Tapewire

Nasdaq · USD

RBBN

Ribbon Communications Inc.

Export transactions ↓
Tapewire entity
5785
SEC CIK
0001708055
Parsed reports
487

Last 12 months

Inside the activity.

3 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202630
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

JSON API
Reset

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 11, 2020 Filed Mar 13, 2020 20:37 UTC
McClelland Bruce WilliamDirector · President & CEO
PurchaseCommon Stock 20,000 $2.58 $51,592.00
Disclosure

SEC source: 0001708055-20-000042 · edgar.xml · nonDerivative · entry 1

McClelland Bruce William · CIK 0001424201 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,575

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.575 to $2.58, inclusive. The reporting person undertakes to provide to Ribbon Communications Inc. ("Ribbon"), any security holder of Ribbon, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price with the ranges set forth in this footnote.

Read SEC document
March 09, 2020 Filed Mar 10, 2020 21:36 UTC
McClelland Bruce WilliamDirector · President & CEO
PurchaseCommon Stock 11,414 $2.88 $32,880.31
Disclosure

SEC source: 0001708055-20-000040 · edgar.xml · nonDerivative · entry 2

McClelland Bruce William · CIK 0001424201 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,575

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.85 to $2.96, inclusive. The reporting person undertakes to provide to Ribbon, any security holder of Ribbon, or the Staff, upon request, full information regarding the number of shares sold at each separate price with the ranges set forth in this footnote.

Read SEC document
March 06, 2020 Filed Mar 10, 2020 21:36 UTC
McClelland Bruce WilliamDirector · President & CEO
PurchaseCommon Stock 24,161 $3.06 $73,894.00
Disclosure

SEC source: 0001708055-20-000040 · edgar.xml · nonDerivative · entry 1

McClelland Bruce William · CIK 0001424201 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,161

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.0399 to $3.09, inclusive. The reporting person undertakes to provide to Ribbon Communications Inc. ("Ribbon"), any security holder of Ribbon, or the staff of the Securities and Exchange Commission (the "Staff"), upon request, full information regarding the number of shares purchased at each separate price with the ranges set forth in this footnote.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 22:16 UTC GrantRestricted Stock Units · Derivative 4,089 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000031 · edgar.xml · derivative · entry 1

Raiford Daryl · CIK 0001405026 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,089

Underlying: Common Stock · 4,089 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The number of RSUs was determined based on the Issuer's calculation of its 2019 pre-bonus adjusted EBITDA metric compared to pre-established goals that were set by the Compensation Committee (the "Compensation Committee") of the Issuer's Board of Directors.

F2 · derivative.exercise_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Raiford earned 4,089 shares, pending his continued employment with the Issuer through March 15, 2022.

F2 · derivative.expiration_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Raiford earned 4,089 shares, pending his continued employment with the Issuer through March 15, 2022.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 17:15 UTC
Scarfo AnthonyEVP, Products & R&D
GrantRestricted Stock Units · Derivative 4,381 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000029 · edgar.xml · derivative · entry 1

Scarfo Anthony · CIK 0001550524 · EVP, Products & R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,381

Underlying: Common Stock · 4,381 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The number of RSUs was determined based on the Issuer's calculation of its 2019 pre-bonus adjusted EBITDA metric compared to pre-established goals that were set by the Compensation Committee (the "Compensation Committee") of the Issuer's Board of Directors.

F2 · derivative.exercise_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Scarfo earned 4,381 shares, pending his continued employment with the Issuer through March 15, 2022.

F2 · derivative.expiration_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Scarfo earned 4,381 shares, pending his continued employment with the Issuer through March 15, 2022.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 22:17 UTC
Joggerst PatrickCMO & EVP Business Development
GrantRestricted Stock Units · Derivative 2,045 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000034 · edgar.xml · derivative · entry 1

Joggerst Patrick · CIK 0001556832 · CMO & EVP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,045

Underlying: Common Stock · 2,045 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The number of RSUs was determined based on the Issuer's calculation of its 2019 pre-bonus adjusted EBITDA metric compared to pre-established goals that were set by the Compensation Committee (the "Compensation Committee") of the Issuer's Board of Directors.

