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PED

PEDEVCO CORP

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Tapewire entity
6361
SEC CIK
0001141197
Parsed reports
269

Last 12 months

Inside the activity.

3 purchase rows · 8 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202504
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202620
Jun 202601
Jul 202600
Aug 202603
Sep 202600
Oct 202610

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 25, 2024 Filed Jan 29, 2024 21:31 UTC
PINKSTON PAUL ANTHONYCAO and PFO and AO
SaleCommon Stock 35,000 $0.64 $22,291.50
Disclosure

SEC source: 0001654954-24-000991 · section16.xml · nonDerivative · entry 1

PINKSTON PAUL ANTHONY · CIK 0001683306 · CAO and PFO and AO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 499,700

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 25, 2024 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.611 to $0.6611, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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January 25, 2024 Filed Jan 29, 2024 21:31 UTC
Clark MooreExecutive VP
SaleCommon stock 50,000 $0.64 $31,860.00
Disclosure

SEC source: 0001654954-24-000993 · section16.xml · nonDerivative · entry 1

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 455,334

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 25, 2024 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.612 to $0.661, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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January 25, 2024 Filed Jan 29, 2024 21:31 UTC SaleCommon Stock 50,000 $0.64 $31,870.00
Disclosure

SEC source: 0001654954-24-000992 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 730,467

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 25, 2024 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.611 to $0.661, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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January 23, 2024 Filed Jan 23, 2024 23:21 UTC
PINKSTON PAUL ANTHONYCAO and PFO and AO
SaleCommon Stock 23,000 $0.64 $14,630.30
Disclosure

SEC source: 0001654954-24-000844 · section16.xml · nonDerivative · entry 2

PINKSTON PAUL ANTHONY · CIK 0001683306 · CAO and PFO and AO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 534,700

F3 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 23, 2024 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F4 · price: This transaction was executed in multiple trades at prices ranging from $0.6293 to $0.65, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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January 23, 2024 Filed Jan 23, 2024 23:21 UTC SaleCommon Stock 58,333 $0.64 $37,105.62
Disclosure

SEC source: 0001654954-24-000843 · section16.xml · nonDerivative · entry 2

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 780,467

F3 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 23, 2024 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F4 · price: This transaction was executed in multiple trades at prices ranging from $0.6293 to $0.65, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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January 23, 2024 Filed Jan 23, 2024 23:21 UTC
Clark MooreExecutive VP
SaleCommon stock 50,000 $0.64 $31,795.00
Disclosure

SEC source: 0001654954-24-000842 · section16.xml · nonDerivative · entry 2

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 505,334

F3 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 23, 2024 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F4 · price: This transaction was executed in multiple trades at prices ranging from $0.6293 to $0.65, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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January 19, 2024 Filed Jan 23, 2024 23:21 UTC
PINKSTON PAUL ANTHONYCAO and PFO and AO
SaleCommon Stock 16,300 $0.66 $10,699.32
Disclosure

SEC source: 0001654954-24-000844 · section16.xml · nonDerivative · entry 1

PINKSTON PAUL ANTHONY · CIK 0001683306 · CAO and PFO and AO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 557,700

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 19, 2024 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.6363 to $0.6807, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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January 19, 2024 Filed Jan 23, 2024 23:21 UTC SaleCommon Stock 41,667 $0.66 $27,350.22
Disclosure

SEC source: 0001654954-24-000843 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 838,800

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 19, 2024 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.6362 to $0.681, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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January 19, 2024 Filed Jan 23, 2024 23:21 UTC
Clark MooreExecutive VP
SaleCommon stock 45,000 $0.66 $29,569.50
Disclosure

SEC source: 0001654954-24-000842 · section16.xml · nonDerivative · entry 1

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 555,334

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 19, 2024 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.6402 to $0.69, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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August 31, 2023 Filed Sep 1, 2023 20:41 UTC GrantCommon Stock 85,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-011484 · section16.xml · nonDerivative · entry 1

Evans Harold Douglas · CIK 0001754173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 375,000

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares fully vest on September 27, 2024, subject to the Reporting Person being a member of the Issuer's Board of Directors on such vesting date, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered as a member of the Board of Directors of the Issuer.

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August 31, 2023 Filed Sep 1, 2023 20:41 UTC GrantCommon Stock 125,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-011483 · section16.xml · nonDerivative · entry 1

SCELFO JOHN J · CIK 0001286409 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 349,500

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares fully vest on July l2, 2024, subject to the Reporting Person being a member of the Issuer's Board of Directors on such vesting date, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered as a member of the Board of Directors of the Issuer.

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July 13, 2023 Filed Jul 14, 2023 23:41 UTC SaleCommon Stock 40,000 $0.92 $36,760.00
Disclosure

SEC source: 0001654954-23-009225 · section16.xml · nonDerivative · entry 1

SCELFO JOHN J · CIK 0001286409 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 224,500

F1 · shares: This transaction was executed in multiple trades at prices ranging from $0.91 to $0.9326, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan.

