2022 Filed Jan 5, 2022 23:03 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 3,707 $3.21 $11,889.83
Disclosure

SEC source: 0001437749-22-000465 · rdgdoc.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,083

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.19 to $3.21, 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 range set forth in this footnote.

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January 03, 2022 Filed Jan 5, 2022 22:12 UTC
AUERBACH ALAN HDirector · President and CEO · 10% owner
SaleCommon Stock 22,875 $3.19 $72,923.21
Disclosure

SEC source: 0001437749-22-000446 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,389,425

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.17 to $3.21, 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 range set forth in this footnote.

Read SEC document
January 03, 2022 Filed Jan 5, 2022 22:04 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCommon Stock 7,484 $3.19 $23,870.97
Disclosure

SEC source: 0001437749-22-000444 · rdgdoc.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,791

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.17 to $3.21, 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 range set forth in this footnote.

Read SEC document
December 02, 2021 Filed Dec 7, 2021 01:33 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 441 $2.90 $1,278.90
Disclosure

SEC source: 0001437749-21-027964 · rdgdoc.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,790

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
December 02, 2021 Filed Dec 6, 2021 23:55 UTC
Wong Alvin FChief Scientific Officer
SaleCommon Stock 1,131 $2.91 $3,294.38
Disclosure

SEC source: 0001437749-21-027956 · rdgdoc.xml · nonDerivative · entry 1

Wong Alvin F · CIK 0001868855 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,152

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
December 02, 2021 Filed Dec 6, 2021 23:37 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCommon Stock 162 $2.95 $477.90
Disclosure

SEC source: 0001437749-21-027954 · rdgdoc.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,275

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
December 02, 2021 Filed Dec 6, 2021 23:31 UTC
AUERBACH ALAN HDirector · President and CEO · 10% owner
SaleCommon Stock 1,837 $2.90 $5,327.30
Disclosure

SEC source: 0001437749-21-027952 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,412,300

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
November 02, 2021 Filed Nov 3, 2021 22:22 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCommon Stock 156 $5.67 $884.68
Disclosure

SEC source: 0001209191-21-062788 · doc4.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,437

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
November 02, 2021 Filed Nov 3, 2021 22:20 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 427 $5.64 $2,408.71
Disclosure

SEC source: 0001209191-21-062781 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,231

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
November 02, 2021 Filed Nov 3, 2021 22:17 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 1,795 $5.63 $10,111.95
Disclosure

SEC source: 0001209191-21-062777 · doc4.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,414,137

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
October 04, 2021 Filed Oct 6, 2021 21:20 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCommon Stock 161 $6.20 $998.22
Disclosure

SEC source: 0001437749-21-023380 · rdgdoc.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,593

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
October 04, 2021 Filed Oct 6, 2021 21:15 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 443 $6.15 $2,725.82
Disclosure

SEC source: 0001437749-21-023377 · rdgdoc.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,658

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
October 04, 2021 Filed Oct 6, 2021 21:04 UTC
AUERBACH ALAN HDirector · President and CEO · 10% owner
SaleCommon Stock 1,858 $6.15 $11,433.20
Disclosure

SEC source: 0001437749-21-023375 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,415,932

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
September 02, 2021 Filed Sep 4, 2021 01:27 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 1,764 $7.60 $13,402.87
Disclosure

SEC source: 0001209191-21-054918 · doc4.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,417,790

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.59 to $7.6039, 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 range set forth in this footnote.

Read SEC document
September 02, 2021 Filed Sep 3, 2021 23:40 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCOMMON STOCK 155 $7.51 $1,164.21
Disclosure

SEC source: 0001209191-21-054896 · doc4.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,754

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
September 02, 2021 Filed Sep 7, 2021 19:36 UTC
HUNT DOUGLAS MSee Remarks
SaleCOMMON STOCK 422 $7.52 $3,173.86
Disclosure

SEC source: 0001209191-21-054951 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,101

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 21:52 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCOMMON STOCK 154 $7.54 $1,161.48
Disclosure

SEC source: 0001209191-21-049435 · doc4.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,909

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 21:49 UTC
HUNT DOUGLAS MSee Remarks
SaleCOMMON STOCK 420 $7.53 $3,160.54
Disclosure

SEC source: 0001209191-21-049429 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,523