F2 · derivative.exercise_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Joggerst earned 2,045 shares, pending his continued employment with the Issuer through March 15, 2022.

F2 · derivative.expiration_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Joggerst earned 2,045 shares, pending his continued employment with the Issuer through March 15, 2022.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 17:16 UTC
Riley Kevin W.CTO & EVP of Advanced R&D
GrantRestricted Stock Units · Derivative 2,337 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000030 · edgar.xml · derivative · entry 1

Riley Kevin W. · CIK 0001615890 · CTO & EVP of Advanced R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,337

Underlying: Common Stock · 2,337 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The number of RSUs was determined based on the Issuer's calculation of its 2019 pre-bonus adjusted EBITDA metric compared to pre-established goals that were set by the Compensation Committee (the "Compensation Committee") of the Issuer's Board of Directors.

F2 · derivative.exercise_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Riley earned 2,337 shares, pending his continued employment with the Issuer through March 15, 2022.

F2 · derivative.expiration_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Riley earned 2,337 shares, pending his continued employment with the Issuer through March 15, 2022.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 17:18 UTC
Ferguson Justin K.EVP and General Counsel
GrantRestricted Stock Units · Derivative 3,797 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000035 · edgar.xml · derivative · entry 1

Ferguson Justin K. · CIK 0001655819 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,797

Underlying: Common Stock · 3,797 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The number of RSUs was determined based on the Issuer's calculation of its 2019 pre-bonus adjusted EBITDA metric compared to pre-established goals that were set by the Compensation Committee (the "Compensation Committee") of the Issuer's Board of Directors.

F2 · derivative.exercise_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Ferguson earned 3,797 shares, pending his continued employment with the Issuer through March 15, 2022.

F2 · derivative.expiration_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Ferguson earned 3,797 shares, pending his continued employment with the Issuer through March 15, 2022.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 22:18 UTC
Bruny Steven MEVP Global Operations
GrantRestricted Stock Units · Derivative 4,381 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000036 · edgar.xml · derivative · entry 1

Bruny Steven M · CIK 0001720723 · EVP Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,381

Underlying: Common Stock · 4,381 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The number of RSUs was determined based on the Issuer's calculation of its 2019 pre-bonus adjusted EBITDA metric compared to pre-established goals that were set by the Compensation Committee (the "Compensation Committee") of the Issuer's Board of Directors.

F2 · derivative.exercise_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Bruny earned 4,381 shares, pending his continued employment with the Issuer through March 15, 2022.

F2 · derivative.expiration_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Bruny earned 4,381 shares, pending his continued employment with the Issuer through March 15, 2022.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 22:17 UTC
Marmurek Eric SSVP and CAO
GrantRestricted Stock Units · Derivative 2,216 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000033 · edgar.xml · derivative · entry 1

Marmurek Eric S · CIK 0001720721 · SVP and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,216

Underlying: Common Stock · 2,216 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The number of RSUs was determined based on the Issuer's calculation of its 2019 pre-bonus adjusted EBITDA metric compared to pre-established goals that were set by the Compensation Committee (the "Compensation Committee") of the Issuer's Board of Directors.

F2 · derivative.exercise_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Marmurek earned 2,216 shares, pending his continued employment with the Issuer through March 15, 2022.

F2 · derivative.expiration_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. Marmurek earned 2,216 shares, pending his continued employment with the Issuer through March 15, 2022.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 22:17 UTC
McCready John REVP & Chief Strategy Officer
GrantRestricted Stock Units · Derivative 2,337 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000032 · edgar.xml · derivative · entry 1

McCready John R · CIK 0001720719 · EVP & Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,337

Underlying: Common Stock · 2,337 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The number of RSUs was determined based on the Issuer's calculation of its 2019 pre-bonus adjusted EBITDA metric compared to pre-established goals that were set by the Compensation Committee (the "Compensation Committee") of the Issuer's Board of Directors.

