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Nasdaq · USD

RCKY

ROCKY BRANDS, INC.

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Tapewire entity
5833
SEC CIK
0000895456
Parsed reports
533

Last 12 months

Inside the activity.

2 purchase rows · 16 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202517
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202614
Aug 202605
Sep 202600
Oct 202600

Latest available

Insider transactions

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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
January 02, 2020 Filed Jan 6, 2020 17:00 UTC GrantStock Option (right to buy) · Derivative 4,000 $0.00 Strike: $29.43 $0.00
Disclosure

SEC source: 0001225208-20-000430 · doc4.xml · derivative · entry 2

STEWART JAMES L · CIK 0001216614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock, without par value · 4,000 shares

Expires 2025-01-02

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC GrantCommon Stock, without par value 254 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-000430 · doc4.xml · nonDerivative · entry 1

STEWART JAMES L · CIK 0001216614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,487

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC GrantStock Option (right to buy) · Derivative 4,000 $0.00 Strike: $29.43 $0.00
Disclosure

SEC source: 0001225208-20-000427 · doc4.xml · derivative · entry 2

Jordan William L · CIK 0001349868 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock, without par value · 4,000 shares

Expires 2025-01-02

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC GrantCommon Stock, without par value 254 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-000427 · doc4.xml · nonDerivative · entry 1

Jordan William L · CIK 0001349868 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,667

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC GrantStock Option (right to buy) · Derivative 4,000 $0.00 Strike: $29.43 $0.00
Disclosure

SEC source: 0001225208-20-000429 · doc4.xml · derivative · entry 2

Moore Robert Burton Jr. · CIK 0001703142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock, without par value · 4,000 shares

Expires 2025-01-02

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC GrantCommon Stock, without par value 254 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-000429 · doc4.xml · nonDerivative · entry 1

Moore Robert Burton Jr. · CIK 0001703142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,667

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC
LOVELAND CURTIS ADirector · Secretary
GrantStock Option (right to buy) · Derivative 4,000 $0.00 Strike: $29.43 $0.00
Disclosure

SEC source: 0001225208-20-000428 · doc4.xml · derivative · entry 3

LOVELAND CURTIS A · CIK 0000905223 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock, without par value · 4,000 shares

Expires 2025-01-02

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC
LOVELAND CURTIS ADirector · Secretary
GrantCommon Stock, without par value 254 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-000428 · doc4.xml · nonDerivative · entry 1

LOVELAND CURTIS A · CIK 0000905223 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,595

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC GrantStock Option (right to buy) · Derivative 4,000 $0.00 Strike: $29.43 $0.00
Disclosure

SEC source: 0001225208-20-000426 · doc4.xml · derivative · entry 2

Haning G Courtney · CIK 0001290422 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock, without par value · 4,000 shares

Expires 2025-01-02

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC GrantCommon Stock, without par value 254 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-000426 · doc4.xml · nonDerivative · entry 1

Haning G Courtney · CIK 0001290422 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,196

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC GrantStock Option (right to buy) · Derivative 4,000 $0.00 Strike: $29.43 $0.00
Disclosure

SEC source: 0001225208-20-000424 · doc4.xml · derivative · entry 2

CORLETT GLEN E · CIK 0001188615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock, without par value · 4,000 shares

Expires 2025-01-02

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC GrantCommon Stock, without par value 254 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-000424 · doc4.xml · nonDerivative · entry 1

CORLETT GLEN E · CIK 0001188615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,940

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC
BROOKS MIKEDirector · Chairman of the Board
GrantStock Option (right to buy) · Derivative 4,000 $0.00 Strike: $29.43 $0.00
Disclosure

SEC source: 0001225208-20-000423 · doc4.xml · derivative · entry 1

BROOKS MIKE · CIK 0000904913 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock, without par value · 4,000 shares

Expires 2025-01-02

Read SEC document
January 02, 2020 Filed Jan 6, 2020 17:00 UTC
Simms RichardPresident of Operations
GrantStock Option (right to buy) · Derivative 5,000 $0.00 Strike: $29.43 $0.00
Disclosure

SEC source: 0001225208-20-000421 · doc4.xml · derivative · entry 2

Simms Richard · CIK 0001516233 · President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock, without par value · 5,000 shares

Expires 2030-01-02

F1 · derivative.exercise_date: Option vests 20% per year beginning on the first anniversary of the date of grant.

