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Nasdaq · USD

PPIH

Perma-Pipe International Holdings, Inc.

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6233
SEC CIK
0000914122
Parsed reports
157

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 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
June 14, 2018 Filed Jun 18, 2018 20:23 UTC GrantDeferred Stock Units · Derivative 6,129 $0.00 $0.00
Disclosure

SEC source: 0000914122-18-000046 · wf-form4_152935340889384.xml · derivative · entry 1

Barrie David S · CIK 0001561676 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,272

Underlying: Deferred Stock Units · 6,129 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.exercise_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.expiration_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

Read SEC document
June 14, 2018 Filed Jun 18, 2018 20:22 UTC
Mansfield David JDirector · President and CEO
GrantRestricted Shares · Derivative 53,396 $0.00 $0.00
Disclosure

SEC source: 0000914122-18-000044 · wf-form4_152935331417820.xml · derivative · entry 2

Mansfield David J · CIK 0001689708 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,146

Underlying: Restricted Shares · 53,396 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (which has voting rights) represents the contingent right to receive one share of common stock upon vesting of the unit

F2 · derivative.exercise_date: Vesting schedule: 1/3 of the grant will vest at each anniversary of the grant date, over the next three years

F2 · derivative.expiration_date: Vesting schedule: 1/3 of the grant will vest at each anniversary of the grant date, over the next three years

Read SEC document
June 14, 2018 Filed Jun 18, 2018 20:20 UTC GrantDeferred Stock Units · Derivative 5,107 $0.00 $0.00
Disclosure

SEC source: 0000914122-18-000042 · wf-form4_152935320517283.xml · derivative · entry 1

Brown David B · CIK 0001507086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,003

Underlying: Deferred Stock Units · 5,107 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.exercise_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.expiration_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

Read SEC document
June 14, 2018 Filed Jun 18, 2018 20:18 UTC
Zorko Mark ADirector
GrantDeferred Stock Units · Derivative 5,107 $0.00 $0.00
Disclosure

SEC source: 0000914122-18-000040 · wf-form4_152935310480662.xml · derivative · entry 1

Zorko Mark A · CIK 0001346585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 5,107 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.exercise_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.expiration_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

Read SEC document
June 14, 2018 Filed Jun 18, 2018 20:16 UTC GrantDeferred Stock Units · Derivative 5,107 $0.00 $0.00
Disclosure

SEC source: 0000914122-18-000038 · wf-form4_152935295026891.xml · derivative · entry 1

Walker Jerome T. · CIK 0001453436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,420

Underlying: Deferred Stock Units · 5,107 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.exercise_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.expiration_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

Read SEC document
June 14, 2018 Filed Jun 18, 2018 20:14 UTC
SCHMIDT KARL JVP and CFO
GrantRestricted Shares · Derivative 26,705 $0.00 $0.00
Disclosure

SEC source: 0000914122-18-000036 · wf-form4_152935285787526.xml · derivative · entry 2

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,647

Underlying: Restricted Shares · 26,705 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (which has voting rights) represents the contingent right to receive one share of common stock upon vesting of the unit

F2 · derivative.exercise_date: Vesting schedule: 1/3 of the grant will vest at each anniversary of the grant date, over the next three years

F2 · derivative.expiration_date: Vesting schedule: 1/3 of the grant will vest at each anniversary of the grant date, over the next three years

Read SEC document
June 14, 2018 Filed Jun 18, 2018 20:13 UTC
Bosch WayneVP and Chief HR Officer
GrantRestricted Shares · Derivative 7,716 $0.00 $0.00
Disclosure

SEC source: 0000914122-18-000034 · wf-form4_152935276328255.xml · derivative · entry 2

Bosch Wayne · CIK 0001593388 · VP and Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,345

Underlying: Restricted Shares · 7,716 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (which has voting rights) represents the contingent right to receive one share of common stock upon vesting of the unit

F2 · derivative.exercise_date: Vesting schedule: 1/3 of the grant will vest at each anniversary of the grant date, over the next three years

F2 · derivative.expiration_date: Vesting schedule: 1/3 of the grant will vest at each anniversary of the grant date, over the next three years

Read SEC document
November 08, 2017 Filed Nov 13, 2017 22:29 UTC
Mansfield David JDirector · President and CEO
Exercise / conversionRestricted stock · Derivative 9,138 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000038 · primary_doc.xml · derivative · entry 3

