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Nasdaq · USD

RIOT

Riot Platforms, Inc.

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Tapewire entity
3724
SEC CIK
0001167419
Parsed reports
306

Last 12 months

Inside the activity.

0 purchase rows · 9 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 202600
Mar 202600
Apr 202600
May 202602
Jun 202602
Jul 202602
Aug 202603
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
July 01, 2024 Filed Jul 3, 2024 22:00 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
GrantCommon Stock 753,768 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-019272 · form4-07032024_060702.xml · nonDerivative · entry 3

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,354,854

F3 · shares: Represents the maximum achievable award of performance-based restricted shares of the Issuer's Common Stock, no par value per share, ("PRSAs") of up to a maximum of 200% of the target amount, which is 376,884 shares, during the three-year performance period from January 1, 2024 through December 31, 2026 (the "Performance Period"), granted to the Reporting Person, as authorized by the Committee under the LTIP, pursuant to an LTIP award agreement with the Issuer. These PRSAs are eligible to vest, if at all, based upon certification by the Committee of the Company's achievement, as of the end of the Performance Period, of certain performance objectives, and subject to the Reporting Persons continued service with the Issuer through July 1, 2027. Any unvested portion of the PRSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

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July 01, 2024 Filed Jul 3, 2024 22:00 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
GrantCommon Stock 376,884 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-019272 · form4-07032024_060702.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,601,086

F2 · shares: Represents the award of RSAs granted to the Reporting Person, as authorized by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Long-Term Incentive Program established, as of July 13, 2023, (the "LTIP"), pursuant to an LTIP award agreement with the Issuer. These shares are eligible to vest, if at all, in three approximately equal annual tranches as of July 1, 2025, July 1, 2026, and July 1, 2027, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Any unvested portion of the RSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

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July 01, 2024 Filed Jul 3, 2024 22:00 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
Tax withholdingCommon Stock 32,498 $9.95 $323,355.10
Disclosure

SEC source: 0001415889-24-019272 · form4-07032024_060702.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,224,202

F1 · shares: Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 61,606 restricted shares of the Issuer's Common Stock, no par value per share, previously issued to the Reporting Person as service-based restricted stock awards ("RSAs") granted under the Issuer's 2019 Equity Incentive Plan, as previously reported on Form 4 by the Reporting Person.

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July 01, 2024 Filed Jul 3, 2024 21:05 UTC GrantCommon Stock 24,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-019231 · form4-07032024_050705.xml · nonDerivative · entry 1

D'Ambrosio Lance Varro · CIK 0001611745 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,441

F1 · shares: Represents an award of restricted shares of the Issuer's common stock, no par value per share granted to the Reporting Person under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") as of the indicated date, in connection with service on the Issuer's Board of Directors through July 1, 2025. The shares are subject to restrictions and at risk of forfeiture until vested, as set forth in the applicable equity agreement with the Issuer. Such shares are eligible to vest, if at all, in four equal quarterly tranches after the grant date, subject to the Reporting Person's continued service with the Issuer through vesting.

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July 01, 2024 Filed Jul 3, 2024 21:00 UTC GrantCommon Stock 24,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-019220 · form4-07032024_050712.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,861

F1 · shares: Represents the unvested award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") as of the indicated date, in connection with service on the Issuer's Board of Directors through July 1, 2025. Each RSU represents the contingent right to receive one share of the Issuer's common stock, no par value per share ("Common Stock"), upon vesting and settlement by the Issuer. According to the equity award agreement covering the award, the RSUs are eligible to vest, if at all, in four equal quarterly tranches after the grant date, subject to the Reporting Person's continued service with the Issuer through vesting.

F2 · balance_after: Number of shares beneficially owned by the Reporting Person has been adjusted up by one share of Common Stock to correct for a rounding error in the previously reported total.

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July 01, 2024 Filed Jul 3, 2024 21:00 UTC
Cho HannahDirector
GrantCommon Stock 24,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-019219 · form4-07032024_050709.xml · nonDerivative · entry 1

Cho Hannah · CIK 0001846283 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,151

F1 · shares: Represents an award of restricted shares of the Issuer's common stock, no par value per share granted to the Reporting Person under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") as of the indicated date, in connection with service on the Issuer's Board of Directors through July 1, 2025. The shares are subject to restrictions and at risk of forfeiture until vested, as set forth in the applicable equity agreement with the Issuer. Such shares are eligible to vest, if at all, in four equal quarterly tranches after the grant date, subject to the Reporting Person's continued service with the Issuer through vesting.

