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RAVE

RAVE RESTAURANT GROUP, INC.

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7274
SEC CIK
0000718332
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78

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Jan 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
October 20, 2025 Filed Oct 22, 2025 20:30 UTC
Rooney JayChief Financial Officer
GrantRestricted Stock Units · Derivative 17,112 $0.00 $0.00
Disclosure

SEC source: 0001140361-25-038935 · form4.xml · derivative · entry 1

Rooney Jay · CIK 0002016566 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,803

Underlying: Common · 25,668 shares

Expires 2028-10-15

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved my yield from 50% to 150% of a share of common stock representing such unit.

F2 · derivative.underlying_shares: Represents the maximum amount of shares that may be received upon successfully meeting all performance criteria.

Read SEC document
October 20, 2025 Filed Oct 22, 2025 20:30 UTC
Solano BrandonChief Executive Officer
GrantRestricted Stock Units · Derivative 99,464 $0.00 $0.00
Disclosure

SEC source: 0001140361-25-038936 · form4.xml · derivative · entry 1

Solano Brandon · CIK 0001659376 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 258,236

Underlying: CommonStock · 149,196 shares

Expires 2025-10-15

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performancecriteria are based on multiple financial metrics which, if at least minimum criteria are achieved my yield from 50% to 150% of a share of common stock representing suchunit.

F2 · derivative.underlying_shares: Represents the maximum amount of shares that may be received upon successfully meeting all performance criteria.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 13:17 UTC
Solano BrandonCHIEF EXECUTIVE OFFICER
Disposition to issuerRestricted Stock Units · Derivative 262,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-24-007182 · ownership.xml · derivative · entry 3

Solano Brandon · CIK 0001659376 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 198,414 shares

Expires 2024-10-15

F1 · derivative.exercise_price: Reflects the shares of Common Stock (a) issue on October 15, 2024, after vesting of restricted stock units awarded under the Issuer's 2015 Long Term Incentive Plan pursuant to completikon of th requiremnets and performance criteria set forth in such plan, (b) net of the Issuer's retention of 73,414 shares the Reporting Person had the right to recive for tax withholding pruposes pursuant to the plan based on the closing price of the Issuer's Common Stock on October 14, 2024.

F2 · price: Reflects restricted stock units representing the right to receive shares of Common Stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 13:17 UTC
Solano BrandonCHIEF EXECUTIVE OFFICER
Tax withholdingCommon Stock 73,414 $2.65 $194,547.10
Disclosure

SEC source: 0001683168-24-007182 · ownership.xml · nonDerivative · entry 2

Solano Brandon · CIK 0001659376 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 595,151

Read SEC document
October 15, 2024 Filed Oct 17, 2024 13:17 UTC
Solano BrandonCHIEF EXECUTIVE OFFICER
Exercise / conversionCommon Stock 125,000 $0.00 $0.00
Disclosure

SEC source: 0001683168-24-007182 · ownership.xml · nonDerivative · entry 1

Solano Brandon · CIK 0001659376 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 595,151

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

Read SEC document
October 08, 2024 Filed Oct 9, 2024 21:01 UTC
Solano BrandonChief Executive Officer
GrantRestricted Stock Units · Derivative 105,848 $0.00 $0.00
Disclosure

SEC source: 0001683168-24-007029 · ownership.xml · derivative · entry 2

Solano Brandon · CIK 0001659376 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,848

Underlying: Common Stock · 158,772 shares

Expires 2027-10-08

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F4 · derivative.underlying_shares: Represents the maximum amount of shares of Common Stock that may be received upon successfully meeting all performance criteria.

Read SEC document
October 08, 2024 Filed Oct 11, 2024 12:25 UTC
Rooney JayCHIEF FINANCIAL OFFICER
GrantRestricted Stock Units · Derivative 18,690 $0.00 $0.00
Disclosure

SEC source: 0001683168-24-007067 · ownership.xml · derivative · entry 1

Rooney Jay · CIK 0002016566 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,690

Underlying: Common Stock · 28,035 shares

Expires 2027-10-08

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F2 · derivative.underlying_shares: Represents the maximum amount of shares of Common Stock that may be received upon successfully meeting all performance criteria.

