Last 12 months
Inside the activity.
4 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 1 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 3 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 23, 2021 Filed Mar 23, 2021 20:33 UTC |
Hatch S. RayDirector · President and CEO
|
PurchaseCommon Stock | 1,288 | $3.90 | $5,022.68 |
DisclosureSEC source: 0000921895-21-000831 · form412364hat_03232021.xml · nonDerivative · entry 2 Hatch S. Ray · CIK 0001663269 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,196 F2 · price: This transaction was executed in multiple trades at prices ranging from $3.8976 to $3.90. The price above reflects the weighted average sale price. F3 · balance_after: These shares represent shares of common stock of the Issuer held by the Reporting Person. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 16:38 UTC |
Sweitzer David PEVP and COO
|
GrantCommon Stock | 4,000 | $3.75 | $15,000.00 |
DisclosureSEC source: 0000921895-21-000833 · form412364swe_03232021.xml · nonDerivative · entry 1 Sweitzer David P · CIK 0001685530 · EVP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,905 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 20:35 UTC |
LATHAM LAURIE LSenior VP and CFO
|
GrantCommon Stock | 4,000 | $3.75 | $15,000.00 |
DisclosureSEC source: 0000921895-21-000832 · form412364lat_03232021.xml · nonDerivative · entry 1 LATHAM LAURIE L · CIK 0001264935 · Senior VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,905 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 20:33 UTC |
Hatch S. RayDirector · President and CEO
|
GrantCommon Stock | 5,333 | $3.75 | $19,998.75 |
DisclosureSEC source: 0000921895-21-000831 · form412364hat_03232021.xml · nonDerivative · entry 1 Hatch S. Ray · CIK 0001663269 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,207 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| March 16, 2021 Filed Mar 16, 2021 19:28 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, $0.001 par value per share | 908 | $3.81 | $3,455.67 |
DisclosureSEC source: 0001104659-21-037308 · tm219963-1_4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 891,333 F1 · ownership.direct: The Reporting Person directly beneficially owns 891,333 shares of common stock, $0.001 par value per share ("Common Stock") of Quest Resource Holding Corporation. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 17:41 UTC |
Sweitzer David PEVP and COO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC source: 0000921895-21-000770 · form412364swe_03172021.xml · derivative · entry 1 Sweitzer David P · CIK 0001685530 · EVP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2031-03-15 F1 · derivative.exercise_date: One-third of the total number of shares subject to the option shall vest and become exercisable on each anniversary of the date of grant, until fully vested on March 15, 2024. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 21:39 UTC |
LATHAM LAURIE LSenior VP and CFO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC source: 0000921895-21-000769 · form412364lat_03172021.xml · derivative · entry 1 LATHAM LAURIE L · CIK 0001264935 · Senior VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2031-03-15 F1 · derivative.exercise_date: One-third of the total number of shares subject to the option shall vest and become exercisable on each anniversary of the date of grant, until fully vested on March 15, 2024. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 21:35 UTC |
Hatch S. RayDirector · President and CEO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC source: 0000921895-21-000768 · form412364hat_03172021.xml · derivative · entry 1 Hatch S. Ray · CIK 0001663269 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2031-03-15 F1 · derivative.exercise_date: One-third of the total number of shares subject to the option shall vest and become exercisable on each anniversary of the date of grant, until fully vested on March 15, 2024. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 19:28 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, $0.001 par value per share | 11,100 | $3.95 | $43,811.70 |
DisclosureSEC source: 0001104659-21-037308 · tm219963-1_4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 987,678 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 588,185 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 178,702 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 220,791 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 19:28 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, $0.001 par value per share | 10,576 | $3.95 | $41,743.47 |