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June 01, 2024 Filed Jun 4, 2024 01:00 UTC Tax withholdingCommon Stock 31,238 $9.75 $304,570.50
Disclosure

SEC source: 0001415889-24-015244 · form4-06032024_090606.xml · nonDerivative · entry 1

Werner Ryan D. · CIK 0001931824 · SVP, CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 431,521

F1 · shares: Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 74,294 restricted shares of the Issuer's Common Stock previously issued to the Reporting Person as restricted stock awards granted under the Issuer's 2019 Equity Incentive Plan, as previously reported on Form 4 by the Reporting Person.

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June 01, 2024 Filed Jun 4, 2024 01:00 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
Tax withholdingCommon Stock 797,890 $9.75 $7,779,427.50
Disclosure

SEC source: 0001415889-24-015243 · form4-06032024_090602.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,256,700

F1 · shares: Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 1,485,884 restricted shares of the Issuer's Common Stock previously issued to the Reporting Person as restricted stock awards granted under the Issuer's 2019 Equity Incentive Plan , as previously reported on Form 4 by the Reporting Person.

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March 15, 2024 Filed Mar 20, 2024 01:04 UTC SaleCommon Stock 35,000 $11.15 $390,250.00
Disclosure

SEC source: 0001415889-24-008702 · form4-03202024_010308.xml · nonDerivative · entry 1

Werner Ryan D. · CIK 0001931824 · SVP, CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 462,759

F1 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $11.15 to $11.1602, inclusive, per share. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transactions were effected.

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February 28, 2024 Filed Mar 2, 2024 01:59 UTC
Cho HannahDirector
SaleCommon Stock 15,000 $17.42 $261,300.00
Disclosure

SEC source: 0001415889-24-006202 · form4-03022024_010315.xml · nonDerivative · entry 1

Cho Hannah · CIK 0001846283 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,151

F1 · balance_after: Number of shares beneficially owned by the Reporting Person has been adjusted up by one common share to correct for a rounding error in the previously reported total.

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February 22, 2024 Filed Feb 27, 2024 00:27 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
Disposition to issuerCommon Stock 298,334 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-005342 · form4-02272024_120209.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,054,590

F2 · shares: Represents the return to the Issuer of the performance-based restricted shares of Common Stock originally awarded to the Reporting Person pursuant to the Performance Program which remained unvested as of the end of such Performance Program, as of February 22, 2024. Pursuant to the award agreement covering such award, any shares of restricted Common Stock remaining unvested as of the end of such Performance Program were automatically forfeited and returned to the Issuer, without consideration therefor.

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February 22, 2024 Filed Feb 27, 2024 00:27 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
Tax withholdingCommon Stock 15,754 $15.73 $247,810.42
Disclosure

SEC source: 0001415889-24-005342 · form4-02272024_120209.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,352,924

F1 · shares: Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 30,000 performance-based restricted shares of the Issuer's Common Stock, previously issued to the Reporting Person as restricted stock awards, which were eligible to vest, if at all, based on the Issuer's achievement of performance objectives established under the Issuer's 2019 Equity Plan as of August 12, 2021 (the "Performance Program"), as previously reported on Form 4 by the Reporting Person. Pursuant to the equity award agreements between the Issuer and the Reporting Person covering such awards, vested shares may be surrendered to the Issuer by the Reporting Person to cover applicable taxes incurred in connection with the vesting of such shares, as authorized and approved by the Issuer's Compensation and Human Resources Committee, which administers the Plan.

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February 22, 2024 Filed Feb 27, 2024 00:23 UTC
Yi Soo il BenjaminDirector · EXECUTIVE CHAIRMAN
Disposition to issuerCommon Stock 298,334 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-005340 · form4-02272024_120234.xml · nonDerivative · entry 1

Yi Soo il Benjamin · CIK 0001757880 · Director · EXECUTIVE CHAIRMAN

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,087,010

F1 · shares: Represents the return to the Issuer of the performance-based restricted shares of Common Stock originally awarded to the Reporting Person pursuant to the performance-incentive program established under the Issuer's 2019 Equity Plan as of August 12, 2021, which remained unvested as of the end of such performance program, as of February 22, 2024. Pursuant to the award agreement covering such award, any shares of restricted Common Stock remaining unvested as of the end of such performance program were automatically forfeited and returned to the Issuer, without consideration therefor.