Read SEC document
October 07, 2024 Filed Oct 9, 2024 21:01 UTC
Solano BrandonChief Executive Officer
GrantRestricted Stock Units · Derivative 262,500 $0.00 $0.00
Disclosure

SEC source: 0001683168-24-007029 · ownership.xml · derivative · entry 1

Solano Brandon · CIK 0001659376 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 262,500

Underlying: Common Stock · 198,414 shares

Expires 2024-10-15

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F2 · date: Date the Audit Committee determined the total number of shares of Common Stock to be awarded on the vesting date based on the achievement of performance criteria for RSU's granted on June 11, 2022.

F3 · derivative.underlying_shares: Represents the total shares to be issues upon vesting on October 15, 2024, as determined by the Issuer's Audit Committee on October 7, 2024 and based on the achievement of certain performance criteria.

Read SEC document
March 12, 2024 Filed Mar 13, 2024 16:56 UTC
Solano BrandonChief Executive Officer
PurchaseCOMMON STOCK 5,600 $1.74 $9,744.00
Disclosure

SEC source: 0001683168-24-001449 · ownership.xml · nonDerivative · entry 2

Solano Brandon · CIK 0001659376 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 470,151

Read SEC document
March 11, 2024 Filed Mar 13, 2024 16:56 UTC
Solano BrandonChief Executive Officer
PurchaseCOMMON STOCK 5,776 $1.71 $9,876.96
Disclosure

SEC source: 0001683168-24-001449 · ownership.xml · nonDerivative · entry 1

Solano Brandon · CIK 0001659376 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 464,551

Read SEC document
January 29, 2024 Filed Jan 30, 2024 19:05 UTC PurchaseCommon Stock 51,921 $1.96 $101,765.16
Disclosure

SEC source: 0001099910-24-000062 · ownership.xml · nonDerivative · entry 1

IMA value LLP · CIK 0001998914 · Investor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,011,807

Read SEC document
January 22, 2024 Filed Jan 22, 2024 21:26 UTC PurchaseCommon Stock 46,241 $1.98 $91,557.18
Disclosure

SEC source: 0001099910-24-000046 · ownership.xml · nonDerivative · entry 1

IMA value LLP · CIK 0001998914 · Investor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 969,520

Read SEC document
November 13, 2023 Filed Nov 15, 2023 19:18 UTC
Solano BrandonChief Executive Officer
GrantRestricted Stock Units · Derivative 105,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-23-008178 · ownership.xml · derivative · entry 1

Solano Brandon · CIK 0001659376 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 367,500

Underlying: Common Stock · Not disclosed shares

Expires 2026-10-15

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F1 · price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F1 · derivative.underlying_shares: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

Read SEC document
November 13, 2023 Filed Nov 15, 2023 19:17 UTC
FENDLEY CLINTON DAYNEChief Financial Officer
GrantRestricted Stock Units · Derivative 26,460 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-23-008176 · ownership.xml · derivative · entry 1

FENDLEY CLINTON DAYNE · CIK 0001798265 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,460

Underlying: Common Stock · Not disclosed shares

Expires 2026-10-15

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F1 · price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F1 · derivative.underlying_shares: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

Read SEC document
October 16, 2023 Filed Oct 18, 2023 20:10 UTC
Solano BrandonCHIEF EXECUTIVE OFFICER
Disposition to issuerRESTRICTED STOCK UNITS · Derivative 443,625 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-23-007249 · ownership.xml · derivative · entry 3

Solano Brandon · CIK 0001659376 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 499,079 shares

Expires 2023-10-15

F2 · derivative.exercise_price: Reflects restricted stock units representing the right to receive shares of Common Stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics.

F2 · price: Reflects restricted stock units representing the right to receive shares of Common Stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics.

Read SEC document
October 16, 2023 Filed Oct 18, 2023 20:10 UTC
Solano BrandonCHIEF EXECUTIVE OFFICER
Tax withholdingCOMMON STOCK 129,623 $1.99 $257,949.77
Disclosure

SEC source: 0001683168-23-007249 · ownership.xml · nonDerivative · entry 2

Solano Brandon · CIK 0001659376 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 458,775

F1 · shares: Reflects the shares of Common Stock (a) issued on October 16, 2023, after vesting of restricted stock units awarded under the Issuer's 2015 Long Term Incentive Plan pursuant to completion of the requirements and performance criteria set forth in such plan, (b) net of the Issuer's retention of 129,623 shares the Reporting Person had the right to receive for tax withholding purposes pursuant to the plan based on the closing price of the Issuer's Common Stock on October 13, 2023.