DisclosureSEC source: 0001104659-21-037308 · tm219963-1_4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 892,241 F1 · ownership.direct: The Reporting Person directly beneficially owns 891,333 shares of common stock, $0.001 par value per share ("Common Stock") of Quest Resource Holding Corporation. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document |
| February 28, 2021 Filed May 24, 2021 22:16 UTC |
Nolan Stephen ADirector
|
GrantCommon Stock | 959 | $3.01 | $2,886.59 |
DisclosureSEC source: 0000921895-21-001473 · form412364002nol_05242021.xml · nonDerivative · entry 2 Nolan Stephen A · CIK 0001578531 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,910 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| January 31, 2021 Filed May 24, 2021 22:16 UTC |
Nolan Stephen ADirector
|
GrantCommon Stock | 1,146 | $2.52 | $2,887.92 |
DisclosureSEC source: 0000921895-21-001473 · form412364002nol_05242021.xml · nonDerivative · entry 1 Nolan Stephen A · CIK 0001578531 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,951 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| December 31, 2020 Filed Feb 11, 2021 19:33 UTC |
Nolan Stephen ADirector
|
GrantCommon Stock | 1,250 | $2.31 | $2,887.50 |
DisclosureSEC source: 0000921895-21-000315 · form512364nol_02112021.xml · nonDerivative · entry 6 Nolan Stephen A · CIK 0001578531 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,805 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. F1 · balance_after: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| December 31, 2020 Filed Feb 11, 2021 19:28 UTC |
Golden Michael FDirector
|
GrantCommon Stock | 375 | $2.31 | $866.25 |
DisclosureSEC source: 0000921895-21-000313 · form512364gol_02112021.xml · nonDerivative · entry 6 Golden Michael F · CIK 0001309339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,742 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. F1 · balance_after: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| November 30, 2020 Filed Feb 11, 2021 19:33 UTC |
Nolan Stephen ADirector
|
GrantCommon Stock | 1,422 | $2.03 | $2,886.66 |
DisclosureSEC source: 0000921895-21-000315 · form512364nol_02112021.xml · nonDerivative · entry 5 Nolan Stephen A · CIK 0001578531 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,555 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| November 30, 2020 Filed Feb 11, 2021 19:28 UTC |
Golden Michael FDirector
|
GrantCommon Stock | 427 | $2.03 | $866.81 |
DisclosureSEC source: 0000921895-21-000313 · form512364gol_02112021.xml · nonDerivative · entry 5 Golden Michael F · CIK 0001309339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,367 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 21:28 UTC |
LATHAM LAURIE LSenior VP and CFO
|
GrantCommon Stock | 4,593 | $1.03 | $4,723.90 |
DisclosureSEC source: 0000921895-20-003054 · form412364002lat_11192020.xml · nonDerivative · entry 1 LATHAM LAURIE L · CIK 0001264935 · Senior VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,530 F1 · kind: The shares were acquired under the Issuer's employee stock purchase plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). F2 · price: Pursuant to the terms of the Issuer's employee stock purchase plan, the price is at a 15% discount to closing price on the transaction date. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 21:25 UTC |
Hatch S. RayDirector · President and CEO
|
GrantCommon Stock | 1,640 | $1.03 | $1,686.74 |
DisclosureSEC source: 0000921895-20-003053 · form412364002hat_11192020.xml · nonDerivative · entry 1 Hatch S. Ray · CIK 0001663269 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,908 F1 · kind: The shares were acquired under the Issuer's employee stock purchase plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). F2 · price: Pursuant to the terms of the Issuer's employee stock purchase plan, the price is at a 15% discount to closing price on the transaction date. Read SEC document |
| November 02, 2020 Filed Nov 4, 2020 21:35 UTC |
Allred Alan D.See Remarks
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 13,661 | $0.00 Strike: $1.83 | $0.00 |