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July 12, 2023 Filed Jul 14, 2023 23:40 UTC
SIEM IVARDirector
SaleCommon Stock 30,000 $0.91 $27,300.00
Disclosure

SEC source: 0001654954-23-009224 · section16.xml · nonDerivative · entry 1

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 165,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.9268 to $0.9050, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan.

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June 15, 2023 Filed Jun 20, 2023 12:30 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SGK 2018 REVOCABLE TRUSTDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 130,453 $0.89 $116,585.85
Disclosure

SEC source: 0001654954-23-008166 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SGK 2018 REVOCABLE TRUST · CIK 0001946705 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,021,950

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.889 to $0.905, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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March 31, 2023 Filed Apr 3, 2023 11:00 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SGK 2018 REVOCABLE TRUSTDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 500,000 $1.04 $518,900.00
Disclosure

SEC source: 0001654954-23-004173 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SGK 2018 REVOCABLE TRUST · CIK 0001946705 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,891,497

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.032 to $1.051, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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March 31, 2023 Filed Apr 3, 2023 10:00 UTC
Clark MooreExecutive VP
SaleCommon Stock 174,666 $1.05 $183,399.30
Disclosure

SEC source: 0001654954-23-004164 · section16.xml · nonDerivative · entry 1

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 600,334

Read SEC document
March 30, 2023 Filed Mar 30, 2023 22:46 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SGK 2018 REVOCABLE TRUSTDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 263,931 $0.94 $247,092.20
Disclosure

SEC source: 0001654954-23-003950 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SGK 2018 REVOCABLE TRUST · CIK 0001946705 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,391,497

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.891 to $0.963, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
January 25, 2023 Filed Jan 27, 2023 21:31 UTC
PINKSTON PAUL ANTHONYCAO and PFO and AO
SaleCommon Stock 20,000 $1.06 $21,266.00
Disclosure

SEC source: 0001654954-23-000937 · section16.xml · nonDerivative · entry 1

PINKSTON PAUL ANTHONY · CIK 0001683306 · CAO and PFO and AO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 574,000

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 25, 2023 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.05 to $1.0875, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
January 25, 2023 Filed Jan 27, 2023 21:31 UTC SaleCommon Stock 40,000 $1.06 $42,540.00
Disclosure

SEC source: 0001654954-23-000936 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 880,467

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 25, 2023 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.05 to $1.0875, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
January 25, 2023 Filed Jan 27, 2023 21:31 UTC
Clark MooreExecutive VP
SaleCommon stock 50,000 $1.06 $53,170.00
Disclosure

SEC source: 0001654954-23-000935 · section16.xml · nonDerivative · entry 1

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 775,000

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 25, 2023 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.05 to $1.0875, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
January 23, 2023 Filed Jan 23, 2023 22:33 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SGK 2018 REVOCABLE TRUSTDirector · Chief Executive Officer · 10% owner
GrantCommon Stock 400,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-000706 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SGK 2018 REVOCABLE TRUST · CIK 0001946705 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,127,566

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of January 23, 2023 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3.

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the Chief Executive Officer of the Issuer.

Read SEC document
January 23, 2023 Filed Jan 23, 2023 22:32 UTC
PINKSTON PAUL ANTHONYCAO and PFO and AO
GrantCommon Stock 200,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-000705 · section16.xml · nonDerivative · entry 2

PINKSTON PAUL ANTHONY · CIK 0001683306 · CAO and PFO and AO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 594,000

F3 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of January 23, 2023 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3.

F4 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the Chief Accounting Officer of the Issuer.

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January 23, 2023 Filed Jan 23, 2023 22:31 UTC GrantCommon Stock 350,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-000704 · section16.xml · nonDerivative · entry 2

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 920,467

F3 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of January 23, 2023 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3.

F4 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the President of the Issuer.

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January 23, 2023 Filed Jan 23, 2023 22:29 UTC
Clark MooreExecutive VP
GrantCommon Stock 300,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-000703 · section16.xml · nonDerivative · entry 2

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 825,000

F3 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of January 23, 2023 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3.

F4 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the Executive Vice President, General Counsel and Secretary of the Issuer.