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February 22, 2024 Filed Feb 27, 2024 00:22 UTC
Jackman William RichardEVP, GENERAL COUNSEL
Disposition to issuerCommon Stock 192,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-005338 · form4-02272024_120241.xml · nonDerivative · entry 1

Jackman William Richard · CIK 0001872927 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,755,557

F1 · shares: Represents the return to the Issuer of the performance-based restricted shares of Common Stock originally awarded to the Reporting Person pursuant to the performance-incentive program established under the Issuer's 2019 Equity Plan as of August 12, 2021, which remained unvested as of the end of such performance program, as of February 22, 2024. Pursuant to the award agreement covering such award, any shares of restricted Common Stock remaining unvested as of the end of such performance program were automatically forfeited and returned to the Issuer, without consideration therefor.

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February 22, 2024 Filed Feb 27, 2024 00:19 UTC
Chung JasonEVP, CORP DEV
Disposition to issuerCommon Stock 192,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-005336 · form4-02272024_120248.xml · nonDerivative · entry 1

Chung Jason · CIK 0001983861 · EVP, CORP DEV

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,665,037

F1 · shares: Represents the return to the Issuer of the performance-based restricted shares of Common Stock originally awarded to the Reporting Person pursuant to the performance-incentive program established under the Issuer's 2019 Equity Plan as of August 12, 2021, which remained unvested as of the end of such performance program, as of February 22, 2024. Pursuant to the award agreement covering such award, any shares of restricted Common Stock remaining unvested as of the end of such performance program were automatically forfeited and returned to the Issuer, without consideration therefor.

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February 22, 2024 Filed Feb 27, 2024 00:17 UTC Disposition to issuerCommon Stock 135,998 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-005333 · form4-02272024_120209.xml · nonDerivative · entry 2

Werner Ryan D. · CIK 0001931824 · SVP, CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 497,759

F2 · shares: Represents the return to the Issuer of the performance-based restricted shares of Common Stock originally awarded to the Reporting Person pursuant to the Performance Program which remained unvested as of the end of such Performance Program, as of February 22, 2024. Pursuant to the award agreement covering such award, any shares of restricted Common Stock remaining unvested as of the end of such Performance Program were automatically forfeited and returned to the Issuer, without consideration therefor.

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February 22, 2024 Filed Feb 27, 2024 00:17 UTC Tax withholdingCommon Stock 4,912 $15.73 $77,265.76
Disclosure

SEC source: 0001415889-24-005333 · form4-02272024_120209.xml · nonDerivative · entry 1

Werner Ryan D. · CIK 0001931824 · SVP, CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 633,757

F1 · shares: Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 12,000 performance-based restricted shares of the Issuer's Common Stock, previously issued to the Reporting Person as restricted stock awards, which were eligible to vest, if at all, based on the Issuer's achievement of performance objectives established under the Issuer's 2019 Equity Plan as of August 12, 2021 (the "Performance Program"), as previously reported on Form 4 by the Reporting Person. Pursuant to the equity award agreements between the Issuer and the Reporting Person covering such awards, vested shares may be surrendered to the Issuer by the Reporting Person to cover applicable taxes incurred in connection with the vesting of such shares, as authorized and approved by the Issuer's Compensation and Human Resources Committee, which administers the Plan.

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February 22, 2024 Filed Feb 27, 2024 00:14 UTC
Yee Colin M.EVP, CFO
Disposition to issuerCommon Stock 192,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-005331 · form4-02272024_120206.xml · nonDerivative · entry 1

Yee Colin M. · CIK 0001932352 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 162,006

F1 · shares: Represents the return to the Issuer of the performance-based restricted shares of Common Stock originally awarded to the Reporting Person pursuant to the performance-incentive program established under the Issuer's 2019 Equity Plan as of August 12, 2021, which remained unvested as of the end of such performance program, as of February 22, 2024. Pursuant to the award agreement covering such award, any shares of restricted Common Stock remaining unvested as of the end of such performance program were automatically forfeited and returned to the Issuer, without consideration therefor.

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January 03, 2024 Filed Jan 6, 2024 01:30 UTC
Yee Colin M.EVP, CFO
GrantRestricted Stock Units · Derivative 1,000,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001415889-24-000800 · form4-01052024_080101.xml · derivative · entry 1

Yee Colin M. · CIK 0001932352 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,369,639

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

F1 · security: Represents the award of performance-based restricted stock units ("RSUs") awarded to the Reporting Person, under the Issuer's Long-Term Incentive Program (the "LTIP") established, as of July 13, 2023, by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"), pursuant to an equity award agreement between the Issuer and Reporting Person (the "Award Agreement").