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 21:45 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 1,764 $7.53 $13,285.74
Disclosure

SEC source: 0001209191-21-049423 · doc4.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,419,554

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
July 15, 2021 Filed Jul 16, 2021 20:46 UTC GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 108,721 $0.00 Strike: $8.19 $0.00
Disclosure

SEC source: 0001209191-21-046945 · doc4.xml · derivative · entry 1

Dorval Allison · CIK 0001625110 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,721

Underlying: COMMON STOCK · 108,721 shares

Expires 2031-07-14

F1 · derivative.exercise_date: The vesting commencement date of the option is July 15, 2021 (the "Option Vesting Commencement Date"). Subject to the Reporting Person's continued service with the Issuer through the applicable vesting date, the option vests (i) on the first anniversary of the Option Vesting Commencement Date with respect to one-third (1/3rd) of the shares subject thereto and (ii) on each monthly anniversary of the Option Vesting Commencement Date thereafter with respect to an additional 1/36th of the shares subject thereto.

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July 02, 2021 Filed Jul 6, 2021 23:42 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 5,332 $8.84 $47,121.02
Disclosure

SEC source: 0001209191-21-045683 · doc4.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,421,318

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.80 to $9.01, 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 range set forth in this footnote.

Read SEC document
July 02, 2021 Filed Jul 6, 2021 21:43 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCOMMON STOCK 155 $9.26 $1,435.11
Disclosure

SEC source: 0001209191-21-045599 · doc4.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,063

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units,

Read SEC document
July 02, 2021 Filed Jul 6, 2021 21:40 UTC
HUNT DOUGLAS MSee Remarks
SaleCOMMON STOCK 1,016 $9.15 $9,297.72
Disclosure

SEC source: 0001209191-21-045596 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,943

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.14 to $9.17, 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 range set forth in this footnote.

Read SEC document
June 17, 2021 Filed Jun 23, 2021 00:14 UTC
Wong Alvin FChief Scientific Officer
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 90,000 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001209191-21-042589 · doc4.xml · derivative · entry 1

Wong Alvin F · CIK 0001868855 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: COMMON STOCK · 90,000 shares

Expires 2031-06-16

F1 · derivative.exercise_date: Subject to the Reporting Person's continued employment with the Company through the applicable vesting date, 1/3rd of the shares underlying the option will vest on the first anniversary of June 15, 2021 (the "Option Vesting Commencement Date"), and 1/36th of the shares underlying the option will vest on each monthly anniversary of the Option Vesting Commencement Date thereafter.

Read SEC document
June 15, 2021 Filed Jun 18, 2021 00:29 UTC GrantCOMMON STOCK 27,858 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-041779 · doc4.xml · nonDerivative · entry 1

Stuglik Brian M · CIK 0001716328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,858

F1 · shares: 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 15, 2021 Filed Jun 18, 2021 01:11 UTC GrantCOMMON STOCK 27,858 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-041803 · doc4.xml · nonDerivative · entry 1

WILSON TROY EDWARD · CIK 0001589597 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,208

F1 · shares: 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 15, 2021 Filed Jun 18, 2021 00:50 UTC GrantCOMMON STOCK 27,858 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-041787 · doc4.xml · nonDerivative · entry 1

Miller Ann Calby · CIK 0001771423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,732

F1 · shares: 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 15, 2021 Filed Jun 18, 2021 00:35 UTC GrantCOMMON STOCK 27,858 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-041781 · doc4.xml · nonDerivative · entry 1

Senderowicz Adrian · CIK 0001616230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,858

F1 · shares: 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 15, 2021 Filed Jun 17, 2021 23:38 UTC GrantCOMMON STOCK 27,858 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-041731 · doc4.xml · nonDerivative · entry 1

MILLER MICHAEL PATRICK · CIK 0001236514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,511

F1 · shares: 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 15, 2021 Filed Jun 17, 2021 23:21 UTC
MOYES JAY MDirector
GrantCommon Stock 27,858 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-041706 · doc4.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,180

F1 · shares: 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, 2021 Filed Jun 15, 2021 22:14 UTC SaleCOMMON STOCK 40,993 $11.17 $457,756.53
Disclosure

SEC source: 0001209191-21-040710 · doc4.xml · nonDerivative · entry 1

Senderowicz Adrian · CIK 0001616230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.08 to $11.32, 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 10, 2021 Filed Jun 11, 2021 23:30 UTC SaleCOMMON STOCK 25,748 $11.36 $292,432.91
Disclosure

SEC source: 0001209191-21-040041 · doc4.xml · nonDerivative · entry 1

WILSON TROY EDWARD · CIK 0001589597 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.24 to $11.52, 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 range set forth in this footnote.