Read SEC document
January 02, 2020 Filed Jan 6, 2020 16:59 UTC
Brooks JasonDirector · President and CEO
GrantStock Option (right to buy) · Derivative 5,000 $0.00 Strike: $29.43 $0.00
Disclosure

SEC source: 0001225208-20-000420 · doc4.xml · derivative · entry 2

Brooks Jason · CIK 0001516425 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock, without par value · 5,000 shares

Expires 2030-01-02

F1 · derivative.exercise_date: Option vests 20% per year beginning on the first anniversary of the date of grant.

Read SEC document
November 19, 2019 Filed Nov 20, 2019 17:09 UTC
Brooks JasonDirector · President and CEO
Exercise / conversionStock Option (right to buy) · Derivative 600 $0.00 Strike: $11.56 $0.00
Disclosure

SEC source: 0001225208-19-014696 · doc4.xml · derivative · entry 8

Brooks Jason · CIK 0001516425 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,200

Underlying: Common Stock, without par value · 600 shares

Expires 2026-01-04

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_date: Option vests 20% per year beginning on the first anniversary of the date of grant.

Read SEC document
November 19, 2019 Filed Nov 20, 2019 17:09 UTC
Brooks JasonDirector · President and CEO
Exercise / conversionStock Option (right to buy) · Derivative 1,000 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0001225208-19-014696 · doc4.xml · derivative · entry 7

Brooks Jason · CIK 0001516425 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock, without par value · 1,000 shares

Expires 2027-01-03

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_date: Option vests 20% per year beginning on the first anniversary of the date of grant.

Read SEC document
November 19, 2019 Filed Nov 20, 2019 17:09 UTC
Brooks JasonDirector · President and CEO
Exercise / conversionStock Option (right to buy) · Derivative 600 $0.00 Strike: $13.42 $0.00
Disclosure

SEC source: 0001225208-19-014696 · doc4.xml · derivative · entry 6

Brooks Jason · CIK 0001516425 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600

Underlying: Common Stock, without par value · 600 shares

Expires 2025-01-02

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_date: Option vests 20% per year beginning on the first anniversary of the date of grant.

Read SEC document
November 19, 2019 Filed Nov 20, 2019 17:09 UTC
Brooks JasonDirector · President and CEO
Exercise / conversionStock Option (right to buy) · Derivative 2,000 $0.00 Strike: $14.57 $0.00
Disclosure

SEC source: 0001225208-19-014696 · doc4.xml · derivative · entry 5

Brooks Jason · CIK 0001516425 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, without par value · 2,000 shares

Expires 2024-01-02

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_date: Option vests 20% per year beginning on the first anniversary of the date of grant.

Read SEC document
November 19, 2019 Filed Nov 20, 2019 17:09 UTC
Brooks JasonDirector · President and CEO
Exercise / conversionCommon Stock, without par value 600 $11.56 $6,936.00
Disclosure

SEC source: 0001225208-19-014696 · doc4.xml · nonDerivative · entry 4

Brooks Jason · CIK 0001516425 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,438

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
November 19, 2019 Filed Nov 20, 2019 17:09 UTC
Brooks JasonDirector · President and CEO
Exercise / conversionCommon Stock, without par value 600 $13.42 $8,052.00
Disclosure

SEC source: 0001225208-19-014696 · doc4.xml · nonDerivative · entry 3

Brooks Jason · CIK 0001516425 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,838

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
November 19, 2019 Filed Nov 20, 2019 17:09 UTC
Brooks JasonDirector · President and CEO
Exercise / conversionCommon Stock, without par value 1,000 $11.55 $11,550.00
Disclosure