F2 · shares: The number of RSUs reported represents the maximum achievable award under the LTIP (200% of the target award). As set forth in the Award Agreement, the final number of RSUs to vest will be determined based on the Issuer's achievement, as of the end of the Award Term, of certain performance objectives established for it by the Committee under the LTIP, subject to the Reporting Person's continued service with the Issuer through vesting. Pursuant to the Award Agreement, the shares are subject to certain restrictions, including on transfer, and are at risk of forfeiture until vested.

F3 · derivative.exercise_date: Pursuant to the Award Agreement, the reported RSUs are eligible to vest as of the end of the Award Term, based on the Issuer's achievement of the performance objectives established for it under the LTIP by the Committee, subject to the Reporting Person's continuous service with the Issuer through vesting.

F3 · derivative.expiration_date: Pursuant to the Award Agreement, the reported RSUs are eligible to vest as of the end of the Award Term, based on the Issuer's achievement of the performance objectives established for it under the LTIP by the Committee, subject to the Reporting Person's continuous service with the Issuer through vesting.

F4 · derivative.underlying_shares: Each unvested RSU represents the contingent right to receive one (1) share of the Issuer's common stock, no par value per share, ("Common Stock") upon vesting and settlement by the Issuer in accordance with the Award Agreement and Equity Plan. The final number of shares of Common Stock to be issued to the Reporting Person will depend on the number of RSUs that vest as of the end of the Award Term, as well as any net settlement of such vested RSUs to satisfy any tax obligations due in connection with such vesting, as permitted by the Committee.

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January 03, 2024 Filed Jan 6, 2024 01:00 UTC
Chung JasonEVP, CORP DEV (SEE REMARKS)
GrantCommon Stock 1,000,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-000798 · form4-01052024_080105.xml · nonDerivative · entry 1

Chung Jason · CIK 0001983861 · EVP, CORP DEV (SEE REMARKS)

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,246,426

F1 · kind: Represents the award of performance-based restricted shares of the Issuer's Common Stock, no par value per share, ("Common Stock") awarded to the Reporting Person, under the Issuer's Long-Term Incentive Program (the "LTIP") established, as of July 13, 2023, by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"), pursuant to an equity award agreement between the Issuer and Reporting Person (the "Award Agreement").

F2 · shares: The number of restricted shares of Common Stock reported represents the maximum achievable award under the LTIP (200% of the target award). As set forth in the Award Agreement, the final number of shares of Common Stock to vest will be determined based on the Issuer's achievement, as of the end of the Award Term, of certain performance objectives established for it by the Committee under the LTIP, subject to the Reporting Person's continued service with the Issuer through vesting. Pursuant to the Award Agreement, the shares are subject to certain restrictions, including on transfer, and are at risk of forfeiture until vested.

Read SEC document
January 03, 2024 Filed Jan 6, 2024 01:00 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
GrantCommon Stock 5,000,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-000797 · form4-01052024_080101.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,368,678

F1 · kind: Represents the award of performance-based restricted shares of the Issuer's Common Stock, no par value per share, ("Common Stock") awarded to the Reporting Person, under the Issuer's Long-Term Incentive Program (the "LTIP") established, as of July 13, 2023, by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"), pursuant to an equity award agreement between the Issuer and Reporting Person (the "Award Agreement").

F2 · shares: The number of restricted shares of Common Stock reported represents the maximum achievable award under the LTIP (200% of the target award). As set forth in the Award Agreement, the final number of shares of Common Stock to vest will be determined based on the Issuer's achievement, as of the end of the Award Term, of certain performance objectives established for it by the Committee under the LTIP, subject to the Reporting Person's continued service with the Issuer through vesting. Pursuant to the Award Agreement, the shares are subject to certain restrictions, including on transfer, and are at risk of forfeiture until vested.

Read SEC document
January 03, 2024 Filed Jan 6, 2024 00:30 UTC
Yi Soo il BenjaminDirector · EXECUTIVE CHAIRMAN
GrantCommon Stock 5,000,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-000796 · form4-01052024_070114.xml · nonDerivative · entry 1

Yi Soo il Benjamin · CIK 0001757880 · Director · EXECUTIVE CHAIRMAN

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,385,344

F1 · kind: 'Represents the award of performance-based restricted shares of the Issuer's Common Stock, no par value per share, ("Common Stock") awarded to the Reporting Person, under the Issuer's Long-Term Incentive Program (the "LTIP") established, as of July 13, 2023, by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"), pursuant to an equity award agreement between the Issuer and Reporting Person (the "Award Agreement").

