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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 17, 2021 Filed Feb 19, 2021 19:25 UTC
Ludwig Jeffrey JeromeChief Commercial Officer
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 50,740 $0.00 Strike: $12.02 $0.00
Disclosure

SEC source: 0001209191-21-012573 · doc4.xml · derivative · entry 2

Ludwig Jeffrey Jerome · CIK 0001807133 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,740

Underlying: COMMON STOCK · 50,740 shares

Expires 2031-02-26

F2 · shares: Subject to the Optionee's continued service with the Company through the applicable vesting date, the Option shall vest and become exercisable with respect to (i) one-third (1/3) of the Shares (as defined in the Plan) underlying the Option on the vesting commencement date of January 1, 2021 (the "Vesting Commencement Date") and (ii) one-sixth (1/6th) of the Shares subject thereto on each of July 1, 2022, January 1, 2023, July 1, 2023, and January 1, 2024.

F2 · derivative.exercise_date: Subject to the Optionee's continued service with the Company through the applicable vesting date, the Option shall vest and become exercisable with respect to (i) one-third (1/3) of the Shares (as defined in the Plan) underlying the Option on the vesting commencement date of January 1, 2021 (the "Vesting Commencement Date") and (ii) one-sixth (1/6th) of the Shares subject thereto on each of July 1, 2022, January 1, 2023, July 1, 2023, and January 1, 2024.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 19:25 UTC
Ludwig Jeffrey JeromeChief Commercial Officer
GrantCOMMON STOCK 36,069 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-012573 · doc4.xml · nonDerivative · entry 1

Ludwig Jeffrey Jerome · CIK 0001807133 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,069

F1 · shares: Subject to the Grantee's continued service with the Company through the applicable vesting date, the Restricted Stock Units shall vest with respect to (i) one-third (1/3) of the Restricted Stock Units on the vesting commencement date of January 1, 2021 (the "Vesting Commencement Date") and (ii) one-sixth (1/6th) of the Restricted Stock Units on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 23:49 UTC
NOUGUES MAXIMO FChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 78,209 $0.00 Strike: $12.02 $0.00
Disclosure

SEC source: 0001209191-21-012533 · doc4.xml · derivative · entry 2

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,209

Underlying: COMMON STOCK · 78,209 shares

Expires 2031-02-16

F2 · derivative.exercise_date: Subject to the Optionee's continued service with the Company through the applicable vesting date, the Option shall vest and become exercisable with respect to (i) one-third (1/3) of the Shares (as defined in the Plan) underlying the Option on the first anniversary of the vesting commencement date of January 1, 2021 (the "Vesting Commencement Date") and (ii) one-sixth (1/6th) of the Shares subject thereto on each of July 1, 2022, January 1, 2023, July 1, 2023, and January 1, 2024.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 23:49 UTC
NOUGUES MAXIMO FChief Financial Officer
GrantCOMMON STOCK 55,595 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-012533 · doc4.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,831

F1 · shares: Subject to the Grantee's continued service with the Company through the applicable vesting date, the Restricted Stock Units shall vest with respect to (i) one-third (1/3) of the Restricted Stock Units on the first anniversary of the vesting commencement date of January 1, 2021 (the "Vesting Commencement Date") and (ii) one-sixth (1/6th) of the Restricted Stock Units on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 23:29 UTC
HUNT DOUGLAS MSee Remarks
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 27,793 $0.00 Strike: $12.02 $0.00
Disclosure

SEC source: 0001209191-21-012529 · doc4.xml · derivative · entry 2

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,793

Underlying: COMMON STOCK · 27,793 shares

Expires 2031-02-16

F2 · derivative.exercise_date: Subject to the Optionee's continued service with the Company through the applicable vesting date, the Option shall vest and become exercisable with respect to (i) one-third (1/3) of the Shares (as defined in the Plan) underlying the Option on the vesting commencement date of January 1, 2021 (the "Vesting Commencement Date") and (ii) one-sixth (1/6th) of the Shares subject thereto on each of July 1, 2022, January 1, 2023, July 1, 2023, and January 1, 2024.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 23:29 UTC
HUNT DOUGLAS MSee Remarks
GrantCOMMON STOCK 19,757 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-012529 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,640

F1 · shares: Subject to the Grantee's continued service with the Company through the applicable vesting date, the Restricted Stock Units shall vest with respect to (i) one-third (1/3) of the Restricted Stock Units on the vesting commencement date of January 1, 2021 (the "Vesting Commencement Date") and (ii) one-sixth (1/6th) of the Restricted Stock Units on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 23:22 UTC GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 74,341 $0.00 Strike: $12.02 $0.00
Disclosure

