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Nasdaq · USD

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
May 04, 2020 Filed May 6, 2020 20:53 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 339 $9.70 $3,288.71
Disclosure

SEC source: 0001209191-20-027502 · 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: 4,307,195

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
April 02, 2020 Filed Apr 3, 2020 20:42 UTC SaleCOMMON STOCK 91 $7.37 $670.68
Disclosure

SEC source: 0001209191-20-023194 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,921

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
April 02, 2020 Filed Apr 3, 2020 20:39 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 347 $7.39 $2,562.60
Disclosure

SEC source: 0001209191-20-023177 · 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: 4,307,534

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 20, 2020 Filed Mar 23, 2020 19:47 UTC
Ludwig Jeffrey JeromeChief Commercial Officer
GrantStock Option (Right to Buy) · Derivative 320,000 $0.00 Strike: $7.82 $0.00
Disclosure

SEC source: 0001209191-20-020763 · doc4.xml · derivative · entry 1

Ludwig Jeffrey Jerome · CIK 0001807133 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,000

Underlying: COMMON STOCK · 320,000 shares

Expires 2030-03-19

F1 · derivative.exercise_date: The vesting commencement date of the option is March 16, 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 employment with the Issuer through the applicable vesting date.

Read SEC document
March 02, 2020 Filed Mar 3, 2020 21:41 UTC SaleCOMMON STOCK 96 $10.02 $962.15
Disclosure

SEC source: 0001209191-20-015251 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,012

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, 2020 Filed Mar 3, 2020 21:38 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 372 $10.02 $3,725.62
Disclosure

SEC source: 0001209191-20-015236 · 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: 4,307,881

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 27, 2020 Filed Mar 2, 2020 21:35 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 1,728 $10.25 $17,717.18
Disclosure

SEC source: 0001209191-20-014487 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,830

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 25, 2020 Filed Apr 6, 2020 20:39 UTC Amendment
HUNT DOUGLAS MSee Remarks
GrantCommon Stock 4,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-023599 · doc4a.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,330

F1 · shares: Shares issued pursuant to performance based vesting of restricted stock units.

Read SEC document
February 11, 2020 Filed Feb 14, 2020 02:34 UTC
NOUGUES MAXIMO FChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 15,567 $0.00 Strike: $12.34 $0.00
Disclosure

SEC source: 0001209191-20-009464 · doc4.xml · derivative · entry 2

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,567

Underlying: COMMON STOCK · 15,567 shares

Expires 2030-02-10

F2 · derivative.exercise_date: The vesting commencement date of the option is January 1, 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.

Read SEC document
February 11, 2020 Filed Feb 14, 2020 02:34 UTC
NOUGUES MAXIMO FChief Financial Officer
GrantCOMMON STOCK 15,560 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009464 · doc4.xml · nonDerivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,560

F1 · shares: Represents Restricted Stock Units which vest (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the vesting commencement date of January 1, 2020 ("Vesting Commencement Date") and (ii) with respect to 1/36th of the shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document
February 11, 2020 Filed Feb 14, 2020 00:59 UTC GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 54,842 $0.00 Strike: $12.34 $0.00
Disclosure

SEC source: 0001209191-20-009445 · doc4.xml · derivative · entry 2

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,842

Underlying: COMMON STOCK · 54,842 shares

Expires 2030-02-10

F2 · derivative.exercise_date: The vesting commencement date ("Option Vesting Commencement Date") of the option is January 1, 2020. The option vests (i) with respect to one-third (1/3rd) of the shares underlying the option on the first anniversary of the Option Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option 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.

Read SEC document
February 11, 2020 Filed Feb 14, 2020 00:59 UTC GrantCOMMON STOCK 43,274 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009445 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,108

F1 · shares: Represents Restricted Stock Units which vest (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the vesting commencement date of January 1, 2020 ("Vesting Commencement Date") and (ii) with respect to 1/36th of the shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document
February 11, 2020 Filed Feb 14, 2020 00:50 UTC
HUNT DOUGLAS MSee Remarks
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 54,842 $0.00 Strike: $12.34 $0.00
Disclosure

SEC source: 0001209191-20-009441 · doc4.xml · derivative · entry 2

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,842

Underlying: COMMON STOCK · 54,842 shares

Expires 2030-02-10

F2 · derivative.exercise_date: The vesting commencement date ("Option Vesting Commencement Date") of the option is January 1, 2020. The option vests (i) with respect to one-third (1/3rd) of the shares underlying the option on the first anniversary of the Option Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option 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.