F2 · shares: The number of restricted shares of Common Stock reported represents the maximum achievable award under the LTIP (200% of the target award). As set forth in the Award Agreement, the final number of shares of Common Stock to vest will be determined based on the Issuer's achievement, as of the end of the Award Term, of certain performance objectives established for it by the Committee under the LTIP, subject to the the Reporting Person's continued service with the Issuer through vesting. Pursuant to the Award Agreement, the shares are subject to certain restrictions, including on transfer, and are at risk of forfeiture until vested.

F3 · balance_after: Excludes 1,000,000 shares held in trust by the Reporting Person.

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January 03, 2024 Filed Jan 6, 2024 00:30 UTC
Jackman William RichardEVP, GENERAL COUNSEL
GrantCommon Stock 1,000,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-000795 · form4-01052024_070108.xml · nonDerivative · entry 1

Jackman William Richard · CIK 0001872927 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,947,557

F1 · kind: Represents the award of performance-based restricted shares of the Issuer's Common Stock, no par value per share, ("Common Stock") awarded to the Reporting Person, under the Issuer's Long-Term Incentive Program (the "LTIP") established, as of July 13, 2023, by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"), pursuant to an equity award agreement between the Issuer and Reporting Person (the "Award Agreement").

F2 · shares: The number of restricted shares of Common Stock reported represents the maximum achievable award under the LTIP (200% of the target award). As set forth in the Award Agreement, the final number of shares of Common Stock to vest will be determined based on the Issuer's achievement, as of the end of the Award Term, of certain performance objectives established for it by the Committee under the LTIP, subject to the Reporting Person's continued service with the Issuer through vesting. Pursuant to the Award Agreement, the shares are subject to certain restrictions, including on transfer, and are at risk of forfeiture until vested.

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January 03, 2024 Filed Jan 5, 2024 23:29 UTC GrantCommon Stock 300,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-000789 · form4-01052024_110140.xml · nonDerivative · entry 1

Werner Ryan D. · CIK 0001931824 · SVP, CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 638,669

F1 · kind: Represents the award of performance-based restricted shares of the Issuer's Common Stock, no par value per share, ("Common Stock") awarded to the Reporting Person, under the Issuer's Long-Term Incentive Program (the "LTIP") established, as of July 13, 2023, by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"), pursuant to an equity award agreement between the Issuer and Reporting Person (the "Award Agreement").

F2 · shares: The number of restricted shares of Common Stock reported represents the maximum achievable award under the LTIP (200% of the target award). As set forth in the Award Agreement, the final number of shares of Common Stock to vest will be determined based on the Issuer's achievement, as of the end of the Award Term, of certain performance objectives established for it by the Committee under the LTIP, subject to the Reporting Person's continued service with the Issuer through vesting. Pursuant to the Award Agreement, the shares are subject to certain restrictions, including on transfer, and are at risk of forfeiture until vested.

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January 03, 2024 Filed Feb 2, 2024 02:58 UTC Amendment
Chung JasonEVP, CORP DEV
GrantCommon Stock 1,000,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-002228 · form4a-02022024_020256.xml · nonDerivative · entry 1

Chung Jason · CIK 0001983861 · EVP, CORP DEV

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,857,037

F1 · balance_after: On January 5, 2024, a Form 4 was filed that, due to administrative error, inadvertently disclosed incorrect information regarding the amount of securities beneficially owned following the transaction, as indicated. Accordingly, this amended Form 4 is being filed solely to supply the correct amount of securities beneficially owned following the reported transaction.

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December 29, 2023 Filed Jan 4, 2024 01:17 UTC GrantCommon Stock 32,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-000474 · form4-01042024_010143.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,860

F1 · shares: Represents the unvested award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") as of the indicated date, in connection with service on the Issuer's Board of Directors (the "Board") through 2024. Each RSU represents the contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") upon vesting and settlement by the Issuer. According to the equity award agreement covering the award, the RSUs are eligible to vest, if at all, in four equal quarterly tranches after the grant date, subject to the Reporting Person's continued service with the Issuer through vesting.

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December 29, 2023 Filed Jan 4, 2024 01:06 UTC GrantCommon Stock 32,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-000468 · form4-01042024_010142.xml · nonDerivative · entry 1

D'Ambrosio Lance Varro · CIK 0001611745 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,441

F1 · shares: Represents an award of restricted shares of the Issuer's common stock, no par value per share, ("Common Stock") granted to the Reporting Person under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") as of the indicated date, in connection with service on the Issuer's Board of Directors (the "Board") through 2024. The shares are subject to restrictions and at risk of forfeiture until vested, as set forth in the applicable equity agreement with the Issuer, dated as of the indicated grant date. The shares are eligible to vest, if at all, in four equal quarterly tranches after the grant date, subject to the Reporting Person's continued service with the Issuer through vesting.