SEC source: 0001209191-21-012523 · doc4.xml · derivative · entry 2

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,341

Underlying: COMMON STOCK · 74,341 shares

Expires 2031-02-16

F2 · derivative.exercise_date: Subject to the Optionee's continued service with the Company through the applicable vesting date, the Option shall vest and become exercisable with respect to (i) one-third (1/3) of the Shares (as defined in the Plan) underlying the Option on the first anniversary of January 1, 2021 (the "Vesting Commencement Date")and (ii) one-sixth (1/6th) of the Shares subject thereto on each of July 1, 2022, January 1, 2023, July 1, 2023, and January 1, 2024.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 23:22 UTC GrantCOMMON STOCK 52,846 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-012523 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,510

F1 · shares: Subject to the Grantee's continued service with the Company through the applicable vesting date, the Restricted Stock Units shall vest with respect to (i) one-third (1/3) of the Restricted Stock Units on the first anniversary of of the commencement date of January 1, 2021 (the "Vesting Commencement Date") and (ii) one-sixth (1/6th) of the Restricted Stock Units on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 23:16 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 210,944 $0.00 Strike: $12.02 $0.00
Disclosure

SEC source: 0001209191-21-012518 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,944

Underlying: COMMON STOCK · 210,944 shares

Expires 2031-02-16

F3 · derivative.exercise_date: Subject to the Optionee's continued status as an Employee, the Option shall vest and become exercisable with respect to (i) one-third (1/3rd) of the Shares subject thereto on the first anniversary of January 1, 2021 (the "Vesting Commencement Date"), and (ii) one-sixth (1/6th) of the Shares subject thereto on each of July 1, 2022, January 1, 2023, July 1, 2023, and January 1, 2024; provided, however, that if the Optionee experiences a Termination of Service by the Company without Cause or by the Optionee with Good Reason (each as defined in Mr. Auerbach's employment agreement), in either case, during the period beginning sixty (60) days prior to and ending eighteen (18) months after the occurrence of a Change in Control, then (subject to timely executing and not revoking the Release Agreement (as defined in the employment agreement)) (i) the Option shall vest and become exercisable in full on the later to occur of such termination or the Change in Control, and (continued in footnote 4)

F4 · derivative.exercise_date: (continued from footnote 3 above) (ii) the Option shall remain exercisable until the earlier to occur of the first anniversary of such termination or the Expiration Date. Unless otherwise defined herein, the terms used herein have the same defined meanings as in the Stock Option Agreement.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 23:16 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
GrantCOMMON STOCK 149,951 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-012518 · 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: 4,432,987

F1 · shares: Subject to the Grantee's continued status as an Employee, the Restricted Stock Units shall vest with respect to (i) one-third (1/3rd) of the Restricted Stock Units on the first anniversary of the vesting commencement date of January 1, 2021 (the "Vesting Commencement Date"), and (ii) one-sixth (1/6th) of the Restricted Stock Units on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024; provided, however, that if the Grantee experiences a Termination of Service by the Company without Cause or by the Grantee with Good Reason (each as defined in Mr. Auerbach's employment agreement), in either case, during the period beginning sixty (60) days prior to and ending eighteen (18) months after the occurrence of a Change in Control, then (subject to timely executing and not revoking the Release Agreement (as defined in the employment agreement)) the Restricted Stock Units shall vest in full on the later to occur of such termination or the Change in Control. (See footnote 2)

F2 · shares: (continued from Footnote 1 above) Unless otherwise defined herein, the terms used herein have the same defined meanings as in the Restricted Stock Unit Agreement.

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February 17, 2021 Filed Feb 23, 2021 16:24 UTC Amendment
Ludwig Jeffrey JeromeChief Commercial Officer
GrantCOMMON STOCK 36,069 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-013211 · doc4a.xml · nonDerivative · entry 1

Ludwig Jeffrey Jerome · CIK 0001807133 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,069

F1 · shares: Subject to the Grantee's continued service with the Company through the applicable vesting date, the Restricted Stock Units shall vest with respect to (i) one-third (1/3) of the Restricted Stock Units on the first anniversary of the vesting commencement date of January 1, 2021 (the "Vesting Commencement Date") and (ii) one-sixth (1/6th) of the Restricted Stock Units on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024.

Read SEC document
February 17, 2021 Filed Feb 24, 2021 22:12 UTC Amendment
HUNT DOUGLAS MSee Remarks
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 27,793 $0.00 Strike: $12.02 $0.00
Disclosure

SEC source: 0001209191-21-013891 · doc4a.xml · derivative · entry 2

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,793

Underlying: COMMON STOCK · 27,793 shares

Expires 2031-02-16

F2 · derivative.exercise_date: Subject to the Optionee's continued service with the Company through the applicable vesting date, the Option shall vest and become exercisable with respect to (i) one-third (1/3) of the Shares (as defined in the Plan) underlying the Option on the first anniversary of the vesting commencement date of January 1, 2021 (the "Vesting Commencement Date") and (ii) one-sixth (1/6th) of the Shares subject thereto on each of July 1, 2022, January 1, 2023, July 1, 2023, and January 1, 2024.