Read SEC document
October 16, 2023 Filed Oct 18, 2023 20:10 UTC
Solano BrandonCHIEF EXECUTIVE OFFICER
Exercise / conversionCOMMON STOCK 369,456 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-007249 · ownership.xml · nonDerivative · entry 1

Solano Brandon · CIK 0001659376 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 458,775

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

F1 · shares: Reflects the shares of Common Stock (a) issued on October 16, 2023, after vesting of restricted stock units awarded under the Issuer's 2015 Long Term Incentive Plan pursuant to completion of the requirements and performance criteria set forth in such plan, (b) net of the Issuer's retention of 129,623 shares the Reporting Person had the right to receive for tax withholding purposes pursuant to the plan based on the closing price of the Issuer's Common Stock on October 13, 2023.

Read SEC document
October 16, 2023 Filed Oct 18, 2023 20:09 UTC
FENDLEY CLINTON DAYNECHIEF FINANCIAL OFFICER
Disposition to issuerRESTRICTED STOCK UNITS · Derivative 25,900 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-23-007248 · ownership.xml · derivative · entry 3

FENDLEY CLINTON DAYNE · CIK 0001798265 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 29,138 shares

Expires 2023-10-15

F2 · derivative.exercise_price: Reflects restricted stock units representing the right to receive shares of Common Stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics.

F2 · price: Reflects restricted stock units representing the right to receive shares of Common Stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics.

Read SEC document
October 16, 2023 Filed Oct 18, 2023 20:09 UTC
FENDLEY CLINTON DAYNECHIEF FINANCIAL OFFICER
Tax withholdingCOMMON STOCK 8,741 $1.99 $17,394.59
Disclosure

SEC source: 0001683168-23-007248 · ownership.xml · nonDerivative · entry 2

FENDLEY CLINTON DAYNE · CIK 0001798265 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,813

F1 · shares: Reflects the shares of Common Stock (a) issued on October 16, 2023, after vesting of restricted stock units awarded under the Issuer's 2015 Long Term Incentive Plan pursuant to completion of the requirements and performance criteria set forth in such plan, (b) net of the Issuer's retention of 8,741 shares the Reporting Person had the right to receive for tax withholding purposes pursuant to the plan based on the closing price of the Issuer's Common Stock on October 13, 2023.

F1 · price: Reflects the shares of Common Stock (a) issued on October 16, 2023, after vesting of restricted stock units awarded under the Issuer's 2015 Long Term Incentive Plan pursuant to completion of the requirements and performance criteria set forth in such plan, (b) net of the Issuer's retention of 8,741 shares the Reporting Person had the right to receive for tax withholding purposes pursuant to the plan based on the closing price of the Issuer's Common Stock on October 13, 2023.

Read SEC document
October 16, 2023 Filed Oct 18, 2023 20:09 UTC
FENDLEY CLINTON DAYNECHIEF FINANCIAL OFFICER
Exercise / conversionCOMMON STOCK 20,397 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-007248 · ownership.xml · nonDerivative · entry 1

FENDLEY CLINTON DAYNE · CIK 0001798265 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,813

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

F1 · shares: Reflects the shares of Common Stock (a) issued on October 16, 2023, after vesting of restricted stock units awarded under the Issuer's 2015 Long Term Incentive Plan pursuant to completion of the requirements and performance criteria set forth in such plan, (b) net of the Issuer's retention of 8,741 shares the Reporting Person had the right to receive for tax withholding purposes pursuant to the plan based on the closing price of the Issuer's Common Stock on October 13, 2023.

F1 · price: Reflects the shares of Common Stock (a) issued on October 16, 2023, after vesting of restricted stock units awarded under the Issuer's 2015 Long Term Incentive Plan pursuant to completion of the requirements and performance criteria set forth in such plan, (b) net of the Issuer's retention of 8,741 shares the Reporting Person had the right to receive for tax withholding purposes pursuant to the plan based on the closing price of the Issuer's Common Stock on October 13, 2023.