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December 29, 2023 Filed Jan 4, 2024 00:06 UTC
Cho HannahDirector
GrantCommon Stock 32,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-000395 · form4-01042024_120114.xml · nonDerivative · entry 1

Cho Hannah · CIK 0001846283 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,150

F1 · shares: Represents an award of restricted shares of the Issuer's common stock, no par value per share, ("Common Stock") granted to the Reporting Person under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") as of the indicated date, in connection with service on the Issuer's Board of Directors (the "Board") through 2024. The shares are subject to restrictions and at risk of forfeiture until vested, as set forth in the applicable equity agreement with the Issuer, dated as of the indicated grant date. The shares are eligible to vest, if at all, in four equal quarterly tranches after the grant date, subject to the Reporting Person's continued service with the Issuer through vesting.

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December 15, 2023 Filed Jan 5, 2024 23:01 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
GiftCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-000786 · form5-01052024_110148.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,021,867

F1 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

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December 08, 2023 Filed Dec 12, 2023 23:33 UTC
Jackman William RichardEVP, GENERAL COUNSEL
SaleCommon Stock 57,000 $15.68 $893,668.80
Disclosure

SEC source: 0001415889-23-016325 · form4-12122023_111207.xml · nonDerivative · entry 1

Jackman William Richard · CIK 0001872927 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 947,557

F1 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $15.67 to $15.7101, inclusive, per share. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transactions were effected.

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August 17, 2023 Filed Aug 22, 2023 00:18 UTC SaleCommon Stock 51,165 $12.28 $628,306.20
Disclosure

SEC source: 0001415889-23-012448 · form4-08222023_120804.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,860

F1 · price: These shares of the Issuer's Common Stock were sold in a series of multiple transactions at prices ranging from $11.70 to $12.70 per share, inclusive. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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July 17, 2023 Filed Jul 19, 2023 22:51 UTC SaleCommon Stock 26,000 $19.16 $498,160.00
Disclosure

SEC source: 0001415889-23-011350 · form4-07192023_100702.xml · nonDerivative · entry 1

D'Ambrosio Lance Varro · CIK 0001611745 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,441

F1 · shares: The reported sales were executed under a Rule 10b5-1 trading plan adopted by the Reporting Person as of September 15, 2022.

F2 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $19.09 to $19.17, inclusive, per share. The price reported above reflects the weighted average sale price of the reported transaction. The Reporting Person hereby undertakes to provide, upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

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July 13, 2023 Filed Jul 17, 2023 23:26 UTC
Yi Soo il BenjaminDirector · EXECUTIVE CHAIRMAN
GrantCommon Stock 369,640 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-011205 · form4-07172023_110714.xml · nonDerivative · entry 2

Yi Soo il Benjamin · CIK 0001757880 · Director · EXECUTIVE CHAIRMAN

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,385,344

F1 · kind: Represents a grant of unvested restricted shares of the Issuer's Common Stock, no par value per share, (the "Restricted Shares") granted to the Reporting Person, as compensation for services to the Issuer, according to the Long-Term Incentive Program established, as of July 13, 2023, (the "LTIP") by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"). According to the award agreement between the Issuer and Reporting Person governing such award (the "Award Agreement"), the final number of Restricted Shares to vest shall be determined as of the end of the Award Term, based on (i) the Reporting Person's continued employment with the Issuer through vesting, and (ii) the Issuer's achievement of certain performance objectives established for it by the Committee under the LTIP.

F3 · shares: Represents the maximum achievable award of performance-based restricted shares of the Issuer's Common Stock ("PRSAs") of up to a maximum of 200% of the target amount, which is 184,820, during the three-year performance period from January 1, 2023 through December 31, 2025 (the "Performance Period"), granted to the Reporting Person, as authorized by the Committee under the LTIP, pursuant to an LTIP award agreement with the Issuer. These PRSAs are eligible to vest, if at all, based upon certification by the Committee of the Company's achievement, as of the end of the Performance Period, of performance objectives, and subject to the Reporting Persons continued service with the Issuer through July 31, 2026. Any unvested portion of the PRSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