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January 19, 2023 Filed Jan 23, 2023 22:32 UTC
PINKSTON PAUL ANTHONYCAO and PFO and AO
SaleCommon Stock 14,000 $1.07 $14,984.20
Disclosure

SEC source: 0001654954-23-000705 · section16.xml · nonDerivative · entry 1

PINKSTON PAUL ANTHONY · CIK 0001683306 · CAO and PFO and AO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394,000

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 19, 2023 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.06 to $1.09, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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January 19, 2023 Filed Jan 23, 2023 22:31 UTC SaleCommon Stock 33,333 $1.07 $35,672.98
Disclosure

SEC source: 0001654954-23-000704 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 570,467

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 19, 2023 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.06 to $1.09, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
January 19, 2023 Filed Jan 23, 2023 22:29 UTC
Clark MooreExecutive VP
SaleCommon Stock 45,000 $1.07 $48,168.00
Disclosure

SEC source: 0001654954-23-000703 · section16.xml · nonDerivative · entry 1

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 525,000

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 19, 2023 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.06 to $1.09, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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January 13, 2023 Filed Jan 14, 2023 00:08 UTC
Clark MooreExecutive VP
SaleCommon stock 30,000 $1.10 $32,949.00
Disclosure

SEC source: 0001654954-23-000438 · section16.xml · nonDerivative · entry 1

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 570,000

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 13, 2023 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.09 to $1.12, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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January 13, 2023 Filed Jan 14, 2023 00:08 UTC SaleCommon Stock 21,600 $1.10 $23,712.48
Disclosure

SEC source: 0001654954-23-000437 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 603,800

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 13, 2023 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.09 to $1.12, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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January 13, 2023 Filed Jan 14, 2023 00:08 UTC
PINKSTON PAUL ANTHONYCAO and PFO and AO
SaleCommon Stock 9,000 $1.10 $9,881.10
Disclosure

SEC source: 0001654954-23-000436 · section16.xml · nonDerivative · entry 1

PINKSTON PAUL ANTHONY · CIK 0001683306 · CAO and PFO and AO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,000

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 13, 2023 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.09 to $1.12, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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December 20, 2022 Filed Dec 21, 2022 21:15 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SGK 2018 REVOCABLE TRUSTDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 122,580 $1.11 $136,308.96
Disclosure

SEC source: 0001654954-22-016810 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SGK 2018 REVOCABLE TRUST · CIK 0001946705 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,727,566

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.095 to $1.119, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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December 19, 2022 Filed Dec 20, 2022 21:16 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SGK 2018 REVOCABLE TRUSTDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 200,000 $1.08 $215,600.00
Disclosure

SEC source: 0001654954-22-016737 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SGK 2018 REVOCABLE TRUST · CIK 0001946705 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,604,986

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.069 to $1.087, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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December 12, 2022 Filed Dec 12, 2022 21:31 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SGK 2018 REVOCABLE TRUSTDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 200,000 $1.08 $216,980.00
Disclosure

SEC source: 0001654954-22-016365 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SGK 2018 REVOCABLE TRUST · CIK 0001946705 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,404,986

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.08 to $1.089, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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December 07, 2022 Filed Dec 7, 2022 21:31 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 100,000 $1.10 $110,030.00
Disclosure

SEC source: 0001654954-22-016208 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SGK 2018 REVOCABLE TRUST · CIK 0001946705 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,204,986

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.095 to $1.109, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
December 06, 2022 Filed Dec 6, 2022 22:44 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 76,746 $1.10 $84,044.54
Disclosure

SEC source: 0001654954-22-016182 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SGK 2018 REVOCABLE TRUST · CIK 0001946705 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,104,986

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.089 to $1.10, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
October 03, 2022 Filed Oct 5, 2022 13:00 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SK Energy LLC10% owner
GiftCommon Stock 51,791,325 $0.00 $0.00
Disclosure

SEC source: 0001654954-22-013368 · section16.xml · nonDerivative · entry 2

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SK Energy LLC · CIK 0001745851 · 10% owner

SGK 2018 REVOCABLE TRUST · CIK 0001946705 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through The SGK 2018 Revocable Trust

Disclosed balance after: 51,791,325

F1 · shares: On October 3, 2022, SK Energy LLC ("SK Energy") transferred all 51,791,325 shares of common stock of the Issuer which it held to The SGK 2018 Revocable Trust ("SGK Trust") for no consideration. SK Energy is beneficially owned by Dr. Simon G. Kukes and SGK Trust is a family trust of which Dr. Simon G. Kukes is the trustee and beneficiary, and as such, the beneficial owner of the shares held by SGK Trust, and there was no change in beneficial ownership of the transferred shares in connection with the transfer.

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October 03, 2022 Filed Oct 5, 2022 13:00 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SK Energy LLC10% owner
GiftCommon Stock 51,791,325 $0.00 $0.00
Disclosure

SEC source: 0001654954-22-013368 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SK Energy LLC · CIK 0001745851 · 10% owner

SGK 2018 REVOCABLE TRUST · CIK 0001946705 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: 0

F1 · shares: On October 3, 2022, SK Energy LLC ("SK Energy") transferred all 51,791,325 shares of common stock of the Issuer which it held to The SGK 2018 Revocable Trust ("SGK Trust") for no consideration. SK Energy is beneficially owned by Dr. Simon G. Kukes and SGK Trust is a family trust of which Dr. Simon G. Kukes is the trustee and beneficiary, and as such, the beneficial owner of the shares held by SGK Trust, and there was no change in beneficial ownership of the transferred shares in connection with the transfer.