Read SEC document
October 16, 2023 Filed Oct 18, 2023 20:09 UTC
BURNS MICHAEL F JRCHIEF OPERATING OFFICER
Disposition to issuerRESTRICTED STOCK UNITS · Derivative 53,663 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-23-007247 · ownership.xml · derivative · entry 3

BURNS MICHAEL F JR · CIK 0001794488 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 60,372 shares

Expires 2023-10-15

F2 · derivative.exercise_price: Reflects restricted stock units representing the right to receive shares of Common Stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics.

F2 · price: Reflects restricted stock units representing the right to receive shares of Common Stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics.

Read SEC document
October 16, 2023 Filed Oct 18, 2023 20:09 UTC
BURNS MICHAEL F JRCHIEF OPERATING OFFICER
Tax withholdingCOMMON STOCK 18,112 $1.99 $36,042.88
Disclosure

SEC source: 0001683168-23-007247 · ownership.xml · nonDerivative · entry 2

BURNS MICHAEL F JR · CIK 0001794488 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,260

F1 · shares: Reflects the shares of Common Stock (a) issued on October 16, 2023, after vesting of restricted stock units awarded under the Issuer's 2015 Long Term Incentive Plan pursuant to completion of the requirements and performance criteria set forth in such plan, (b) net of the Issuer's retention of 8,741 shares the Reporting Person had the right to receive for tax withholding purposes pursuant to the plan based on the closing price of the Issuer's Common Stock on October 13, 2023.

F1 · price: Reflects the shares of Common Stock (a) issued on October 16, 2023, after vesting of restricted stock units awarded under the Issuer's 2015 Long Term Incentive Plan pursuant to completion of the requirements and performance criteria set forth in such plan, (b) net of the Issuer's retention of 8,741 shares the Reporting Person had the right to receive for tax withholding purposes pursuant to the plan based on the closing price of the Issuer's Common Stock on October 13, 2023.

Read SEC document
October 16, 2023 Filed Oct 18, 2023 20:09 UTC
BURNS MICHAEL F JRCHIEF OPERATING OFFICER
Exercise / conversionCOMMON STOCK 42,260 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-007247 · ownership.xml · nonDerivative · entry 1

BURNS MICHAEL F JR · CIK 0001794488 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,260

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

F1 · shares: Reflects the shares of Common Stock (a) issued on October 16, 2023, after vesting of restricted stock units awarded under the Issuer's 2015 Long Term Incentive Plan pursuant to completion of the requirements and performance criteria set forth in such plan, (b) net of the Issuer's retention of 8,741 shares the Reporting Person had the right to receive for tax withholding purposes pursuant to the plan based on the closing price of the Issuer's Common Stock on October 13, 2023.

F1 · price: Reflects the shares of Common Stock (a) issued on October 16, 2023, after vesting of restricted stock units awarded under the Issuer's 2015 Long Term Incentive Plan pursuant to completion of the requirements and performance criteria set forth in such plan, (b) net of the Issuer's retention of 8,741 shares the Reporting Person had the right to receive for tax withholding purposes pursuant to the plan based on the closing price of the Issuer's Common Stock on October 13, 2023.

Read SEC document
September 25, 2023 Filed Sep 27, 2023 20:13 UTC Amendment
Solano BrandonChief Executive Officer
GrantRestricted Stock Units · Derivative 443,625 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-006765 · edgar.xml · derivative · entry 1

Solano Brandon · CIK 0001659376 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 443,625

Underlying: Common Stock · 499,079 shares

Expires 2023-10-15

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of Common Stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F2 · date: Date the Audit Committee determined the total number of shares of Common Stock to be awarded upon achievement of performance criteria for RSUs granted on January 8, 2021.

F3 · derivative.underlying_shares: Represents the total shares of Common Stock to be issued upon vesting as determined by the Issuer's Audit Committee on September 25, 2023, and based on the achievement of certain performance criteria.

Read SEC document
September 25, 2023 Filed Sep 27, 2023 20:13 UTC Amendment
FENDLEY CLINTON DAYNEVice President - Finance
GrantRestricted Stock Units · Derivative 25,900 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-006764 · edgar.xml · derivative · entry 1

FENDLEY CLINTON DAYNE · CIK 0001798265 · Vice President - Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,900

Underlying: Common Stock · 29,138 shares

Expires 2023-10-15

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of Common Stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F2 · date: Date the Audit Committee determined the total number of shares of Common Stock to be awarded upon achievement of performance criteria for RSUs granted on January 8, 2021.