Read SEC document
February 17, 2021 Filed Feb 24, 2021 22:12 UTC Amendment
HUNT DOUGLAS MSee Remarks
GrantCOMMON STOCK 19,757 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-013891 · doc4a.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,640

F1 · shares: Subject to the Grantee's continued service with the Company through the applicable vesting date, the Restricted Stock Units shall vest with respect to (i) one-third (1/3) of the Restricted Stock Units on the first anniversary of the vesting commencement date of January 1, 2021 (the "Vesting Commencement Date") and (ii) one-sixth (1/6th) of the Restricted Stock Units on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024.

Read SEC document
February 02, 2021 Filed Feb 4, 2021 00:39 UTC SaleCOMMON STOCK 415 $12.23 $5,075.95
Disclosure

SEC source: 0001209191-21-007534 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,664

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 $12.2306 to $12.2480, 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
February 02, 2021 Filed Feb 3, 2021 23:47 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 412 $12.27 $5,053.72
Disclosure

SEC source: 0001209191-21-007483 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,883

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 $12.2607 to $12.2745, 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
February 02, 2021 Filed Feb 4, 2021 22:13 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCOMMON STOCK 179 $12.26 $2,194.67
Disclosure

SEC source: 0001209191-21-007808 · doc4.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,236

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
February 02, 2021 Filed Feb 4, 2021 22:10 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 1,222 $12.22 $14,930.76
Disclosure

SEC source: 0001209191-21-007801 · 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: 4,283,036

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 $12.2101 to $12.2350, 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 04, 2021 Filed Jan 7, 2021 01:05 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 18,235 $10.22 $186,379.94
Disclosure

SEC source: 0001209191-21-002383 · 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: 4,284,258

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 $10.16 to $10.28, 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 04, 2021 Filed Jan 6, 2021 23:48 UTC
NOUGUES MAXIMO FChief Financial Officer
SaleCOMMON STOCK 2,145 $10.22 $21,930.27
Disclosure

SEC source: 0001209191-21-002341 · doc4.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,415

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 $10.17 to $10.28, 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 04, 2021 Filed Jan 6, 2021 23:42 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 6,463 $10.23 $66,144.93
Disclosure

SEC source: 0001209191-21-002333 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,295

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 $10.1601 to $10.2800, 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 04, 2021 Filed Jan 6, 2021 23:36 UTC SaleCOMMON STOCK 6,548 $10.23 $67,016.16
Disclosure

SEC source: 0001209191-21-002327 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,079

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 $10.17 to $10.28, 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, 2020 Filed Dec 4, 2020 21:34 UTC SaleCOMMON STOCK 92 $11.65 $1,071.80
Disclosure

SEC source: 0001209191-20-061811 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,627

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, 2020 Filed Dec 4, 2020 21:32 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 355 $11.66 $4,137.88
Disclosure

SEC source: 0001209191-20-061807 · 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: 4,302,493

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, 2020 Filed Nov 4, 2020 00:28 UTC SaleCOMMON STOCK 97 $7.81 $757.57
Disclosure

SEC source: 0001209191-20-056784 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,719

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, 2020 Filed Nov 4, 2020 00:25 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 371 $7.82 $2,899.40
Disclosure

SEC source: 0001209191-20-056783 · 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: 4,302,848

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 $7.810 to $7.817, 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
October 02, 2020 Filed Oct 5, 2020 21:25 UTC SaleCOMMON STOCK 91 $10.14 $923.10
Disclosure

SEC source: 0001209191-20-053766 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,816

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 02, 2020 Filed Oct 5, 2020 22:13 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 350 $10.13 $3,544.80
Disclosure

SEC source: 0001209191-20-053855 · 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: 4,303,219

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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September 16, 2020 Filed Sep 17, 2020 21:18 UTC
MOYES JAY MDirector
SaleCOMMON STOCK 9,703 $10.00 $97,030.00
Disclosure

SEC source: 0001209191-20-050982 · doc4.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,570

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

Read SEC document
September 02, 2020 Filed Sep 3, 2020 21:27 UTC SaleCOMMON STOCK 90 $9.77 $879.30
Disclosure

SEC source: 0001209191-20-049481 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,907

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, 2020 Filed Sep 3, 2020 21:25 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 347 $9.78 $3,393.35
Disclosure

SEC source: 0001209191-20-049479 · 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: 4,303,569

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 03, 2020 Filed Aug 5, 2020 20:35 UTC SaleCOMMON STOCK 86 $10.80 $928.80
Disclosure

SEC source: 0001209191-20-045120 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,997

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 03, 2020 Filed Aug 5, 2020 20:33 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 330 $10.79 $3,560.70
Disclosure