DisclosureSEC source: 0000921895-20-002792 · form412364002all_11042020.xml · derivative · entry 1 Allred Alan D. · CIK 0001830404 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,661 Underlying: Common Stock · 13,661 shares Expires 2030-11-02 F1 · derivative.exercise_date: One-third of the total number of shares subject to the option shall vest and become exercisable on each anniversary of the date of grant, until fully vested on November 2, 2023. Read SEC document |
| November 02, 2020 Filed Nov 4, 2020 21:31 UTC |
Coskery StephenSee Remarks
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $1.83 | $0.00 |
DisclosureSEC source: 0000921895-20-002791 · form412364002cos_11042020.xml · derivative · entry 1 Coskery Stephen · CIK 0001827827 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2030-11-02 F1 · derivative.exercise_date: One-third of the total number of shares subject to the option shall vest and become exercisable on each anniversary of the date of grant, until fully vested on November 2, 2023. Read SEC document |
| October 31, 2020 Filed Feb 11, 2021 19:33 UTC |
Nolan Stephen ADirector
|
GrantCommon Stock | 1,553 | $1.86 | $2,888.58 |
DisclosureSEC source: 0000921895-21-000315 · form512364nol_02112021.xml · nonDerivative · entry 4 Nolan Stephen A · CIK 0001578531 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,133 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| October 31, 2020 Filed Feb 11, 2021 19:28 UTC |
Golden Michael FDirector
|
GrantCommon Stock | 466 | $1.86 | $866.76 |
DisclosureSEC source: 0000921895-21-000313 · form512364gol_02112021.xml · nonDerivative · entry 4 Golden Michael F · CIK 0001309339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,940 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| October 13, 2020 Filed Oct 15, 2020 18:30 UTC Amendment |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, $0.001 par value per share | 2,000 | $2.06 | $4,120.20 |
DisclosureSEC source: 0001104659-20-115382 · tm2033304-1_4a.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 998,778 F7 · acquired: The Reporting Person has notified the Issuer that the transaction disclosed herein may constitute a short-swing profit under Section 16(b) of the Exchange Act and intends to disgorge the profits with respect to the transaction to the Issuer. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 594,987 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns. F5 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 183,000 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F6 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 220,791 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document |
| September 30, 2020 Filed Feb 11, 2021 19:33 UTC |
Nolan Stephen ADirector
|
GrantCommon Stock | 1,520 | $1.90 | $2,888.00 |
DisclosureSEC source: 0000921895-21-000315 · form512364nol_02112021.xml · nonDerivative · entry 3 Nolan Stephen A · CIK 0001578531 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,580 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| September 30, 2020 Filed Feb 11, 2021 19:28 UTC |
Golden Michael FDirector
|
GrantCommon Stock | 456 | $1.90 | $866.40 |
DisclosureSEC source: 0000921895-21-000313 · form512364gol_02112021.xml · nonDerivative · entry 3 Golden Michael F · CIK 0001309339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,474 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| August 31, 2020 Filed Feb 11, 2021 19:33 UTC |
Nolan Stephen ADirector
|
GrantCommon Stock | 1,488 | $1.94 | $2,886.72 |
DisclosureSEC source: 0000921895-21-000315 · form512364nol_02112021.xml · nonDerivative · entry 2 Nolan Stephen A · CIK 0001578531 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,060 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| August 31, 2020 Filed Feb 11, 2021 19:28 UTC |
Golden Michael FDirector
|
GrantCommon Stock | 446 | $1.94 | $865.24 |
DisclosureSEC source: 0000921895-21-000313 · form512364gol_02112021.xml · nonDerivative · entry 2 Golden Michael F · CIK 0001309339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,018 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| August 05, 2020 Filed Aug 7, 2020 20:58 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
PurchaseCommon Stock, $0.001 par value per share | 285,000 | $1.14 | $324,900.00 |