F3 · derivative.underlying_shares: Represents the total shares of Common Stock to be issued upon vesting as determined by the Issuer's Audit Committee on September 25, 2023, and based on the achievement of certain performance criteria.

Read SEC document
September 25, 2023 Filed Sep 27, 2023 20:13 UTC Amendment
BURNS MICHAEL F JRChief Operating Officer
GrantRestricted Stock Units · Derivative 53,663 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-006763 · edgar.xml · derivative · entry 1

BURNS MICHAEL F JR · CIK 0001794488 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,663

Underlying: Common Stock · 60,372 shares

Expires 2023-10-15

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of Common Stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F2 · date: Date the Audit Committee determined the total number of shares of Common Stock to be awarded upon achievement of performance criteria for RSUs granted on January 8, 2021.

F3 · derivative.underlying_shares: Represents the total shares of Common Stock to be issued upon vesting as determined by the Issuer's Audit Committee on September 25, 2023, and based on the achievement of certain performance criteria.

Read SEC document
December 21, 2022 Filed Dec 21, 2022 21:32 UTC
Hallmark Specialty Insurance Co10% owner · Group (Note 1)
HALLMARK FINANCIAL SERVICES INC10% owner · Group (Note 1)
AMERICAN HALLMARK INSURANCE Co OF TEXAS10% owner · Group (Note 1)
Hallmark Insurance Co10% owner · Group (Note 1)
SaleCommon Stock 252,428 $1.60 $403,884.80
Disclosure

SEC source: 0001181580-22-000022 · primary_doc.xml · nonDerivative · entry 1

Hallmark Specialty Insurance Co · CIK 0001516730 · 10% owner · Group (Note 1)

HALLMARK FINANCIAL SERVICES INC · CIK 0000819913 · 10% owner · Group (Note 1)

AMERICAN HALLMARK INSURANCE Co OF TEXAS · CIK 0001457848 · 10% owner · Group (Note 1)

Hallmark Insurance Co · CIK 0001516774 · 10% owner · Group (Note 1)

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · ownership.direct: Each Reporting Person is a member of a "group" for purposes of Section 13(d)(3) of the Exchange Act. The group consists of Hallmark Financial Services, Inc. ("HFS"), American Hallmark Insurance Company of Texas ("AHIC"), Hallmark Insurance Company ("HIC"), Hallmark Specialty Insurance Company ("HSIC"), Newcastle Partners LP, Newcastle Capital Management LP, Newcastle Capital Group LLC, NCM Services, Inc., Schwarz 2012 Family Trust, and Mark E. Schwarz.

F2 · ownership.direct: Shares and transactions reported are owned directly by HSIC. HFS is the direct or indirect parent of each of AHIC, HIC, and HSIC.

Read SEC document
December 21, 2022 Filed Dec 21, 2022 21:50 UTC Amendment
Hallmark Insurance Co10% owner · Group (Note 1)
HALLMARK FINANCIAL SERVICES INC10% owner · Group (Note 1)
AMERICAN HALLMARK INSURANCE Co OF TEXAS10% owner · Group (Note 1)
Hallmark Specialty Insurance Co10% owner · Group (Note 1)
SaleCommon Stock 252,428 $1.60 $403,884.80
Disclosure

SEC source: 0001181580-22-000023 · primary_doc.xml · nonDerivative · entry 1

Hallmark Insurance Co · CIK 0001516774 · 10% owner · Group (Note 1)

HALLMARK FINANCIAL SERVICES INC · CIK 0000819913 · 10% owner · Group (Note 1)

AMERICAN HALLMARK INSURANCE Co OF TEXAS · CIK 0001457848 · 10% owner · Group (Note 1)

Hallmark Specialty Insurance Co · CIK 0001516730 · 10% owner · Group (Note 1)

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · ownership.direct: Each Reporting Person is a member of a "group" for purposes of Section 13(d)(3) of the Exchange Act. The group consists of Hallmark Financial Services, Inc. ("HFS"), American Hallmark Insurance Company of Texas ("AHIC"), Hallmark Insurance Company ("HIC"), Hallmark Specialty Insurance Company ("HSIC"), Newcastle Partners LP, Newcastle Capital Management LP, Newcastle Capital Group LLC, NCM Services, Inc., Schwarz 2012 Family Trust, and Mark E. Schwarz.

