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Nasdaq · USD

QRHC

Quest Resource Holding Corp

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Tapewire entity
852
SEC CIK
0001442236
Parsed reports
382

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
MonthPurchasesSales
Nov 202500
Dec 202510
Jan 202600
Feb 202600
Mar 202630
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
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
Disclosure

SEC 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.

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March 19, 2021 Filed Mar 23, 2021 16:38 UTC
Sweitzer David PEVP and COO
GrantCommon Stock 4,000 $3.75 $15,000.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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
OBUS NELSON10% owner
LANDES JOSHUA10% owner
SaleCommon Stock, $0.001 par value per share 908 $3.81 $3,455.67
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
OBUS NELSON10% owner
LANDES JOSHUA10% owner
SaleCommon Stock, $0.001 par value per share 11,100 $3.95 $43,811.70
Disclosure

SEC 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
OBUS NELSON10% owner
LANDES JOSHUA10% owner
SaleCommon Stock, $0.001 par value per share 10,576 $3.95 $41,743.47
Disclosure

SEC 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 GrantCommon Stock 959 $3.01 $2,886.59
Disclosure

SEC 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 GrantCommon Stock 1,146 $2.52 $2,887.92
Disclosure

SEC 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 GrantCommon Stock 1,250 $2.31 $2,887.50
Disclosure

SEC 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 GrantCommon Stock 375 $2.31 $866.25
Disclosure

SEC 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 GrantCommon Stock 1,422 $2.03 $2,886.66
Disclosure

SEC 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 GrantCommon Stock 427 $2.03 $866.81
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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 GrantCommon Stock 1,553 $1.86 $2,888.58
Disclosure

SEC 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 GrantCommon Stock 466 $1.86 $866.76
Disclosure

SEC 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
OBUS NELSON10% owner
LANDES JOSHUA10% owner
SaleCommon Stock, $0.001 par value per share 2,000 $2.06 $4,120.20
Disclosure

SEC 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 GrantCommon Stock 1,520 $1.90 $2,888.00
Disclosure

SEC 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 GrantCommon Stock 456 $1.90 $866.40
Disclosure

SEC 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 GrantCommon Stock 1,488 $1.94 $2,886.72
Disclosure

SEC 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 GrantCommon Stock 446 $1.94 $865.24
Disclosure

SEC 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
OBUS NELSON10% owner
LANDES JOSHUA10% owner
PurchaseCommon Stock, $0.001 par value per share 285,000 $1.14 $324,900.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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August 05, 2020 Filed Oct 15, 2020 18:30 UTC Amendment
OBUS NELSON10% owner
LANDES JOSHUA10% owner
PurchaseCommon Stock, $0.001 par value per share 285,000 $1.15 $327,750.00
Disclosure

SEC 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.

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July 31, 2020 Filed Feb 11, 2021 19:33 UTC GrantCommon Stock 2,033 $1.42 $2,886.86
Disclosure

SEC 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.

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July 31, 2020 Filed Feb 11, 2021 19:28 UTC GrantCommon Stock 610 $1.42 $866.20
Disclosure

SEC 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.

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June 30, 2020 Filed Jul 17, 2020 21:36 UTC GrantCommon Stock 1,497 $1.35 $2,020.95
Disclosure

SEC 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.

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June 30, 2020 Filed Jul 17, 2020 21:31 UTC GrantCommon Stock 2,139 $1.35 $2,887.65
Disclosure

SEC 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.

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June 30, 2020 Filed Jul 17, 2020 21:29 UTC GrantCommon Stock 2,139 $1.35 $2,887.65
Disclosure

SEC 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.

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June 30, 2020 Filed Jul 17, 2020 21:27 UTC GrantCommon Stock 642 $1.35 $866.70
Disclosure

SEC 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.

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May 31, 2020 Filed Jul 17, 2020 21:36 UTC GrantCommon Stock 1,520 $1.33 $2,021.60
Disclosure

SEC 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.

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May 31, 2020 Filed Jul 17, 2020 21:31 UTC GrantCommon Stock 2,171 $1.33 $2,887.43
Disclosure

SEC 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.

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May 31, 2020 Filed Jul 17, 2020 21:29 UTC GrantCommon Stock 2,171 $1.33 $2,887.43
Disclosure

SEC 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.

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May 31, 2020 Filed Jul 17, 2020 21:27 UTC GrantCommon Stock 651 $1.33 $865.83
Disclosure

SEC 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.

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May 18, 2020 Filed May 20, 2020 22:09 UTC GrantStock Option (right to buy) · Derivative 37,915 $0.00 Strike: $1.48 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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May 18, 2020 Filed May 20, 2020 22:11 UTC GrantStock Option (right to buy) · Derivative 37,915 $0.00 Strike: $1.48 $0.00
Disclosure

SEC 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.

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May 18, 2020 Filed May 20, 2020 22:08 UTC GrantStock Option (right to buy) · Derivative 37,915 $0.00 Strike: $1.48 $0.00
Disclosure

SEC 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.

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May 18, 2020 Filed May 20, 2020 22:05 UTC GrantStock Option (right to buy) · Derivative 37,915 $0.00 Strike: $1.48 $0.00
Disclosure

SEC 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.

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May 18, 2020 Filed May 20, 2020 22:03 UTC GrantStock Option (right to buy) · Derivative 37,915 $0.00 Strike: $1.48 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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April 30, 2020 Filed Jul 17, 2020 21:36 UTC GrantCommon Stock 1,713 $1.18 $2,021.34
Disclosure

SEC 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.

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April 30, 2020 Filed Jul 17, 2020 21:31 UTC GrantCommon Stock 2,447 $1.18 $2,887.46
Disclosure

SEC 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.

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