F2 · derivative.exercise_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. McCready earned 2,337 shares, pending his continued employment with the Issuer through March 15, 2022.

F2 · derivative.expiration_date: On February 11, 2020, the Compensation Committee determined that the 2019 pre-bonus adjusted EBITDA metric was achieved at the 30.493% level, subject to no material changes in connection with the finalization of the 2019 audit and the filing of the Issuer's Annual Report on Form 10-K for the year ended December 31, 2019 (the "2019 Form 10-K"). The 2019 Form 10-K was filed with the U.S. Securities and Exchange Commission on February 28, 2020. As a result, Mr. McCready earned 2,337 shares, pending his continued employment with the Issuer through March 15, 2022.

Read SEC document
February 27, 2020 Filed Feb 28, 2020 16:30 UTC
MATHY KENTDirector
PurchaseCommon Stock 28,500 $3.23 $92,055.00
Disclosure

SEC source: 0001104659-20-027157 · a4.xml · nonDerivative · entry 1

MATHY KENT · CIK 0001684548 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,076

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.20 and $3.23, inclusive. The reporting person undertakes to provide Ribbon Communications Inc., any security holder of Ribbon Communications Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price with the ranges set forth in this footnote.

Read SEC document
February 25, 2020 Filed Feb 27, 2020 22:18 UTC PurchaseCommon Stock 25,000 $3.58 $89,500.00
Disclosure

SEC source: 0001104659-20-026311 · a4.xml · nonDerivative · entry 1

Lynch Richard J. · CIK 0001407680 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,408

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.53 and $3.58, inclusive. The reporting person undertakes to provide Ribbon Communications Inc., any security holder of Ribbon Communications Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price with the ranges set forth in this footnote.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 16:49 UTC
MATHY KENTDirector
Exercise / conversionRestricted Stock Units (RSUs) · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000010 · edgar.xml · derivative · entry 3

MATHY KENT · CIK 0001684548 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

F2 · derivative.expiration_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 16:49 UTC
MATHY KENTDirector
GrantRestricted Stock Units (RSUs) · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000010 · edgar.xml · derivative · entry 2

MATHY KENT · CIK 0001684548 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

F2 · derivative.expiration_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 16:49 UTC
MATHY KENTDirector
Exercise / conversionCommon Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001708055-20-000010 · edgar.xml · nonDerivative · entry 1

MATHY KENT · CIK 0001684548 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,576

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 · price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:48 UTC Exercise / conversionRestricted Stock Units (RSUs) · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000009 · edgar.xml · derivative · entry 3

Lynch Richard J. · CIK 0001407680 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

F2 · derivative.expiration_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:48 UTC GrantRestricted Stock Units (RSUs) · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000009 · edgar.xml · derivative · entry 2

Lynch Richard J. · CIK 0001407680 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

F2 · derivative.expiration_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:48 UTC Exercise / conversionCommon Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001708055-20-000009 · edgar.xml · nonDerivative · entry 1

Lynch Richard J. · CIK 0001407680 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,408

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 · price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 16:49 UTC Exercise / conversionRestricted Stock Units (RSUs) · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000011 · edgar.xml · derivative · entry 3

SCHUBERT SCOTT E · CIK 0001231288 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

F2 · derivative.expiration_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 16:49 UTC GrantRestricted Stock Units (RSUs) · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000011 · edgar.xml · derivative · entry 2

SCHUBERT SCOTT E · CIK 0001231288 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

F2 · derivative.expiration_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 16:49 UTC Exercise / conversionCommon Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001708055-20-000011 · edgar.xml · nonDerivative · entry 1

SCHUBERT SCOTT E · CIK 0001231288 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,036

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 · price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:50 UTC Exercise / conversionRestricted Stock Units (RSUs) · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000012 · edgar.xml · derivative · entry 3

GRAYSON BRUNS H · CIK 0001204899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

F2 · derivative.expiration_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:50 UTC GrantRestricted Stock Units (RSUs) · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000012 · edgar.xml · derivative · entry 2

GRAYSON BRUNS H · CIK 0001204899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