Mansfield David J · CIK 0001689708 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,750

Underlying: Common stock · 9,138 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock

F4 · price: The restricted stock reported as disposed herein were settled for shares of the issuer's stock

F2 · derivative.expiration_date: restricted stock vested 11/8/2017

Read SEC document
November 08, 2017 Filed Nov 13, 2017 22:29 UTC
Mansfield David JDirector · President and CEO
Tax withholdingRestricted stock · Derivative 3,440 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000038 · primary_doc.xml · derivative · entry 2

Mansfield David J · CIK 0001689708 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,888

Underlying: Common stock · 3,440 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock

F3 · price: The shares of common stock underlying the restricted stock reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of restricted stock

F2 · derivative.expiration_date: restricted stock vested 11/8/2017

Read SEC document
November 08, 2017 Filed Nov 13, 2017 22:29 UTC
Mansfield David JDirector · President and CEO
Exercise / conversionCommon stock 9,138 $8.35 $76,302.30
Disclosure

SEC source: 0000914122-17-000038 · primary_doc.xml · nonDerivative · entry 1

Mansfield David J · CIK 0001689708 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,138

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

Read SEC document
June 22, 2017 Filed Jun 26, 2017 21:35 UTC
Bosch WayneVP & Chief HR Officer
GrantRestricted stock · Derivative 8,875 $0.00 $0.00
Disclosure

SEC source: 0000914122-17-000032 · primary_doc.xml · derivative · entry 1

Bosch Wayne · CIK 0001593388 · VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,629

Underlying: Common stock · 8,875 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (which has voting rights) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: Vests 33% 6/22/2018, 33% 6/22/2019 and remaining 6/22/2020

F2 · derivative.expiration_date: Vests 33% 6/22/2018, 33% 6/22/2019 and remaining 6/22/2020

Read SEC document
June 22, 2017 Filed Jun 26, 2017 21:21 UTC
Mansfield David JDirector · President and CEO
GrantRestricted stock · Derivative 63,750 $0.00 $0.00
Disclosure

SEC source: 0000914122-17-000030 · primary_doc.xml · derivative · entry 1

Mansfield David J · CIK 0001689708 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,328

Underlying: Common stock · 63,750 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (which has voting rights) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: Vests 33% 6/22/2018, 33% 6/22/2019 and remaining 6/22/2020

F2 · derivative.expiration_date: Vests 33% 6/22/2018, 33% 6/22/2019 and remaining 6/22/2020

Read SEC document
June 22, 2017 Filed Jun 26, 2017 21:27 UTC
SCHMIDT KARL JVP and CFO
GrantRestricted stock · Derivative 32,925 $0.00 $0.00
Disclosure

SEC source: 0000914122-17-000031 · primary_doc.xml · derivative · entry 1

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,942

Underlying: Common stock · 32,925 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (which has voting rights) represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: Vests 33% 6/22/2018, 33% 6/22/2019 and remaining 6/22/2020

F2 · derivative.expiration_date: Vests 33% 6/22/2018, 33% 6/22/2019 and remaining 6/22/2020

Read SEC document
June 22, 2017 Filed Jun 26, 2017 20:42 UTC
Zorko Mark ADirector
GrantDeferred Stock Units · Derivative 5,000 $0.00 Strike: $8.00 $0.00
Disclosure

SEC source: 0000914122-17-000029 · primary_doc.xml · derivative · entry 1

Barrie David S · CIK 0001561676 · Director

Brown David B · CIK 0001507086 · Director

MAUTNER BRADLEY E · CIK 0001244981 · Director

Walker Jerome T. · CIK 0001453436 · Director

Zorko Mark A · CIK 0001346585 · Director

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Deferred Share Units are payable to the reporting person in Common Stock on a one-for-one basis, upon separation of service as a member of the Board

F1 · derivative.expiration_date: Deferred Share Units are payable to the reporting person in Common Stock on a one-for-one basis, upon separation of service as a member of the Board

F2 · balance_after: David S. Barrie 22,143 David B. Brown 16,896 Bradley E. Mautner 9,575 Jerome T. Walker 19,313 Mark A. Zorko 22,143

Read SEC document
June 22, 2017 Filed Jun 18, 2018 20:06 UTC Amendment
Zorko Mark ADirector
GrantDeferred Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0000914122-18-000032 · wf-form4a_152935236929193.xml · derivative · entry 1