SEC source: 0001225208-19-014696 · doc4.xml · nonDerivative · entry 2

Brooks Jason · CIK 0001516425 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,238

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
November 19, 2019 Filed Nov 20, 2019 17:09 UTC
Brooks JasonDirector · President and CEO
Exercise / conversionCommon Stock, without par value 2,000 $14.57 $29,140.00
Disclosure

SEC source: 0001225208-19-014696 · doc4.xml · nonDerivative · entry 1

Brooks Jason · CIK 0001516425 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,238

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
November 11, 2019 Filed Nov 12, 2019 20:47 UTC SaleCommon Stock, without par value 1,500 $30.76 $46,140.00
Disclosure

SEC source: 0001225208-19-014370 · doc4.xml · nonDerivative · entry 1

STEWART JAMES L · CIK 0001216614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,233

F1 · price: Price represents a weighted average of the sale price. Shares were sold at prices ranging from $30.28 to $31.24. Upon the request by the SEC staff, the Issuer, or a security holder of the Issuer, the reporting person will provide the full information about the number of shares sold at each separate price.

Read SEC document
November 07, 2019 Filed Nov 9, 2019 00:05 UTC
Brooks JasonDirector · President and CEO
SaleCommon Stock, without par value 4,000 $31.01 $124,022.80
Disclosure

SEC source: 0001225208-19-014326 · doc4.xml · nonDerivative · entry 1

Brooks Jason · CIK 0001516425 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,238

F1 · price: Price represents a weighted average of the sale price. Shares were sold at prices ranging from $30.89 to $31.10. Upon the request by the SEC staff, the Issuer, or a security holder of the Issuer, the reporting person will provide the full information about the number of shares sold at each separate price.

Read SEC document
November 06, 2019 Filed Mar 12, 2020 22:34 UTC
Brooks JasonDirector · President and CEO
GiftCommon Stock, without par value 1,000 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-004963 · doc4.xml · nonDerivative · entry 1

Brooks Jason · CIK 0001516425 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,238

Read SEC document
October 31, 2019 Filed Nov 4, 2019 17:10 UTC PurchaseCommon Stock, without par value 1,500 $27.80 $41,700.00
Disclosure

SEC source: 0001225208-19-014033 · doc4.xml · nonDerivative · entry 1

Moore Robert Burton Jr. · CIK 0001703142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,413

F1 · price: Price represents a weighted average of the purchase price. Shares were purchased at prices ranging from $27.73 to $27.86. Upon the request by the SEC staff, the Issuer, or a security holder of the Issuer, the reporting person will provide the full information about the number of shares purchased at each separate price.

Read SEC document
October 01, 2019 Filed Oct 3, 2019 15:35 UTC GrantCommon Stock, without par value 225 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-013104 · doc4.xml · nonDerivative · entry 1

Winbigler Tracie A. · CIK 0001788123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225

Read SEC document
October 01, 2019 Filed Oct 3, 2019 15:35 UTC GrantCommon Stock, without par value 225 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-013103 · doc4.xml · nonDerivative · entry 1

STEWART JAMES L · CIK 0001216614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,733

Read SEC document
October 01, 2019 Filed Oct 3, 2019 15:35 UTC GrantCommon Stock, without par value 225 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-013102 · doc4.xml · nonDerivative · entry 1

Moore Robert Burton Jr. · CIK 0001703142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,913

Read SEC document
October 01, 2019 Filed Oct 3, 2019 15:35 UTC
LOVELAND CURTIS ADirector · Secretary
GrantCommon Stock, without par value 225 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-013101 · doc4.xml · nonDerivative · entry 1

LOVELAND CURTIS A · CIK 0000905223 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,341

Read SEC document
October 01, 2019 Filed Oct 3, 2019 15:35 UTC GrantCommon Stock, without par value 225 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-013100 · doc4.xml · nonDerivative · entry 1

Jordan William L · CIK 0001349868 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,413

Read SEC document
October 01, 2019 Filed Oct 3, 2019 15:35 UTC GrantCommon Stock, without par value 225 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-013099 · doc4.xml · nonDerivative · entry 1