DisclosureSEC source: 0001104659-20-092219 · tm2027025-1_4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,000,778 F1 · kind: The transactions reported on this Form 4 were made pursuant to a Securities Purchase Agreement, dated August 5, 2020, between Quest Resource Holding Corporation, Wynnefield Capital, Inc., which is an affiliate of the Reporting Person, and the other parties thereto. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 594,987 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 185,000 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F5 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 220,791 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document |
| August 05, 2020 Filed Aug 8, 2020 01:00 UTC |
FRIEDBERG DANIEL M.Director · 10% owner
|
PurchaseCommon Stock | 655,000 | $1.15 | $753,250.00 |
DisclosureSEC source: 0000921895-20-002133 · form412364002_08072020.xml · nonDerivative · entry 1 FRIEDBERG DANIEL M. · CIK 0001448795 · Director · 10% owner Hampstead Park Capital Management, LLC · CIK 0001773816 · 10% owner Hampstead Park Environmental Services Investment Fund LLC · CIK 0001773840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Hampstead Park Environmental Services Investment Fund LLC Disclosed balance after: 2,775,489 F1 · ownership.nature: This Form 4 is filed jointly by Hampstead Park Environmental Services Investment Fund LLC ("Hampstead Park Environmental"), Daniel Friedberg and Hampstead Park Capital Management, LLC ("Hampstead Park Capital"). Hampstead Park Capital is the sole member of Hampstead Park Environmental, and Mr. Friedberg is the Chief Executive Officer of Hampstead Park Capital; each may therefore be deemed to control Hampstead Park Environmental. In addition, Mr. Friedberg is a Director of the Issuer. Read SEC document |
| August 05, 2020 Filed Oct 15, 2020 18:30 UTC Amendment |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
PurchaseCommon Stock, $0.001 par value per share | 285,000 | $1.15 | $327,750.00 |
DisclosureSEC source: 0001104659-20-115382 · tm2033304-1_4a.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,000,778 F1 · kind: The transactions reported were made pursuant to a Securities Purchase Agreement, dated August 5, 2020, between Quest Resource Holding Corporation, Wynnefield Capital, Inc., which is an affiliate of the Reporting Person, and the other parties thereto. F2 · price: The original Form 4, filed on August 7, 2020, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported a transaction that occurred on August 5, 2020 as a purchase for $1.14 per share, when in fact it was a purchase for $1.15 per share. No other changes have been made to the original form 4 F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 594,987 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns. F5 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 183,000 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F6 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 220,791 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document |
| July 31, 2020 Filed Feb 11, 2021 19:33 UTC |
Nolan Stephen ADirector
|
GrantCommon Stock | 2,033 | $1.42 | $2,886.86 |
DisclosureSEC source: 0000921895-21-000315 · form512364nol_02112021.xml · nonDerivative · entry 1 Nolan Stephen A · CIK 0001578531 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,572 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| July 31, 2020 Filed Feb 11, 2021 19:28 UTC |
Golden Michael FDirector
|
GrantCommon Stock | 610 | $1.42 | $866.20 |
DisclosureSEC source: 0000921895-21-000313 · form512364gol_02112021.xml · nonDerivative · entry 1 Golden Michael F · CIK 0001309339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,572 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| June 30, 2020 Filed Jul 17, 2020 21:36 UTC |
WADECKI ISABELL MARIEDirector
|
GrantCommon Stock | 1,497 | $1.35 | $2,020.95 |
DisclosureSEC source: 0000921895-20-002012 · form412364002wad_07172020.xml · nonDerivative · entry 6 WADECKI ISABELL MARIE · CIK 0001214761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,577 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| June 30, 2020 Filed Jul 17, 2020 21:31 UTC |
Nolan Stephen ADirector
|
GrantCommon Stock | 2,139 | $1.35 | $2,887.65 |
DisclosureSEC source: 0000921895-20-002011 · form412364002nol_07172020.xml · nonDerivative · entry 6 Nolan Stephen A · CIK 0001578531 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,539 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| June 30, 2020 Filed Jul 17, 2020 21:29 UTC |