Zorko Mark A · CIK 0001346585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,143

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.exercise_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.expiration_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

Read SEC document
June 22, 2017 Filed Jun 18, 2018 20:03 UTC Amendment GrantDeferred Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0000914122-18-000030 · wf-form4a_152935221330687.xml · derivative · entry 1

Brown David B · CIK 0001507086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,896

Underlying: Deferred Stock Units · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.exercise_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.expiration_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

Read SEC document
June 22, 2017 Filed Jun 18, 2018 20:01 UTC Amendment GrantDeferred Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0000914122-18-000028 · wf-form4a_152935204773654.xml · derivative · entry 1

Barrie David S · CIK 0001561676 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,143

Underlying: Deferred Stock Units · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.exercise_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.expiration_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

Read SEC document
June 22, 2017 Filed Jun 18, 2018 19:59 UTC Amendment GrantDeferred Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0000914122-18-000026 · wf-form4a_152935192738808.xml · derivative · entry 1

Walker Jerome T. · CIK 0001453436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,313

Underlying: Deferred Stock Units · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.exercise_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

F1 · derivative.expiration_date: Deferred Stock Units are payable to the reporting person in Common Stock, on a one-to-one basis, upon separation of service as a member of the board.

Read SEC document
June 19, 2017 Filed Jun 20, 2017 20:33 UTC Amendment
SCHMIDT KARL JVP and CFO
Exercise / conversionRestricted stock · Derivative 9,276 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000026 · primary_doc.xml · derivative · entry 6

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,017

Underlying: Common stock · 9,276 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock.

F5 · price: The restricted stock reported as disposed herein were settled for shares of the issuer's stock.

F3 · derivative.exercise_date: restricted stock vested 6/19/2017

F3 · derivative.expiration_date: restricted stock vested 6/19/2017

Read SEC document
June 19, 2017 Filed Jun 20, 2017 20:33 UTC Amendment
SCHMIDT KARL JVP and CFO
Tax withholdingRestricted stock · Derivative 6,471 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000026 · primary_doc.xml · derivative · entry 5

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,293

Underlying: Common stock · 6,471 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock.

F4 · price: The shares of common stock underlying the restricted stock reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of restricted stock

F3 · derivative.exercise_date: restricted stock vested 6/19/2017

F3 · derivative.expiration_date: restricted stock vested 6/19/2017

Read SEC document
June 19, 2017 Filed Jun 20, 2017 20:33 UTC Amendment
SCHMIDT KARL JVP and CFO
Exercise / conversionCommon stock 9,276 $7.90 $73,280.40
Disclosure

SEC source: 0000914122-17-000026 · primary_doc.xml · nonDerivative · entry 2

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,364

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

Read SEC document
June 19, 2017 Filed Jun 20, 2017 19:03 UTC
Bosch WayneVP & Chief HR Officer
Exercise / conversionRestricted stock · Derivative 2,722 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000025 · primary_doc.xml · derivative · entry 6

Bosch Wayne · CIK 0001593388 · VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,754

Underlying: Common stock · 2,722 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock

F5 · price: The restricted stock reported as disposed herein were settled for shares of the issuer's stock.

F3 · derivative.exercise_date: restricted stock vested 6/19/2017

F3 · derivative.expiration_date: restricted stock vested 6/19/2017

Read SEC document
June 19, 2017 Filed Jun 20, 2017 19:03 UTC
Bosch WayneVP & Chief HR Officer
Tax withholdingRestricted stock · Derivative 1,476 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000025 · primary_doc.xml · derivative · entry 5

Bosch Wayne · CIK 0001593388 · VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,476

Underlying: Common stock · 1,476 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock

F4 · price: The shares of common stock underlying the restricted stock reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of restricted stock

F3 · derivative.exercise_date: restricted stock vested 6/19/2017

F3 · derivative.expiration_date: restricted stock vested 6/19/2017

Read SEC document
June 19, 2017 Filed Jun 20, 2017 19:03 UTC
Bosch WayneVP & Chief HR Officer
Exercise / conversionCommon stock 2,722 $7.90 $21,503.80
Disclosure

SEC source: 0000914122-17-000025 · primary_doc.xml · nonDerivative · entry 2

Bosch Wayne · CIK 0001593388 · VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,143

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

Read SEC document
June 19, 2017 Filed Jun 20, 2017 18:12 UTC Exercise / conversionRestricted stock · Derivative 16,772 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000024 · primary_doc.xml · derivative · entry 6