F2 · derivative.expiration_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:50 UTC Exercise / conversionCommon Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001708055-20-000012 · edgar.xml · nonDerivative · entry 1

GRAYSON BRUNS H · CIK 0001204899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,076

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 · price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:51 UTC Exercise / conversionRestricted Stock Units (RSUs) · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000014 · edgar.xml · derivative · entry 3

INFANTE BEATRIZ V · CIK 0001193369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

F2 · derivative.expiration_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:51 UTC GrantRestricted Stock Units (RSUs) · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000014 · edgar.xml · derivative · entry 2

INFANTE BEATRIZ V · CIK 0001193369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

F2 · derivative.expiration_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:51 UTC Exercise / conversionCommon Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001708055-20-000014 · edgar.xml · nonDerivative · entry 1

INFANTE BEATRIZ V · CIK 0001193369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,929

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 · price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:51 UTC Exercise / conversionRestricted Stock Units (RSUs) · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000013 · edgar.xml · derivative · entry 3

Fennebresque Kim S · CIK 0001361379 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

F2 · derivative.expiration_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:51 UTC GrantRestricted Stock Units (RSUs) · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001708055-20-000013 · edgar.xml · derivative · entry 2

Fennebresque Kim S · CIK 0001361379 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

F2 · derivative.expiration_date: The restricted stock units (RSUs) were granted to the Reporting Person on February 21, 2020. 100% of these RSUs vest immediately upon grant.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:51 UTC Exercise / conversionCommon Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001708055-20-000013 · edgar.xml · nonDerivative · entry 1

Fennebresque Kim S · CIK 0001361379 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,076

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 · price: Restricted stock units convert into Ribbon Communications Inc. common stock on a one-for-one basis.

Read SEC document
February 18, 2020 Filed Feb 20, 2020 16:46 UTC
Scarfo AnthonyEVP, Products & R&D
SaleCommon Stock 4,645 $3.01 $13,979.13
Disclosure

SEC source: 0001708055-20-000002 · edgar.xml · nonDerivative · entry 1

Scarfo Anthony · CIK 0001550524 · EVP, Products & R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,954

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 instruction letter previously adopted by the Reporting Person and represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock awards.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:27 UTC Exercise / conversionRestricted Stock Units · Derivative 3,333 $0.00 $0.00
Disclosure

SEC source: 0001708055-19-000054 · edgar.xml · derivative · entry 3

Raiford Daryl · CIK 0001405026 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 3,333 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: 20,000 restricted stock units were granted to the Reporting Person on June 15, 2018, vesting over a three-year period. One-third of those restricted stock units vested on June 17, 2019, one-sixth vested on December 16, 2019 and the remainder of the restricted stock units will vest in three equal, semi-annual installments thereafter through June 15, 2021.

F3 · derivative.expiration_date: 20,000 restricted stock units were granted to the Reporting Person on June 15, 2018, vesting over a three-year period. One-third of those restricted stock units vested on June 17, 2019, one-sixth vested on December 16, 2019 and the remainder of the restricted stock units will vest in three equal, semi-annual installments thereafter through June 15, 2021.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:27 UTC SaleCommon Stock 1,326 $2.80 $3,712.80
Disclosure

SEC source: 0001708055-19-000054 · edgar.xml · nonDerivative · entry 2

Raiford Daryl · CIK 0001405026 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,489

F2 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 instruction letter previously adopted by the Reporting Person and represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:27 UTC Exercise / conversionCommon Stock 3,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001708055-19-000054 · edgar.xml · nonDerivative · entry 1

Raiford Daryl · CIK 0001405026 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,815

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 17:26 UTC
Scarfo AnthonyEVP, Products & R&D
Exercise / conversionRestricted Stock Units · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001708055-19-000053 · edgar.xml · derivative · entry 3

Scarfo Anthony · CIK 0001550524 · EVP, Products & R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,499