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September 30, 2022 Filed Oct 4, 2022 12:01 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SK Energy LLC10% owner
PurchaseCommon stock 100,000 $1.05 $104,970.00
Disclosure

SEC source: 0001654954-22-013294 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SK Energy LLC · CIK 0001745851 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,028,240

Read SEC document
September 29, 2022 Filed Oct 3, 2022 10:03 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SK Energy LLC10% owner
PurchaseCommon Stock 100,000 $1.06 $105,800.00
Disclosure

SEC source: 0001654954-22-013161 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SK Energy LLC · CIK 0001745851 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,928,240

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.057 to $1.0588, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
September 28, 2022 Filed Sep 29, 2022 13:08 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SK Energy LLC10% owner
PurchaseCommon stock 38,742 $1.06 $41,066.52
Disclosure

SEC source: 0001654954-22-013075 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SK Energy LLC · CIK 0001745851 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,828,240

Read SEC document
September 27, 2022 Filed Sep 28, 2022 10:07 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SK Energy LLC10% owner
PurchaseCommon Stock 107,099 $1.03 $110,022.80
Disclosure

SEC source: 0001654954-22-013014 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SK Energy LLC · CIK 0001745851 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,789,498

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.027 to $1.028, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
September 26, 2022 Filed Sep 27, 2022 10:16 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SK Energy LLC10% owner
PurchaseCommon stock 187,648 $0.98 $184,270.34
Disclosure

SEC source: 0001654954-22-012968 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SK Energy LLC · CIK 0001745851 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,681,799

Read SEC document
September 20, 2022 Filed Sep 21, 2022 00:43 UTC Amendment
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SK Energy LLC10% owner
PurchaseCommon stock 51,903 $1.02 $52,992.96
Disclosure

SEC source: 0001654954-22-012756 · section16.xml · nonDerivative · entry 2

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SK Energy LLC · CIK 0001745851 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,494,151

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.018 to $1.029, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
September 20, 2022 Filed Sep 20, 2022 22:06 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SK Energy LLC10% owner
PurchaseCommon stock 51,903 $1.02 $52,992.96
Disclosure

SEC source: 0001654954-22-012746 · section16.xml · nonDerivative · entry 2

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SK Energy LLC · CIK 0001745851 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,494,151

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.018 to $1.029, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
September 19, 2022 Filed Sep 21, 2022 00:43 UTC Amendment
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SK Energy LLC10% owner
PurchaseCommon Stock 150,716 $1.04 $156,744.64
Disclosure

SEC source: 0001654954-22-012756 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SK Energy LLC · CIK 0001745851 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,442,848

Read SEC document
September 19, 2022 Filed Sep 20, 2022 22:06 UTC
KUKES SIMON GDirector · Chief Executive Officer · 10% owner
SK Energy LLC10% owner
PurchaseCommon Stock 150,716 $1.40 $211,002.40
Disclosure

SEC source: 0001654954-22-012746 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

SK Energy LLC · CIK 0001745851 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,442,848

Read SEC document
August 25, 2022 Filed Aug 26, 2022 20:32 UTC GrantCommon Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-22-011882 · section16.xml · nonDerivative · entry 1

SCELFO JOHN J · CIK 0001286409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,500

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares fully vest on July l2, 2023, subject to the Reporting Person being a member of the Issuer's Board of Directors on such vesting date, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered as a member of the Board of Directors of the Issuer.

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August 25, 2022 Filed Aug 26, 2022 20:32 UTC
SIEM IVARDirector
GrantCommon Stock 70,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-22-011883 · section16.xml · nonDerivative · entry 1

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,000

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares fully vest on July 12, 2023, subject to the Reporting Person being a member of the Issuer's Board of Directors on such vesting date, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered as a member of the Board of Directors of the Issuer.

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August 25, 2022 Filed Aug 26, 2022 20:32 UTC GrantCommon Stock 70,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-22-011881 · section16.xml · nonDerivative · entry 1

Evans Harold Douglas · CIK 0001754173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,000

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares fully vest on September 27, 2023, subject to the Reporting Person being a member of the Issuer's Board of Directors on such vesting date, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered as a member of the Board of Directors of the Issuer.

Read SEC document
July 12, 2022 Filed Jul 13, 2022 20:30 UTC
SIEM IVARDirector
SaleCommon Stock 30,000 $1.09 $32,700.00
Disclosure

SEC source: 0001654954-22-009630 · section16.xml · nonDerivative · entry 1

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

F1 · shares: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the July 12, 2022 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.08 to $1.12, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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.