Read SEC document
June 10, 2021 Filed Jun 11, 2021 21:36 UTC
MOYES JAY MDirector
SaleCommon Stock 25,248 $11.36 $286,860.20
Disclosure

SEC source: 0001209191-21-039954 · doc4.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,322

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.24 to $11.52, 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 range set forth in this footnote.

Read SEC document
June 10, 2021 Filed Jun 11, 2021 20:59 UTC SaleCOMMON STOCK 12,874 $11.43 $147,156.26
Disclosure

SEC source: 0001209191-21-039897 · doc4.xml · nonDerivative · entry 1

Miller Ann Calby · CIK 0001771423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,874

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.36 to $11.52, 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 range set forth in this footnote.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 20:56 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCOMMON STOCK 152 $10.74 $1,632.63
Disclosure

SEC source: 0001209191-21-038294 · doc4.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,218

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 20:53 UTC
HUNT DOUGLAS MSee Remarks
SaleCOMMON STOCK 416 $10.77 $4,480.94
Disclosure

SEC source: 0001209191-21-038292 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,959

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.7510 to $10.8000, 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 range set forth in this footnote.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 20:49 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 1,757 $10.74 $18,877.38
Disclosure

SEC source: 0001209191-21-038287 · doc4.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,426,650

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.738 to $10.7640, 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 range set forth in this footnote.

Read SEC document
May 03, 2021 Filed May 5, 2021 20:44 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCOMMON STOCK 152 $9.91 $1,506.38
Disclosure

SEC source: 0001209191-21-030355 · doc4.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,370

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
May 03, 2021 Filed May 5, 2021 20:39 UTC
HUNT DOUGLAS MSee Remarks
SaleCOMMON STOCK 417 $9.91 $4,132.64
Disclosure

SEC source: 0001209191-21-030347 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,375

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

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May 03, 2021 Filed May 5, 2021 20:34 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 1,758 $9.01 $15,846.61
Disclosure

SEC source: 0001209191-21-030343 · doc4.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,428,407

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.8775 to $9.9000, 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 range set forth in this footnote.

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April 05, 2021 Filed Apr 6, 2021 21:58 UTC
HUNT DOUGLAS MSee Remarks
SaleCOMMON STOCK 426 $9.80 $4,176.04
Disclosure

SEC source: 0001209191-21-025728 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,792

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

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April 05, 2021 Filed Apr 6, 2021 22:02 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCOMMON STOCK 155 $9.80 $1,519.45
Disclosure

SEC source: 0001209191-21-025730 · doc4.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,522

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

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April 05, 2021 Filed Apr 6, 2021 21:54 UTC SaleCOMMON STOCK 426 $9.80 $4,176.04
Disclosure

SEC source: 0001209191-21-025726 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,662

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

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April 05, 2021 Filed Apr 6, 2021 21:48 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 1,584 $9.80 $15,527.79
Disclosure

SEC source: 0001209191-21-025720 · doc4.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,430,165

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

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March 02, 2021 Filed Mar 4, 2021 21:48 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCOMMON STOCK 154 $10.14 $1,560.88
Disclosure

SEC source: 0001209191-21-017852 · doc4.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,677

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
March 02, 2021 Filed Mar 4, 2021 21:43 UTC
HUNT DOUGLAS MSee Remarks
SaleCOMMON STOCK 422 $10.16 $4,288.28
Disclosure

SEC source: 0001209191-21-017839 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,218

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

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March 02, 2021 Filed Mar 4, 2021 21:40 UTC SaleCOMMON STOCK 422 $10.15 $4,283.30
Disclosure

SEC source: 0001209191-21-017836 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,088

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
March 02, 2021 Filed Mar 4, 2021 21:33 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 1,238 $10.14 $12,555.55
Disclosure

SEC source: 0001209191-21-017823 · doc4.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,431,749

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

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.