MAUTNER BRADLEY E · CIK 0001244981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,215

Underlying: Common stock · 16,772 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock

F5 · price: The restricted stock reported as disposed herein were settled for shares of the issuer's stock

F3 · derivative.exercise_date: restricted stock vested 6/19/2017

F3 · derivative.expiration_date: restricted stock vested 6/19/2017

Read SEC document
June 19, 2017 Filed Jun 20, 2017 18:12 UTC Tax withholdingRestricted stock · Derivative 9,474 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000024 · primary_doc.xml · derivative · entry 5

MAUTNER BRADLEY E · CIK 0001244981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,987

Underlying: Common stock · 9,474 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock

F4 · price: The shares of common stock underlying the restricted stock reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of restricted stock

F3 · derivative.exercise_date: restricted stock vested 6/19/2017

F3 · derivative.expiration_date: restricted stock vested 6/19/2017

Read SEC document
June 19, 2017 Filed Jun 20, 2017 18:12 UTC Exercise / conversionCommon stock 16,772 $7.90 $132,498.80
Disclosure

SEC source: 0000914122-17-000024 · primary_doc.xml · nonDerivative · entry 2

MAUTNER BRADLEY E · CIK 0001244981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 399,997

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

Read SEC document
June 19, 2017 Filed Jun 20, 2017 17:56 UTC
SCHMIDT KARL JVP and CFO
Exercise / conversionRestricted stock · Derivative 10,064 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000023 · primary_doc.xml · derivative · entry 6

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,017

Underlying: Common stock · 10,064 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock.

F5 · price: The restricted stock reported as disposed herein were settled for shares of the issuer's stock.

F3 · derivative.exercise_date: restricted stock vested 6/19/2017

F3 · derivative.expiration_date: restricted stock vested 6/19/2017

Read SEC document
June 19, 2017 Filed Jun 20, 2017 17:56 UTC
SCHMIDT KARL JVP and CFO
Tax withholdingRestricted stock · Derivative 5,683 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000023 · primary_doc.xml · derivative · entry 5

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,081

Underlying: Common stock · 5,683 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock.

F4 · price: The shares of common stock underlying the restricted stock reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of restricted stock

F3 · derivative.exercise_date: restricted stock vested 6/19/2017

F3 · derivative.expiration_date: restricted stock vested 6/19/2017

Read SEC document
June 19, 2017 Filed Jun 20, 2017 17:56 UTC
SCHMIDT KARL JVP and CFO
Exercise / conversionCommon stock 10,064 $7.90 $79,505.60
Disclosure

SEC source: 0000914122-17-000023 · primary_doc.xml · nonDerivative · entry 2

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,750

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

Read SEC document
June 14, 2017 Filed Jun 20, 2017 20:33 UTC Amendment
SCHMIDT KARL JVP and CFO
Exercise / conversionRestricted stock · Derivative 7,056 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000026 · primary_doc.xml · derivative · entry 4

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,764

Underlying: Common stock · 7,056 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock.

F5 · price: The restricted stock reported as disposed herein were settled for shares of the issuer's stock.

F2 · derivative.exercise_date: restricted stock vested 6/14/2017

F2 · derivative.expiration_date: restricted stock vested 6/14/2017

Read SEC document
June 14, 2017 Filed Jun 20, 2017 20:33 UTC Amendment
SCHMIDT KARL JVP and CFO
Tax withholdingRestricted stock · Derivative 4,922 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000026 · primary_doc.xml · derivative · entry 3

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,820

Underlying: Common stock · 4,922 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock.

F4 · price: The shares of common stock underlying the restricted stock reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of restricted stock

F2 · derivative.exercise_date: restricted stock vested 6/14/2017

F2 · derivative.expiration_date: restricted stock vested 6/14/2017

Read SEC document
June 14, 2017 Filed Jun 20, 2017 20:33 UTC Amendment
SCHMIDT KARL JVP and CFO
Exercise / conversionCommon stock 7,056 $8.00 $56,448.00
Disclosure

SEC source: 0000914122-17-000026 · primary_doc.xml · nonDerivative · entry 1

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,088

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

Read SEC document
June 14, 2017 Filed Jun 20, 2017 19:03 UTC
Bosch WayneVP & Chief HR Officer
Exercise / conversionRestricted stock · Derivative 2,092 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000025 · primary_doc.xml · derivative · entry 4

Bosch Wayne · CIK 0001593388 · VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,952

Underlying: Common stock · 2,092 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock

F5 · price: The restricted stock reported as disposed herein were settled for shares of the issuer's stock.