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July 13, 2023 Filed Jul 17, 2023 23:26 UTC
Yi Soo il BenjaminDirector · EXECUTIVE CHAIRMAN
GrantCommon Stock 184,820 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-011205 · form4-07172023_110714.xml · nonDerivative · entry 1

Yi Soo il Benjamin · CIK 0001757880 · Director · EXECUTIVE CHAIRMAN

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,015,704

F1 · kind: Represents a grant of unvested restricted shares of the Issuer's Common Stock, no par value per share, (the "Restricted Shares") granted to the Reporting Person, as compensation for services to the Issuer, according to the Long-Term Incentive Program established, as of July 13, 2023, (the "LTIP") by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"). According to the award agreement between the Issuer and Reporting Person governing such award (the "Award Agreement"), the final number of Restricted Shares to vest shall be determined as of the end of the Award Term, based on (i) the Reporting Person's continued employment with the Issuer through vesting, and (ii) the Issuer's achievement of certain performance objectives established for it by the Committee under the LTIP.

F2 · shares: Represents the award of service-based restricted shares of the Issuer's Common Stock ("RSAs") granted to the Reporting Person, as authorized by the Committee under the LTIP, as compensation for serving as the Issuer's Executive Chairman, pursuant to an LTIP award agreement with the Issuer. These shares are eligible to vest, if at all, in three approximately equal annual tranches as of July 1, 2024, July 1, 2025 and July 1, 2026, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Any unvested portion of the RSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

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July 13, 2023 Filed Jul 17, 2023 23:24 UTC
Jackman William RichardEVP, GENERAL COUNSEL
GrantCommon Stock 246,426 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-011203 · form4-07172023_110705.xml · nonDerivative · entry 2

Jackman William Richard · CIK 0001872927 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,004,557

F1 · kind: Represents a grant of unvested restricted shares of the Issuer's Common Stock, no par value per share, (the "Restricted Shares") granted to the Reporting Person, as compensation for services to the Issuer, according to the Long-Term Incentive Program established, as of July 13, 2023, (the "LTIP") by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"). According to the award agreement between the Issuer and Reporting Person governing such award (the "Award Agreement"), the final number of Restricted Shares to vest shall be determined as of the end of the Award Term, based on (i) the Reporting Person's continued employment with the Issuer through vesting, and (ii) the Issuer's achievement of certain performance objectives established for it by the Committee under the LTIP.

F3 · shares: Represents the maximum achievable award of performance-based restricted shares of the Issuer's Common Stock ("PRSAs") of up to a maximum of 200% of the target amount, which is 123,213, during the three-year performance period from January 1, 2023 through December 31, 2025 (the "Performance Period"), granted to the Reporting Person, as authorized by the Committee under the LTIP, pursuant to an LTIP award agreement with the Issuer. These PRSAs are eligible to vest, if at all, based upon certification by the Committee of the Company's achievement, as of the end of the Performance Period, of performance objectives, and subject to the Reporting Persons continued service with the Issuer through July 31, 2026. Any unvested portion of the PRSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

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July 13, 2023 Filed Jul 17, 2023 23:24 UTC
Jackman William RichardEVP, GENERAL COUNSEL
GrantCommon Stock 123,213 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-011203 · form4-07172023_110705.xml · nonDerivative · entry 1

Jackman William Richard · CIK 0001872927 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 758,131

F1 · kind: Represents a grant of unvested restricted shares of the Issuer's Common Stock, no par value per share, (the "Restricted Shares") granted to the Reporting Person, as compensation for services to the Issuer, according to the Long-Term Incentive Program established, as of July 13, 2023, (the "LTIP") by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"). According to the award agreement between the Issuer and Reporting Person governing such award (the "Award Agreement"), the final number of Restricted Shares to vest shall be determined as of the end of the Award Term, based on (i) the Reporting Person's continued employment with the Issuer through vesting, and (ii) the Issuer's achievement of certain performance objectives established for it by the Committee under the LTIP.

F2 · shares: Represents the award of service-based restricted shares of the Issuer's Common Stock ("RSAs") granted to the Reporting Person, as authorized by the Committee under the LTIP, as compensation for serving as the Issuer's EVP and General Counsel, pursuant to an LTIP award agreement with the Issuer. These shares are eligible to vest, if at all, in three approximately equal annual tranches as of July 1, 2024, July 1, 2025 and July 1, 2026, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Any unvested portion of the RSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

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July 13, 2023 Filed Jul 17, 2023 23:22 UTC
Yee Colin M.EVP, CFO
GrantRestricted Stock Units · Derivative 123,213 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001415889-23-011201 · form4-07172023_110703.xml · derivative · entry 2

Yee Colin M. · CIK 0001932352 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 369,639

Underlying: Common Stock · 123,213 shares

Expires not disclosed

F6 · shares: Represents the maximum number of service-based RSUs granted to the Reporting Person by the Issuer, as of the indicated date, pursuant to the LTIP established under the Equity Plan, which are subject to vesting and restrictions, as set forth in the Award Agreement.