F2 · ownership.direct: Shares and transactions reported are owned directly by HIC. HFS is the direct or indirect parent of each of AHIC, HIC, and HSIC.

Read SEC document
December 21, 2022 Filed Dec 21, 2022 21:12 UTC
Hallmark Insurance Co10% owner · Group (Note 1)
HALLMARK FINANCIAL SERVICES INC10% owner · Group (Note 1)
AMERICAN HALLMARK INSURANCE Co OF TEXAS10% owner · Group (Note 1)
Hallmark Specialty Insurance Co10% owner · Group (Note 1)
SaleCommon Stock 252,428 $1.60 $403,884.80
Disclosure

SEC source: 0001181580-22-000021 · primary_doc.xml · nonDerivative · entry 1

Hallmark Insurance Co · CIK 0001516774 · 10% owner · Group (Note 1)

HALLMARK FINANCIAL SERVICES INC · CIK 0000819913 · 10% owner · Group (Note 1)

AMERICAN HALLMARK INSURANCE Co OF TEXAS · CIK 0001457848 · 10% owner · Group (Note 1)

Hallmark Specialty Insurance Co · CIK 0001516730 · 10% owner · Group (Note 1)

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · ownership.direct: Each Reporting Person is a member of a "group" for purposes of Section 13(d)(3) of the Exchange Act. The group consists of Hallmark Financial Services, Inc. ("HFS"), American Hallmark Insurance Company of Texas ("AHIC"), Hallmark Insurance Company ("HIC"), Hallmark Specialty Insurance Company ("HSIC"), Newcastle Partners, LP, Newcastle Capital Management LP, Newcastle Capital Group LLC, NCM Services, Inc., Schwarz 2012 Family Trust, and Mark E. Schwarz.

F2 · ownership.direct: Shares and transactions reported are owned directly by HIC. HFS is the direct or indirect parent of each of AHIC, HIC, and HSIC.

Read SEC document
December 21, 2022 Filed Dec 21, 2022 20:51 UTC
AMERICAN HALLMARK INSURANCE Co OF TEXAS10% owner · Group (Note 1)
HALLMARK FINANCIAL SERVICES INC10% owner · Group (Note 1)
Hallmark Insurance Co10% owner · Group (Note 1)
Hallmark Specialty Insurance Co10% owner · Group (Note 1)
SaleCommon Stock 1,741,230 $1.60 $2,785,968.00
Disclosure

SEC source: 0001181580-22-000020 · primary_doc.xml · nonDerivative · entry 1

AMERICAN HALLMARK INSURANCE Co OF TEXAS · CIK 0001457848 · 10% owner · Group (Note 1)

HALLMARK FINANCIAL SERVICES INC · CIK 0000819913 · 10% owner · Group (Note 1)

Hallmark Insurance Co · CIK 0001516774 · 10% owner · Group (Note 1)

Hallmark Specialty Insurance Co · CIK 0001516730 · 10% owner · Group (Note 1)

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · ownership.direct: Each Reporting Person is a member of a "group" for purposes of Section 13(d)(3) of the Exchange Act. The group consists of Hallmark Financial Services, Inc. ("HFS"), American Hallmark Insurance Company of Texas ("AHIC"), Hallmark Insurance Company ("HIC"), Hallmark Specialty Insurance Company ("HSIC"), Newcastle Partners LP, Newcastle Capital Management LP, Newcastle Capital Group LLC, NCM Services, Inc., Schwarz 2012 Family Trust, and Mark E. Schwarz.

F2 · ownership.direct: Shares and transactions reported are owned directly by AHIC. HFS is the direct or indirect parent of each of AHIC, HIC, and HSIC.