F2 · derivative.exercise_date: restricted stock vested 6/14/2017

F2 · derivative.expiration_date: restricted stock vested 6/14/2017

Read SEC document
June 14, 2017 Filed Jun 20, 2017 19:03 UTC
Bosch WayneVP & Chief HR Officer
Tax withholdingRestricted stock · Derivative 1,136 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000025 · primary_doc.xml · derivative · entry 3

Bosch Wayne · CIK 0001593388 · VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,044

Underlying: Common stock · 1,136 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock

F4 · price: The shares of common stock underlying the restricted stock reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of restricted stock

F2 · derivative.exercise_date: restricted stock vested 6/14/2017

F2 · derivative.expiration_date: restricted stock vested 6/14/2017

Read SEC document
June 14, 2017 Filed Jun 20, 2017 19:03 UTC
Bosch WayneVP & Chief HR Officer
Exercise / conversionCommon stock 2,092 $8.00 $16,736.00
Disclosure

SEC source: 0000914122-17-000025 · primary_doc.xml · nonDerivative · entry 1

Bosch Wayne · CIK 0001593388 · VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,421

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

Read SEC document
June 14, 2017 Filed Jun 20, 2017 18:12 UTC Exercise / conversionRestricted stock · Derivative 12,757 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000024 · primary_doc.xml · derivative · entry 4

MAUTNER BRADLEY E · CIK 0001244981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,461

Underlying: Common stock · 12,757 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock

F5 · price: The restricted stock reported as disposed herein were settled for shares of the issuer's stock

F2 · derivative.exercise_date: restricted stock vested 6/14/2017

F2 · derivative.expiration_date: restricted stock vested 6/14/2017

Read SEC document
June 14, 2017 Filed Jun 20, 2017 18:12 UTC Tax withholdingRestricted stock · Derivative 7,206 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000024 · primary_doc.xml · derivative · entry 3

MAUTNER BRADLEY E · CIK 0001244981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,218

Underlying: Common stock · 7,206 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock

F4 · price: The shares of common stock underlying the restricted stock reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of restricted stock

F2 · derivative.exercise_date: restricted stock vested 6/14/2017

F2 · derivative.expiration_date: restricted stock vested 6/14/2017

Read SEC document
June 14, 2017 Filed Jun 20, 2017 18:12 UTC Exercise / conversionCommon stock 12,757 $8.00 $102,056.00
Disclosure

SEC source: 0000914122-17-000024 · primary_doc.xml · nonDerivative · entry 1

MAUTNER BRADLEY E · CIK 0001244981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 383,225

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

Read SEC document
June 14, 2017 Filed Jun 20, 2017 17:56 UTC
SCHMIDT KARL JVP and CFO
Exercise / conversionRestricted stock · Derivative 7,654 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000023 · primary_doc.xml · derivative · entry 4

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,764

Underlying: Common stock · 7,654 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock.

F5 · price: The restricted stock reported as disposed herein were settled for shares of the issuer's stock.

F2 · derivative.exercise_date: restricted stock vested 6/14/2017

F2 · derivative.expiration_date: restricted stock vested 6/14/2017

Read SEC document
June 14, 2017 Filed Jun 20, 2017 17:56 UTC
SCHMIDT KARL JVP and CFO
Tax withholdingRestricted stock · Derivative 4,324 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000023 · primary_doc.xml · derivative · entry 3

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,418

Underlying: Common stock · 4,324 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock represents a contingent right to receive one share of the issuer's common stock.