Underlying: Common Stock · 2,500 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: 15,000 restricted stock units were granted to the Reporting Person on June 15, 2018, vesting over a three-year period. One-third of those restricted stock units vested on June 17, 2019, one-sixth vested on December 16, 2019 and the remainder of the restricted stock units will vest in three equal, semi-annual installments thereafter through June 15, 2021

F3 · derivative.expiration_date: 15,000 restricted stock units were granted to the Reporting Person on June 15, 2018, vesting over a three-year period. One-third of those restricted stock units vested on June 17, 2019, one-sixth vested on December 16, 2019 and the remainder of the restricted stock units will vest in three equal, semi-annual installments thereafter through June 15, 2021

Read SEC document
December 16, 2019 Filed Dec 18, 2019 17:26 UTC
Scarfo AnthonyEVP, Products & R&D
SaleCommon Stock 1,156 $2.80 $3,236.80
Disclosure

SEC source: 0001708055-19-000053 · edgar.xml · nonDerivative · entry 2

Scarfo Anthony · CIK 0001550524 · EVP, Products & R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,599

F2 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 instruction letter previously adopted by the Reporting Person and represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 17:26 UTC
Scarfo AnthonyEVP, Products & R&D
Exercise / conversionCommon Stock 2,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001708055-19-000053 · edgar.xml · nonDerivative · entry 1

Scarfo Anthony · CIK 0001550524 · EVP, Products & R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,755

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:23 UTC
Joggerst PatrickCMO & EVP Business Development
Exercise / conversionRestricted Stock Units · Derivative 4,166 $0.00 $0.00
Disclosure

SEC source: 0001708055-19-000050 · edgar.xml · derivative · entry 3

Joggerst Patrick · CIK 0001556832 · CMO & EVP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 4,166 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: 25,000 restricted stock units were granted to the Reporting Person on June 15, 2018, vesting over a three-year period. One-third of those restricted stock units vested on June 17, 2019, one-sixth vested on December 16, 2019 and the remainder of the restricted stock units will vest in three equal, semi-annual installments thereafter through June 15, 2021.

F3 · derivative.expiration_date: 25,000 restricted stock units were granted to the Reporting Person on June 15, 2018, vesting over a three-year period. One-third of those restricted stock units vested on June 17, 2019, one-sixth vested on December 16, 2019 and the remainder of the restricted stock units will vest in three equal, semi-annual installments thereafter through June 15, 2021.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:23 UTC
Joggerst PatrickCMO & EVP Business Development
SaleCommon Stock 1,391 $2.80 $3,894.80
Disclosure

SEC source: 0001708055-19-000050 · edgar.xml · nonDerivative · entry 2

Joggerst Patrick · CIK 0001556832 · CMO & EVP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,515

F2 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 instruction letter previously adopted by the Reporting Person and represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:23 UTC
Joggerst PatrickCMO & EVP Business Development
Exercise / conversionCommon Stock 4,166 Not disclosed Not disclosed
Disclosure

SEC source: 0001708055-19-000050 · edgar.xml · nonDerivative · entry 1

Joggerst Patrick · CIK 0001556832 · CMO & EVP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,906

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 17:26 UTC
Riley Kevin W.Interim Co-CEO and President
Exercise / conversionRestricted Stock Units · Derivative 6,667 $0.00 $0.00
Disclosure

SEC source: 0001708055-19-000052 · edgar.xml · derivative · entry 3

Riley Kevin W. · CIK 0001615890 · Interim Co-CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,999

Underlying: Common Stock · 6,667 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: 40,000 restricted stock units were granted to the Reporting Person on June 15, 2018, vesting over a three-year period. One-third of those restricted stock units vested on June 17, 2019, one-sixth vested on December 16, 2019 and the remainder of the restricted stock units will vest in three equal, semi-annual installments thereafter through June 15, 2021.