Read SEC document
November 09, 2022 Filed Nov 10, 2022 21:24 UTC
Solano BrandonPresident & CEO
PurchaseCommon Stock 24,650 $1.57 $38,700.50
Disclosure

SEC source: 0001181580-22-000019 · primary_doc.xml · nonDerivative · entry 1

Solano Brandon · CIK 0001659376 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,319

F1 · price: Represents the weighted average purchase price of transactions effected at prices ranging from $1.51 per share to $1.60 per share. Upon written request by the SEC, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price.

Read SEC document
June 27, 2022 Filed Jun 27, 2022 16:42 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
GrantDirector Stock Option (right to buy) · Derivative 40,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001181580-22-000018 · primary_doc.xml · derivative · entry 3

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-06-27

F2 · price: Granted as director stock options.

Read SEC document
June 11, 2022 Filed Jun 14, 2022 19:13 UTC GrantRestricted Stock Units · Derivative 60,000 $0.00 $0.00
Disclosure

SEC source: 0001181580-22-000016 · primary_doc.xml · derivative · entry 1

BURNS MICHAEL F JR · CIK 0001794488 · EVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · Not disclosed shares

Expires 2024-10-15

F1 · derivative.exercise_price: Each restricted stock unit represents the right to received shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F1 · derivative.underlying_shares: Each restricted stock unit represents the right to received shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

Read SEC document
June 11, 2022 Filed Jun 14, 2022 19:25 UTC GrantRestricted Stock Units · Derivative 40,000 $0.00 $0.00
Disclosure

SEC source: 0001181580-22-000017 · primary_doc.xml · derivative · entry 2

FENDLEY CLINTON DAYNE · CIK 0001798265 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · Not disclosed shares

Expires 2024-10-15

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F1 · derivative.underlying_shares: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

Read SEC document
June 11, 2022 Filed Jun 14, 2022 18:53 UTC
Solano BrandonPresident & CEO
GrantRestricted Stock Units · Derivative 262,500 $0.00 $0.00
Disclosure

SEC source: 0001181580-22-000015 · primary_doc.xml · derivative · entry 2

Solano Brandon · CIK 0001659376 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,500

Underlying: Common Stock · Not disclosed shares

Expires 2024-10-15

F1 · derivative.exercise_price: Each restricted stock unit represents the right to received shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

F1 · derivative.underlying_shares: Each restricted stock unit represents the right to received shares of common stock upon satisfaction of vesting requirements and performance criteria. The performance criteria are based on multiple financial metrics which, if at least minimum criteria are achieved, may yield from 50% to 150% of a share of common stock per restricted stock unit.

Read SEC document
June 08, 2022 Filed Jun 9, 2022 19:15 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 12,252 $0.98 $12,006.96
Disclosure

SEC source: 0001914789-22-000002 · primary_doc.xml · nonDerivative · entry 2

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares directly owned by Newcastle Partners, L.P.

Disclosed balance after: 3,092,125

F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed to beneficially own all shares held by any of the Trust, NCMS, NCG, NCM or NP.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 21:36 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 1,179 $0.89 $1,049.31
Disclosure

SEC source: 0001181580-22-000014 · primary_doc.xml · nonDerivative · entry 2

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares directly owned by Newcastle Partners, L.P.

Disclosed balance after: 3,079,873

F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. (NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P., ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed to beneficially own all shares held by any of the Trust, NCMS, NCG, NCM or NP.

Read SEC document
May 26, 2022 Filed May 26, 2022 20:36 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 10,986 $0.88 $9,667.68
Disclosure

SEC source: 0001181580-22-000011 · primary_doc.xml · nonDerivative · entry 4

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Directly owned by Newcastle Partners, L.P.

Disclosed balance after: 3,078,694

F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed the beneficial owner of all shares held by any of the Trust, NCMS, NCG, NCM or NP.

Read SEC document
May 25, 2022 Filed May 26, 2022 20:36 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 3,000 $0.87 $2,610.00
Disclosure

SEC source: 0001181580-22-000011 · primary_doc.xml · nonDerivative · entry 3

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Directly owned by Newcastle Partners, L.P.

Disclosed balance after: 3,067,708

F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed the beneficial owner of all shares held by any of the Trust, NCMS, NCG, NCM or NP.

Read SEC document
May 24, 2022 Filed May 26, 2022 20:36 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 990 $0.87 $861.30
Disclosure

SEC source: 0001181580-22-000011 · primary_doc.xml · nonDerivative · entry 2

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Directly owned by Newcastle Partners, L.P.