F4 · price: The shares of common stock underlying the restricted stock reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of restricted stock

F2 · derivative.exercise_date: restricted stock vested 6/14/2017

F2 · derivative.expiration_date: restricted stock vested 6/14/2017

Read SEC document
June 14, 2017 Filed Jun 20, 2017 17:56 UTC
SCHMIDT KARL JVP and CFO
Exercise / conversionCommon stock 7,654 $8.00 $61,232.00
Disclosure

SEC source: 0000914122-17-000023 · primary_doc.xml · nonDerivative · entry 1

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,686

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

Read SEC document
February 01, 2017 Filed Feb 3, 2017 21:46 UTC GrantDeferred Stock Units · Derivative 4,575 $0.00 Strike: $8.74 $0.00
Disclosure

SEC source: 0000914122-17-000005 · primary_doc.xml · derivative · entry 4

MAUTNER BRADLEY E · CIK 0001244981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,575

Underlying: Common stock · 4,575 shares

Expires not disclosed

F5 · derivative.exercise_date: Deferred Share Units are payable to the reporting person in Common Stock on a one-for-one basis, upon separation of service as a member of the Board

F5 · derivative.expiration_date: Deferred Share Units are payable to the reporting person in Common Stock on a one-for-one basis, upon separation of service as a member of the Board

Read SEC document
January 31, 2017 Filed Feb 2, 2017 22:14 UTC
Bosch WayneVP & Chief HR Officer
Exercise / conversionRestricted stock unit · Derivative 1,328 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000002 · primary_doc.xml · derivative · entry 3

Bosch Wayne · CIK 0001593388 · VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 1,328 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock

F4 · price: The restricted stock unit reported as disposed herein were settled for shares of the issuer's stock

F2 · derivative.exercise_date: restricted stock unit vested 1/31/2017

F2 · derivative.expiration_date: restricted stock unit vested 1/31/2017

Read SEC document
January 31, 2017 Filed Feb 2, 2017 22:14 UTC
Bosch WayneVP & Chief HR Officer
Tax withholdingRestricted stock unit · Derivative 938 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000002 · primary_doc.xml · derivative · entry 2

Bosch Wayne · CIK 0001593388 · VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,328

Underlying: Common stock · 938 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock

F3 · price: The shares of common stock underlying the restricted stock reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of restricted stock unit

F2 · derivative.exercise_date: restricted stock unit vested 1/31/2017

F2 · derivative.expiration_date: restricted stock unit vested 1/31/2017

Read SEC document
January 31, 2017 Filed Feb 2, 2017 22:14 UTC
Bosch WayneVP & Chief HR Officer
Exercise / conversionCommon stock 1,328 $8.75 $11,620.00
Disclosure

SEC source: 0000914122-17-000002 · primary_doc.xml · nonDerivative · entry 1

Bosch Wayne · CIK 0001593388 · VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,886

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

Read SEC document
January 31, 2017 Filed Feb 2, 2017 22:03 UTC
SCHMIDT KARL JVP and CFO
Exercise / conversionRestricted stock unit · Derivative 5,230 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000001 · primary_doc.xml · derivative · entry 3

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 5,230 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock

F4 · price: The restricted stock reported as disposed herein were settled for shares of the issuer's stock

F2 · derivative.exercise_date: restricted stock unit vested 1/31/2017

F2 · derivative.expiration_date: restricted stock unit vested 1/31/2017

Read SEC document
January 31, 2017 Filed Feb 2, 2017 22:03 UTC
SCHMIDT KARL JVP and CFO
Tax withholdingRestricted stock unit · Derivative 3,694 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000001 · primary_doc.xml · derivative · entry 2

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,230

Underlying: Common stock · 3,694 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock

F3 · price: The shares of common stock underlying the restricted stock reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of restricted stock unit

F2 · derivative.exercise_date: restricted stock unit vested 1/31/2017

F2 · derivative.expiration_date: restricted stock unit vested 1/31/2017

Read SEC document
January 31, 2017 Filed Feb 2, 2017 22:03 UTC
SCHMIDT KARL JVP and CFO
Exercise / conversionCommon stock 5,230 $8.75 $45,762.50
Disclosure

SEC source: 0000914122-17-000001 · primary_doc.xml · nonDerivative · entry 1

SCHMIDT KARL J · CIK 0001202469 · VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,187

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

Read SEC document
January 31, 2017 Filed Feb 3, 2017 22:29 UTC
Elgendy Fati AVice President
Exercise / conversionRestricted stock unit · Derivative 2,226 Not disclosed Not disclosed
Disclosure

SEC source: 0000914122-17-000006 · primary_doc.xml · derivative · entry 3

Elgendy Fati A · CIK 0001244974 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 2,226 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock

F4 · price: The restricted stock unit reported as disposed herein were settled for shares of the issuer's stock

F2 · derivative.exercise_date: restricted stock unit vested 1/31/2017 because he retired

F2 · derivative.expiration_date: restricted stock unit vested 1/31/2017 because he retired

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.