F3 · derivative.expiration_date: 40,000 restricted stock units were granted to the Reporting Person on June 15, 2018, vesting over a three-year period. One-third of those restricted stock units vested on June 17, 2019, one-sixth vested on December 16, 2019 and the remainder of the restricted stock units will vest in three equal, semi-annual installments thereafter through June 15, 2021.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 17:26 UTC
Riley Kevin W.Interim Co-CEO and President
SaleCommon Stock 1,978 $2.80 $5,538.40
Disclosure

SEC source: 0001708055-19-000052 · edgar.xml · nonDerivative · entry 2

Riley Kevin W. · CIK 0001615890 · Interim Co-CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,579

F2 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 instruction letter previously adopted by the Reporting Person and represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 17:26 UTC
Riley Kevin W.Interim Co-CEO and President
Exercise / conversionCommon Stock 6,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001708055-19-000052 · edgar.xml · nonDerivative · entry 1

Riley Kevin W. · CIK 0001615890 · Interim Co-CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,557

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:28 UTC
McCready John REVP and Chief Strategy Officer
Exercise / conversionRestricted Stock Units · Derivative 4,167 $0.00 $0.00
Disclosure

SEC source: 0001708055-19-000055 · edgar.xml · derivative · entry 4

McCready John R · CIK 0001720719 · EVP and Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,499

Underlying: Common Stock · 4,167 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: 25,000 restricted stock units were granted to the Reporting Person on June 15, 2018, vesting over a three-year period. One-third of those restricted stock units vested on June 17, 2019, one-sixth vested on December 16, 2019 and the remainder of the restricted stock units will vest in three equal, semi-annual installments thereafter through June 15, 2021.

F4 · derivative.expiration_date: 25,000 restricted stock units were granted to the Reporting Person on June 15, 2018, vesting over a three-year period. One-third of those restricted stock units vested on June 17, 2019, one-sixth vested on December 16, 2019 and the remainder of the restricted stock units will vest in three equal, semi-annual installments thereafter through June 15, 2021.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:28 UTC
McCready John REVP and Chief Strategy Officer
SaleCommon Stock 1,239 $2.80 $3,469.20
Disclosure

SEC source: 0001708055-19-000055 · edgar.xml · nonDerivative · entry 3

McCready John R · CIK 0001720719 · EVP and Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,777

F3 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 instruction letter previously adopted by the Reporting Person and represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:28 UTC
McCready John REVP and Chief Strategy Officer
Exercise / conversionCommon Stock 4,167 Not disclosed Not disclosed
Disclosure

SEC source: 0001708055-19-000055 · edgar.xml · nonDerivative · entry 2

McCready John R · CIK 0001720719 · EVP and Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,016

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.

F2 · price: Restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:24 UTC
Bruny Steven MInterim Co-CEO and President
Exercise / conversionRestricted Stock Units · Derivative 6,667 $0.00 $0.00
Disclosure

SEC source: 0001708055-19-000051 · edgar.xml · derivative · entry 3

Bruny Steven M · CIK 0001720723 · Interim Co-CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,999

Underlying: Common Stock · 6,667 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: 40,000 restricted stock units were granted to the Reporting Person on June 15, 2018, vesting over a three-year period. One-third of those restricted stock units vested on June 17, 2019, one-sixth vested on December 16, 2019 and the remainder of the restricted stock units will vest in three equal, semi-annual installments thereafter through June 15, 2021.

F3 · derivative.expiration_date: 40,000 restricted stock units were granted to the Reporting Person on June 15, 2018, vesting over a three-year period. One-third of those restricted stock units vested on June 17, 2019, one-sixth vested on December 16, 2019 and the remainder of the restricted stock units will vest in three equal, semi-annual installments thereafter through June 15, 2021.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:24 UTC
Bruny Steven MInterim Co-CEO and President
SaleCommon Stock 2,954 $2.80 $8,271.20
Disclosure

SEC source: 0001708055-19-000051 · edgar.xml · nonDerivative · entry 2

Bruny Steven M · CIK 0001720723 · Interim Co-CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,941

F2 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 instruction letter previously adopted by the Reporting Person and represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:24 UTC
Bruny Steven MInterim Co-CEO and President
Exercise / conversionCommon Stock 6,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001708055-19-000051 · edgar.xml · nonDerivative · entry 1

Bruny Steven M · CIK 0001720723 · Interim Co-CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,895

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

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.