Read SEC document
February 11, 2020 Filed Feb 14, 2020 00:50 UTC
HUNT DOUGLAS MSee Remarks
GrantCOMMON STOCK 43,274 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009441 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,558

F1 · shares: Represents Restricted Stock Units which vest (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the vesting commencement date of January 1, 2020 ("Vesting Commencement Date") and (ii) with respect to 1/36th of the shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document
February 11, 2020 Filed Feb 14, 2020 00:36 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 161,649 $0.00 Strike: $12.34 $0.00
Disclosure

SEC source: 0001209191-20-009433 · 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: 161,649

Underlying: COMMON STOCK · 161,649 shares

Expires 2030-02-10

F3 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is January 1, 2020. Subject to the Reporting Person's continued status as an employee of the Issuer, the option shall vest and become exercisable with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the Vesting Commencement Date, and with respect to an additional 1/36th shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter. Additionally, if the Reporting Person experiences a Termination of Service by the Issuer without Cause or by the Reporting Person with Good Reason, each as defined in the employment agreement between the Issuer and the Reporting Person dated January 19, 2012 (the "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, as defined in the Employment Agreement,

F4 · derivative.exercise_date: (continued from footnote 1 above) 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 (ii) the option shall remain exercisable until the earlier to occur of the first anniversary of such termination or the expiration date of the option reported herein.

Read SEC document
February 11, 2020 Filed Feb 14, 2020 00:36 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
GrantCOMMON STOCK 127,553 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009433 · 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: 4,308,253

F1 · shares: Represents Restricted Stock Units which vest (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the vesting commencement date of January 1, 2020 ("Vesting Commencement Date"), and (ii) with respect to an additional 1/36th of the shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date. Additionally, if the Reporting Person experiences a Termination of Service by the Issuer without Cause or by the Reporting Person with Good Reason, each as defined in the employment agreement between the Issuer and the Reporting Person dated January 19, 2012 (the "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, as defined in the Employment Agreement, (continued in Footnote 2 below)

F2 · shares: (continued from Footnote 1 above) then (subject to timely executing and not revoking the Release Agreement (as defined in the Employment Agreement)) the restricted stock units shall vest ain full on the later to occur of such termination or the Change in Control.

Read SEC document
February 03, 2020 Filed Feb 4, 2020 22:41 UTC SaleCOMMON STOCK 105 $8.02 $841.58
Disclosure

SEC source: 0001209191-20-006488 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,834

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 03, 2020 Filed Feb 4, 2020 22:37 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 331 $8.01 $2,652.80
Disclosure

SEC source: 0001209191-20-006479 · 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: 4,180,700

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 02, 2020 Filed Jan 3, 2020 22:14 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 1,405 $8.43 $11,846.96
Disclosure

SEC source: 0001209191-20-001190 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,284

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 02, 2020 Filed Jan 3, 2020 21:47 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 5,973 $8.39 $50,113.47
Disclosure

SEC source: 0001209191-20-001102 · 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: 4,181,031

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 02, 2020 Filed Jan 3, 2020 21:47 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 43 $8.32 $357.76
Disclosure

SEC source: 0001209191-20-001102 · 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: 4,187,004

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 02, 2020 Filed Jan 3, 2020 21:31 UTC SaleCOMMON STOCK 1,514 $8.40 $12,717.60
Disclosure

SEC source: 0001209191-20-001000 · doc4.xml · nonDerivative · entry 2

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,939

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 02, 2020 Filed Jan 3, 2020 21:31 UTC SaleCOMMON STOCK 2 $8.36 $16.72
Disclosure

SEC source: 0001209191-20-001000 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,453

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, 2019 Filed Dec 4, 2019 01:53 UTC SaleCOMMON STOCK 83 $10.34 $858.23
Disclosure

SEC source: 0001209191-19-058925 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,455

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, 2019 Filed Dec 3, 2019 21:51 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 455 $10.33 $4,699.65
Disclosure

SEC source: 0001209191-19-058737 · 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: 4,187,047

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 12, 2019 Filed Nov 13, 2019 23:02 UTC GrantStock Option (Right to Buy) · Derivative 125,306 $0.00 Strike: $8.45 $0.00
Disclosure

SEC source: 0001209191-19-056460 · doc4.xml · derivative · entry 1

Miller Ann Calby · CIK 0001771423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,306

Underlying: Common Stock · 125,306 shares

Expires 2029-11-11

F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is November 12, 2019. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document
November 04, 2019 Filed Nov 5, 2019 21:31 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 100 $7.40 $740.01
Disclosure

SEC source: 0001209191-19-055207 · 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: 4,187,502

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 04, 2019 Filed Nov 5, 2019 21:31 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 378 $7.40 $2,797.20
Disclosure

SEC source: 0001209191-19-055207 · 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: 4,187,602

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 04, 2019 Filed Nov 5, 2019 21:34 UTC SaleCOMMON STOCK 88 $7.38 $649.45
Disclosure

SEC source: 0001209191-19-055216 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,538

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 15, 2019 Filed Oct 17, 2019 17:01 UTC
O'Dowd HughDirector
GrantStock Option (Right to Buy) · Derivative 85,201 $0.00 Strike: $6.79 $0.00
Disclosure