Disclosed balance after: 3,064,708

F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed the beneficial owner of all shares held by any of the Trust, NCMS, NCG, NCM or NP.

Read SEC document
May 23, 2022 Filed May 23, 2022 20:43 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 14,126 $0.87 $12,289.62
Disclosure

SEC source: 0001181580-22-000010 · primary_doc.xml · nonDerivative · entry 4

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Directly owned by Newcastle Partners, L.P.

Disclosed balance after: 3,063,718

F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2021 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP").

Read SEC document
May 20, 2022 Filed May 23, 2022 20:43 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 10,452 $0.88 $9,197.76
Disclosure

SEC source: 0001181580-22-000010 · primary_doc.xml · nonDerivative · entry 3

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Directly owned by Newcastle Partners, L.P.

Disclosed balance after: 3,049,592

F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2021 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP").

Read SEC document
May 19, 2022 Filed May 23, 2022 20:43 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 11,266 $0.89 $10,026.74
Disclosure

SEC source: 0001181580-22-000010 · primary_doc.xml · nonDerivative · entry 2

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Directly owned by Newcastle Partners, L.P.

Disclosed balance after: 3,039,140

F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2021 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP").

Read SEC document
May 18, 2022 Filed May 19, 2022 00:05 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 9,843 $0.90 $8,858.70
Disclosure

SEC source: 0001181580-22-000009 · edgar.xml · nonDerivative · entry 4

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Directly owned by by Newcastle Partners, L.P.

Disclosed balance after: 3,027,874

F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed the beneficial owner of all shares held by any of the Trust, NCMS, NCG, NCM or NP.

Read SEC document
May 17, 2022 Filed May 19, 2022 00:05 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 7,600 $0.90 $6,840.00
Disclosure

SEC source: 0001181580-22-000009 · edgar.xml · nonDerivative · entry 3

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Directly owned by by Newcastle Partners, L.P.

Disclosed balance after: 3,018,031

F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed the beneficial owner of all shares held by any of the Trust, NCMS, NCG, NCM or NP.

Read SEC document
May 16, 2022 Filed May 19, 2022 00:05 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 18,777 $0.88 $16,523.76
Disclosure

SEC source: 0001181580-22-000009 · edgar.xml · nonDerivative · entry 2

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Directly owned by by Newcastle Partners, L.P.

Disclosed balance after: 3,010,431

F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed the beneficial owner of all shares held by any of the Trust, NCMS, NCG, NCM or NP.

Read SEC document
May 12, 2022 Filed May 12, 2022 21:00 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 2,201 $0.87 $1,914.21
Disclosure

SEC source: 0001181580-22-000008 · edgar.xml · nonDerivative · entry 4

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Directly owned by by Newcastle Partners, L.P.

Disclosed balance after: 2,991,654

F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed the beneficial owner of all shares held by any of the Trust, NCMS, NCG, NCM or NP.

Read SEC document
May 12, 2022 Filed May 12, 2022 21:00 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 10,700 $0.87 $9,305.79
Disclosure

SEC source: 0001181580-22-000008 · edgar.xml · nonDerivative · entry 3

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,691

Read SEC document
May 11, 2022 Filed May 12, 2022 21:00 UTC
SCHWARZ MARK EDirector · Chairman · 10% owner
PurchaseCommon Stock 18,000 $0.86 $15,435.00
Disclosure

SEC source: 0001181580-22-000008 · edgar.xml · nonDerivative · entry 2

SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner

NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner

NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner

NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner

NCM SERVICES, INC. · CIK 0001586784 · 10% owner

Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,991

Read SEC document
May 10, 2022 Filed May 11, 2022 18:23 UTC
FENDLEY CLINTON DAYNEChief Financial Officer
PurchaseCommon Stock 28,700 $0.88 $25,198.60
Disclosure

SEC source: 0001181580-22-000006 · edgar.xml · nonDerivative · entry 1

FENDLEY CLINTON DAYNE · CIK 0001798265 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,416

F1 · price: Represents the weighted average purchase price of transactions effected at prices ranging from $0.86 per share to $0.88 per share. Upon written request by the SEC, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

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.