KNITTEL RUSSELL JDirector
|
GrantCommon Stock | 2,139 | $1.35 | $2,887.65 |
DisclosureSEC source: 0000921895-20-002010 · form412364002kni_07172020.xml · nonDerivative · entry 6 KNITTEL RUSSELL J · CIK 0001225977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,539 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| June 30, 2020 Filed Jul 17, 2020 21:27 UTC |
Golden Michael FDirector
|
GrantCommon Stock | 642 | $1.35 | $866.70 |
DisclosureSEC source: 0000921895-20-002009 · form412364002gol_07172020.xml · nonDerivative · entry 6 Golden Michael F · CIK 0001309339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,962 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| May 31, 2020 Filed Jul 17, 2020 21:36 UTC |
WADECKI ISABELL MARIEDirector
|
GrantCommon Stock | 1,520 | $1.33 | $2,021.60 |
DisclosureSEC source: 0000921895-20-002012 · form412364002wad_07172020.xml · nonDerivative · entry 5 WADECKI ISABELL MARIE · CIK 0001214761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,080 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| May 31, 2020 Filed Jul 17, 2020 21:31 UTC |
Nolan Stephen ADirector
|
GrantCommon Stock | 2,171 | $1.33 | $2,887.43 |
DisclosureSEC source: 0000921895-20-002011 · form412364002nol_07172020.xml · nonDerivative · entry 5 Nolan Stephen A · CIK 0001578531 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,400 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| May 31, 2020 Filed Jul 17, 2020 21:29 UTC |
KNITTEL RUSSELL JDirector
|
GrantCommon Stock | 2,171 | $1.33 | $2,887.43 |
DisclosureSEC source: 0000921895-20-002010 · form412364002kni_07172020.xml · nonDerivative · entry 5 KNITTEL RUSSELL J · CIK 0001225977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,400 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| May 31, 2020 Filed Jul 17, 2020 21:27 UTC |
Golden Michael FDirector
|
GrantCommon Stock | 651 | $1.33 | $865.83 |
DisclosureSEC source: 0000921895-20-002009 · form412364002gol_07172020.xml · nonDerivative · entry 5 Golden Michael F · CIK 0001309339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,320 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| May 18, 2020 Filed May 20, 2020 22:09 UTC |
Tomolonius SarahDirector
|
GrantStock Option (right to buy) · Derivative | 37,915 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0000921895-20-001552 · form412364002tom_05202020.xml · derivative · entry 1 Tomolonius Sarah · CIK 0001685481 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,915 Underlying: Common Stock · 37,915 shares Expires 2030-05-18 F1 · derivative.exercise_date: The shares subject to the stock option shall vest in twelve equal monthly installments until fully vested on April 30, 2021. Read SEC document |
| May 18, 2020 Filed May 20, 2020 22:01 UTC |
FRIEDBERG DANIEL M.Director · 10% owner
|
GrantStock Option (right to buy) · Derivative | 223,295 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0000921895-20-001548 · form412364002fri_05202020.xml · derivative · entry 1 FRIEDBERG DANIEL M. · CIK 0001448795 · Director · 10% owner Hampstead Park Capital Management, LLC · CIK 0001773816 · 10% owner Hampstead Park Environmental Services Investment Fund LLC · CIK 0001773840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,295 Underlying: Common Stock · 223,295 shares Expires 2030-05-18 F1 · security: This Form 4 is filed jointly by Hampstead Park Environmental Services Investment Fund LLC ("Hampstead Park Environmental"), Daniel Friedberg and Hampstead Park Capital Management, LLC ("Hampstead Park Capital"). Hampstead Park Capital is the sole member of Hampstead Park Environmental, and Mr. Friedberg is the Chief Executive Officer of Hampstead Park Capital; each may therefore be deemed to control Hampstead Park Environmental. In addition, Mr. Friedberg is a Director of the Issuer. F2 · derivative.exercise_date: The shares subject to the stock option shall vest in twelve equal monthly installments until fully vested on April 30, 2021. Read SEC document |
| May 18, 2020 Filed May 20, 2020 22:11 UTC |
WADECKI ISABELL MARIEDirector
|
GrantStock Option (right to buy) · Derivative | 37,915 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0000921895-20-001553 · form412364002wad_05202020.xml · derivative · entry 1 WADECKI ISABELL MARIE · CIK 0001214761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,915 Underlying: Common Stock · 37,915 shares Expires 2030-05-18 F1 · derivative.exercise_date: The shares subject to the stock option shall vest in twelve equal monthly installments until fully vested on April 30, 2021. Read SEC document |