SEC source: 0001209191-19-053442 · doc4.xml · derivative · entry 1

O'Dowd Hugh · CIK 0001741171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,201

Underlying: Common Stock · 85,201 shares

Expires 2029-10-14

F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is October 15, 2019. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document
October 02, 2019 Filed Oct 3, 2019 20:35 UTC SaleCOMMON STOCK 91 $10.05 $914.55
Disclosure

SEC source: 0001209191-19-052231 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,626

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, 2019 Filed Oct 3, 2019 20:32 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 504 $9.97 $5,027.15
Disclosure

SEC source: 0001209191-19-052215 · 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: 4,187,980

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 12, 2019 Filed Sep 25, 2019 20:32 UTC
HUNT DOUGLAS MSee Remarks
SaleCommon Stock 1,711 $11.42 $19,539.62
Disclosure

SEC source: 0001209191-19-050709 · doc4.xml · nonDerivative · entry 2

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,689

F2 · 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 10, 2019 Filed Sep 25, 2019 20:32 UTC
HUNT DOUGLAS MSee Remarks
GrantCommon Stock 4,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-050709 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,400

F1 · shares: Shares issued pursuant to performance based vesting of restricted stock units.

Read SEC document
September 04, 2019 Filed Sep 5, 2019 20:51 UTC SaleCOMMON STOCK 95 $10.11 $960.45
Disclosure

SEC source: 0001209191-19-048558 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,717

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 04, 2019 Filed Sep 6, 2019 20:38 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 524 $10.14 $5,313.36
Disclosure

SEC source: 0001209191-19-048772 · 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: 4,188,484

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, 2019 Filed Aug 5, 2019 22:24 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 1 $9.01 $9.01
Disclosure

SEC source: 0001209191-19-044685 · 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: 4,189,008

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, 2019 Filed Aug 5, 2019 22:24 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 516 $9.03 $4,659.48
Disclosure

SEC source: 0001209191-19-044685 · 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: 4,189,009

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, 2019 Filed Aug 5, 2019 22:20 UTC SaleCOMMON STOCK 94 $9.00 $846.00
Disclosure

SEC source: 0001209191-19-044681 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,812

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 22, 2019 Filed Jul 24, 2019 20:38 UTC
Lo StevenChief Commercial Officer
SaleCOMMON STOCK 1,852 $10.04 $18,599.64
Disclosure

SEC source: 0001209191-19-043050 · doc4.xml · nonDerivative · entry 1

Lo Steven · CIK 0001501959 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,557

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 22, 2016 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 $10.04 to $10.07, 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 22, 2019 Filed Jul 24, 2019 20:36 UTC SaleCOMMON STOCK 1,841 $10.10 $18,588.76
Disclosure

SEC source: 0001209191-19-043049 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,906

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 19, 2016 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 $10.06 to $10.10, 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 22, 2019 Filed Jul 24, 2019 20:33 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 12,715 $9.98 $126,846.11
Disclosure

SEC source: 0001209191-19-043048 · 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: 4,189,525

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 16, 2016 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 $9.94 to $10.08, 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, 2019 Filed Jul 3, 2019 22:28 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 495 $12.78 $6,326.10
Disclosure

SEC source: 0001209191-19-041275 · 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: 4,202,240

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, 2019 Filed Jul 3, 2019 22:05 UTC SaleCOMMON STOCK 89 $12.78 $1,137.42
Disclosure

SEC source: 0001209191-19-041266 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,747

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 10, 2019 Filed Jun 13, 2019 01:02 UTC
ZAVRL FRANKDirector
GrantCOMMON STOCK 19,423 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-036581 · doc4.xml · nonDerivative · entry 1

ZAVRL FRANK · CIK 0001652169 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,245

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 10, 2019 Filed Jun 13, 2019 00:52 UTC GrantCOMMON STOCK 19,423 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-036578 · doc4.xml · nonDerivative · entry 1

WILSON TROY EDWARD · CIK 0001589597 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,595

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 10, 2019 Filed Jun 13, 2019 00:49 UTC GrantCOMMON STOCK 19,423 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-036576 · doc4.xml · nonDerivative · entry 1

Senderowicz Adrian · CIK 0001616230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,245

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 10, 2019 Filed Jun 13, 2019 00:42 UTC
MOYES JAY MDirector
GrantCOMMON STOCK 19,423 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-036574 · doc4.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,245

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 10, 2019 Filed Jun 13, 2019 00:37 UTC GrantCOMMON STOCK 19,423 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-036572 · doc4.xml · nonDerivative · entry 1

MILLER MICHAEL PATRICK · CIK 0001236514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,905

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 03, 2019 Filed Jun 6, 2019 00:04 UTC SaleCOMMON STOCK 88 $15.07 $1,326.16
Disclosure

SEC source: 0001209191-19-034961 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,836

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.