Haning G Courtney · CIK 0001290422 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,942

Read SEC document
October 01, 2019 Filed Oct 3, 2019 15:35 UTC GrantCommon Stock, without par value 225 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-013098 · doc4.xml · nonDerivative · entry 1

Finn Michael L · CIK 0001290423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,942

Read SEC document
October 01, 2019 Filed Oct 3, 2019 15:34 UTC GrantCommon Stock, without par value 225 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-013097 · doc4.xml · nonDerivative · entry 1

CORLETT GLEN E · CIK 0001188615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,686

Read SEC document
September 10, 2019 Filed Sep 11, 2019 15:10 UTC SaleCommon Stock, without par value 3,000 $29.98 $89,940.00
Disclosure

SEC source: 0001225208-19-012305 · doc4.xml · nonDerivative · entry 2

Finn Michael L · CIK 0001290423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,717

F2 · price: Price represents a weighted average of the sale price. Shares were sold at prices ranging from $29.83 to $30.06. Upon the request by the SEC staff, the Issuer, or a security holder of the Issuer, the reporting person will provide the full information about the number of shares sold at each separate price.

Read SEC document
September 09, 2019 Filed Sep 11, 2019 15:10 UTC SaleCommon Stock, without par value 2,000 $29.89 $59,780.00
Disclosure

SEC source: 0001225208-19-012305 · doc4.xml · nonDerivative · entry 1

Finn Michael L · CIK 0001290423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,717

F1 · price: Price represents a weighted average of the sale price. Shares were sold at prices ranging from $29.84 to $29.96. Upon the request by the SEC staff, the Issuer, or a security holder of the Issuer, the reporting person will provide the full information about the number of shares sold at each separate price.

Read SEC document
July 26, 2019 Filed Jul 26, 2019 20:53 UTC SaleCommon Stock, without par value 2,500 $30.17 $75,422.50
Disclosure

SEC source: 0001225208-19-010536 · doc4.xml · nonDerivative · entry 1

STEWART JAMES L · CIK 0001216614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,508

F1 · price: Price represents a weighted average of the sale price. Shares were sold at prices ranging from $30.09 to $30.31. Upon the request by the SEC staff, the Issuer, or a security holder of the Issuer, the reporting person will provide the full information about the number of shares sold at each separate price.

Read SEC document
July 26, 2019 Filed Jul 30, 2019 20:31 UTC
Dixon David P.President, Sourcing and Mfg
Exercise / conversionStock Option (right to buy) · Derivative 1,000 $0.00 Strike: $14.57 $0.00
Disclosure

SEC source: 0001225208-19-010651 · doc4.xml · derivative · entry 3

Dixon David P. · CIK 0001709434 · President, Sourcing and Mfg

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, without par value · 1,000 shares

Expires 2024-01-02

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
July 26, 2019 Filed Jul 30, 2019 20:31 UTC
Dixon David P.President, Sourcing and Mfg
SaleCommon Stock, without par value 1,000 $31.03 $31,030.00
Disclosure

SEC source: 0001225208-19-010651 · doc4.xml · nonDerivative · entry 2

Dixon David P. · CIK 0001709434 · President, Sourcing and Mfg

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,100

F1 · price: Price represents a weighted average of the sale price. Shares were sold at prices ranging from $30.98 to $31.06. Upon the request by the SEC staff, the Issuer, or a security holder of the Issuer, the reporting person will provide the full information about the number of shares sold at each separate price.

Read SEC document
July 26, 2019 Filed Jul 30, 2019 20:31 UTC
Dixon David P.President, Sourcing and Mfg
Exercise / conversionCommon Stock, without par value 1,000 $14.57 $14,570.00
Disclosure

SEC source: 0001225208-19-010651 · doc4.xml · nonDerivative · entry 1

Dixon David P. · CIK 0001709434 · President, Sourcing and Mfg

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,100

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
July 26, 2019 Filed Jul 30, 2019 20:31 UTC
Simms RichardPresident of Operations
Exercise / conversionStock Option (right to buy) · Derivative 1,800 $0.00 Strike: $11.56 $0.00
Disclosure

SEC source: 0001225208-19-010650 · doc4.xml · derivative · entry 9

Simms Richard · CIK 0001516233 · President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,200

Underlying: Common Stock, without par value · 1,800 shares

Expires 2026-01-04

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_date: Option vests 20% per year beginning on the first anniversary of the date of grant.