SEC source: 0001209191-20-045117 · 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: 4,303,916

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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July 05, 2020 Filed Jul 8, 2020 01:33 UTC GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 93,953 $0.00 Strike: $10.53 $0.00
Disclosure

SEC source: 0001209191-20-041629 · doc4.xml · derivative · entry 1

Stuglik Brian M · CIK 0001716328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,953

Underlying: COMMON STOCK · 93,953 shares

Expires 2030-07-04

F1 · derivative.exercise_date: The vesting commencement date of the option is July 5, 2020 ("Option Vesting Commencement Date"). The option vests (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the Option Vesting Commencement Date and (ii) with respect to 1/36th of the shares subject thereto on each monthly anniversary of the Option Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

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July 02, 2020 Filed Jul 7, 2020 00:37 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 572 $10.69 $6,111.82
Disclosure

SEC source: 0001209191-20-041359 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,758

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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July 02, 2020 Filed Jul 7, 2020 00:02 UTC SaleCOMMON STOCK 660 $10.67 $7,040.42
Disclosure

SEC source: 0001209191-20-041329 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,083

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 $10.5701 to $10.6676, 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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July 02, 2020 Filed Jul 6, 2020 23:36 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 2,607 $10.66 $27,802.61
Disclosure

SEC source: 0001209191-20-041291 · 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: 4,304,246

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 $10.62 to $10.72, 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 16, 2020 Filed Jun 17, 2020 23:47 UTC
MOYES JAY MDirector
SaleCOMMON STOCK 9,720 $9.50 $92,340.00
Disclosure

SEC source: 0001209191-20-037439 · doc4.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,273

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

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June 11, 2020 Filed Jun 15, 2020 20:36 UTC SaleCOMMON STOCK 25,245 $9.97 $251,692.65
Disclosure

SEC source: 0001209191-20-036624 · doc4.xml · nonDerivative · entry 1

WILSON TROY EDWARD · CIK 0001589597 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,098

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June 11, 2020 Filed Jun 15, 2020 20:34 UTC SaleCOMMON STOCK 10,000 $9.89 $98,878.00
Disclosure

SEC source: 0001209191-20-036622 · doc4.xml · nonDerivative · entry 1

Senderowicz Adrian · CIK 0001616230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,993

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.86 to $9.91, 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 09, 2020 Filed Jun 10, 2020 21:14 UTC GrantCOMMON STOCK 25,748 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035603 · doc4.xml · nonDerivative · entry 1

Miller Ann Calby · CIK 0001771423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,748

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.

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June 09, 2020 Filed Jun 11, 2020 20:55 UTC
O'Dowd HughDirector
GrantCOMMON STOCK 25,748 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-036168 · doc4.xml · nonDerivative · entry 1

O'Dowd Hugh · CIK 0001741171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,748

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.

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June 09, 2020 Filed Jun 12, 2020 00:11 UTC
ZAVRL FRANKDirector
GrantCOMMON STOCK 25,748 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-036130 · doc4.xml · nonDerivative · entry 1

ZAVRL FRANK · CIK 0001652169 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,993

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.

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June 09, 2020 Filed Jun 12, 2020 00:09 UTC GrantCOMMON STOCK 25,748 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-036128 · doc4.xml · nonDerivative · entry 1

WILSON TROY EDWARD · CIK 0001589597 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,343

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.

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June 09, 2020 Filed Jun 12, 2020 00:05 UTC
MOYES JAY MDirector
GrantCOMMON STOCK 25,748 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-036125 · doc4.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,993

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.

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June 09, 2020 Filed Jun 12, 2020 00:08 UTC GrantCOMMON STOCK 25,748 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-036126 · doc4.xml · nonDerivative · entry 1

Senderowicz Adrian · CIK 0001616230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,993

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.

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June 09, 2020 Filed Jun 12, 2020 00:04 UTC GrantCOMMON STOCK 25,748 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-036122 · doc4.xml · nonDerivative · entry 1

MILLER MICHAEL PATRICK · CIK 0001236514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,653

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.

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June 02, 2020 Filed Jun 3, 2020 21:26 UTC SaleCOMMON STOCK 89 $10.66 $948.74
Disclosure

SEC source: 0001209191-20-034136 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,743

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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June 02, 2020 Filed Jun 4, 2020 20:36 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 242 $10.71 $2,591.82
Disclosure

SEC source: 0001209191-20-034443 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,306,853

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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June 02, 2020 Filed Jun 4, 2020 20:36 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 100 $10.70 $1,070.10
Disclosure

SEC source: 0001209191-20-034443 · 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: 4,307,095

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 04, 2020 Filed May 6, 2020 20:55 UTC SaleCOMMON STOCK 89 $9.62 $856.19
Disclosure

SEC source: 0001209191-20-027503 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,832

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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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.