| May 18, 2020 Filed May 20, 2020 22:08 UTC |
Miller Ronald L. Jr.Director
|
GrantStock Option (right to buy) · Derivative | 37,915 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0000921895-20-001551 · form412364002mil_05202020.xml · derivative · entry 1 Miller Ronald L. Jr. · CIK 0001560790 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,915 Underlying: Common Stock · 37,915 shares Expires 2030-05-18 F1 · derivative.exercise_date: The shares subject to the stock option shall vest in twelve equal monthly installments until fully vested on April 30, 2021. Read SEC document |
| May 18, 2020 Filed May 20, 2020 22:05 UTC |
KNITTEL RUSSELL JDirector
|
GrantStock Option (right to buy) · Derivative | 37,915 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0000921895-20-001550 · form412364002kni_05202020.xml · derivative · entry 1 KNITTEL RUSSELL J · CIK 0001225977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,915 Underlying: Common Stock · 37,915 shares Expires 2030-05-18 F1 · derivative.exercise_date: The shares subject to the stock option shall vest in twelve equal monthly installments until fully vested on April 30, 2021. Read SEC document |
| May 18, 2020 Filed May 20, 2020 22:03 UTC |
Golden Michael FDirector
|
GrantStock Option (right to buy) · Derivative | 37,915 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0000921895-20-001549 · form412364002gol_05202020.xml · derivative · entry 1 Golden Michael F · CIK 0001309339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,915 Underlying: Common Stock · 37,915 shares Expires 2030-05-18 F1 · derivative.exercise_date: The shares subject to the stock option shall vest in twelve equal monthly installments until fully vested on April 30, 2021. Read SEC document |
| May 14, 2020 Filed May 18, 2020 23:27 UTC |
Hatch S. RayDirector · President and CEO
|
GrantCommon Stock | 1,678 | $0.99 | $1,668.77 |
DisclosureSEC source: 0000921895-20-001491 · form412364002hat_05182020.xml · nonDerivative · entry 1 Hatch S. Ray · CIK 0001663269 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,268 F1 · kind: The shares were acquired under the Issuer's employee stock purchase plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). F2 · price: Pursuant to the terms of the Issuer's employee stock purchase plan, the price is at a 15% discount to closing price on the transaction date. Read SEC document |
| May 14, 2020 Filed May 18, 2020 23:31 UTC |
LATHAM LAURIE LSenior VP and CFO
|
GrantCommon Stock | 4,699 | $0.99 | $4,673.16 |
DisclosureSEC source: 0000921895-20-001492 · form412364002lat_05182020.xml · nonDerivative · entry 1 LATHAM LAURIE L · CIK 0001264935 · Senior VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,937 F1 · kind: The shares were acquired under the Issuer's employee stock purchase plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). F2 · price: Pursuant to the terms of the Issuer's employee stock purchase plan, the price is at a 15% discount to closing price on the transaction date. Read SEC document |
| April 30, 2020 Filed Jul 17, 2020 21:36 UTC |
WADECKI ISABELL MARIEDirector
|
GrantCommon Stock | 1,713 | $1.18 | $2,021.34 |
DisclosureSEC source: 0000921895-20-002012 · form412364002wad_07172020.xml · nonDerivative · entry 4 WADECKI ISABELL MARIE · CIK 0001214761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,560 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. Read SEC document |
| April 30, 2020 Filed Jul 17, 2020 21:31 UTC |
Nolan Stephen ADirector
|
GrantCommon Stock | 2,447 | $1.18 | $2,887.46 |
DisclosureSEC source: 0000921895-20-002011 · form412364002nol_07172020.xml · nonDerivative · entry 4 Nolan Stephen A · CIK 0001578531 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,229 F1 · shares: The reported securities represent deferred stock units granted under the Issuer's 2012 Incentive Compensation Plan in lieu of a portion of the Reporting Person's annual cash retainer for services as a member of the Issuer's Board of Directors. The shares of common stock underlying such deferred stock units shall be issued upon the Reporting Person's separation from service with the Issuer. 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.