Read SEC document
July 26, 2019 Filed Jul 30, 2019 20:31 UTC
Simms RichardPresident of Operations
Exercise / conversionStock Option (right to buy) · Derivative 2,000 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0001225208-19-010650 · doc4.xml · derivative · entry 8

Simms Richard · CIK 0001516233 · President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock, without par value · 2,000 shares

Expires 2027-01-03

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_date: Option vests 20% per year beginning on the first anniversary of the date of grant.

Read SEC document
July 26, 2019 Filed Jul 30, 2019 20:31 UTC
Simms RichardPresident of Operations
Exercise / conversionStock Option (right to buy) · Derivative 900 $0.00 Strike: $13.42 $0.00
Disclosure

SEC source: 0001225208-19-010650 · doc4.xml · derivative · entry 7

Simms Richard · CIK 0001516233 · President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600

Underlying: Common Stock, without par value · 900 shares

Expires 2025-01-02

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_date: Option vests 20% per year beginning on the first anniversary of the date of grant.

Read SEC document
July 26, 2019 Filed Jul 30, 2019 20:31 UTC
Simms RichardPresident of Operations
Exercise / conversionStock Option (right to buy) · Derivative 400 $0.00 Strike: $14.57 $0.00
Disclosure

SEC source: 0001225208-19-010650 · doc4.xml · derivative · entry 6

Simms Richard · CIK 0001516233 · President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, without par value · 400 shares

Expires 2024-01-02

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_date: Option vests 20% per year beginning on the first anniversary of the date of grant.

Read SEC document
July 26, 2019 Filed Jul 30, 2019 20:31 UTC
Simms RichardPresident of Operations
SaleCommon Stock, without par value 8,200 $30.24 $247,977.02
Disclosure

SEC source: 0001225208-19-010650 · doc4.xml · nonDerivative · entry 5

Simms Richard · CIK 0001516233 · President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,495

F1 · price: Price represents a weighted average of the sale price. Shares were sold at prices ranging from $30.00 to $30.75. Upon the request by the SEC staff, the Issuer, or a security holder of the Issuer, the reporting person will provide the full information about the number of shares sold at each separate price.

Read SEC document
July 26, 2019 Filed Jul 30, 2019 20:31 UTC
Simms RichardPresident of Operations
Exercise / conversionCommon Stock, without par value 400 $14.57 $5,828.00
Disclosure

SEC source: 0001225208-19-010650 · doc4.xml · nonDerivative · entry 4

Simms Richard · CIK 0001516233 · President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,695

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
July 26, 2019 Filed Jul 30, 2019 20:31 UTC
Simms RichardPresident of Operations
Exercise / conversionCommon Stock, without par value 900 $13.42 $12,078.00
Disclosure

SEC source: 0001225208-19-010650 · doc4.xml · nonDerivative · entry 3

Simms Richard · CIK 0001516233 · President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,295

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.

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July 26, 2019 Filed Jul 30, 2019 20:31 UTC
Simms RichardPresident of Operations
Exercise / conversionCommon Stock, without par value 1,800 $11.56 $20,808.00
Disclosure

SEC source: 0001225208-19-010650 · doc4.xml · nonDerivative · entry 2

Simms Richard · CIK 0001516233 · President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,395

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
July 26, 2019 Filed Jul 30, 2019 20:31 UTC
Simms RichardPresident of Operations
Exercise / conversionCommon Stock, without par value 2,000 $11.55 $23,100.00
Disclosure

SEC source: 0001225208-19-010650 · doc4.xml · nonDerivative · entry 1

Simms Richard · CIK 0001516233 · President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,595

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

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