F7 · derivative.exercise_date: Pursuant to the Award Agreement, the RSUs reported on this line are eligible to vest in three (3) approximately equal tranches as of July 1, 2024, 2025, and 2026, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates.

F7 · derivative.expiration_date: Pursuant to the Award Agreement, the RSUs reported on this line are eligible to vest in three (3) approximately equal tranches as of July 1, 2024, 2025, and 2026, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates.

F4 · derivative.underlying_shares: Each unvested RSU represents the contingent right to receive one (1) share of Common Stock upon vesting and settlement by the Issuer in accordance with its compensation practices and the Equity Plan. The actual number of shares of Common Stock to be issued to the Reporting Person will depend on the number of RSUs that vest, as well as any net settlement thereof to satisfy any tax obligations due, as permitted by the Committee.

F5 · balance_after: Represents the total number of RSUs held or beneficially owned, directly and indirectly, by the Reporting Person, following the reported transaction.

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July 13, 2023 Filed Jul 17, 2023 23:22 UTC
Yee Colin M.EVP, CFO
GrantRestricted Stock Units · Derivative 246,426 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001415889-23-011201 · form4-07172023_110703.xml · derivative · entry 1

Yee Colin M. · CIK 0001932352 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 246,426

Underlying: Common Stock · 246,426 shares

Expires not disclosed

F1 · security: Represents an unvested award of restricted stock units ("RSUs") of the Issuer's Common Stock, no par value per share, ("Common Stock") granted to the Reporting Person by the Issuer under its 2019 Equity Incentive Plan, as amended, (the "Equity Plan") pursuant to an equity award agreement, dated as of July 13, 2023, between the Issuer and Reporting Person (the "Award Agreement"). Subject and pursuant to the Award Agreement, vested RSUs are convertible into shares of Common Stock, on a one-for-one basis, upon settlement by the Issuer.

F2 · shares: Represents the maximum number of performance-based RSUs granted to the Reporting Person by the Issuer pursuant to the Long-Term Incentive Program (the "LTIP") established by the Issuer's Compensation and Human Resources Committee (the "Committee") under the Equity Plan, which are eligible to vest based on the Issuer's achievement of certain performance objectives established for it under the LTIP for the period ended December 31, 2025 (the "Performance Period").

F3 · derivative.exercise_date: Pursuant to the Award Agreement, the RSUs reported on this line are eligible to vest as of the end of the Award Term based on the Issuer's achievement of certain performance objectives established for it under the LTIP for the Performance Period, subject to the Reporting Person's continuous service with the Issuer through the Award Term.

F3 · derivative.expiration_date: Pursuant to the Award Agreement, the RSUs reported on this line are eligible to vest as of the end of the Award Term based on the Issuer's achievement of certain performance objectives established for it under the LTIP for the Performance Period, subject to the Reporting Person's continuous service with the Issuer through the Award Term.

F4 · derivative.underlying_shares: Each unvested RSU represents the contingent right to receive one (1) share of Common Stock upon vesting and settlement by the Issuer in accordance with its compensation practices and the Equity Plan. The actual number of shares of Common Stock to be issued to the Reporting Person will depend on the number of RSUs that vest, as well as any net settlement thereof to satisfy any tax obligations due, as permitted by the Committee.

F5 · balance_after: Represents the total number of RSUs held or beneficially owned, directly and indirectly, by the Reporting Person, following the reported transaction.

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July 13, 2023 Filed Jul 17, 2023 23:17 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
GrantCommon Stock 369,640 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-011199 · form4-07172023_110704.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,393,389

F1 · kind: Represents a grant of unvested restricted shares of the Issuer's Common Stock, no par value per share, (the "Restricted Shares") granted to the Reporting Person, as compensation for services to the Issuer, according to the Long-Term Incentive Program established, as of July 13, 2023, (the "LTIP") by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"). According to the award agreement between the Issuer and Reporting Person governing such award (the "Award Agreement"), the final number of Restricted Shares to vest shall be determined as of the end of the Award Term, based on (i) the Reporting Person's continued employment with the Issuer through vesting, and (ii) the Issuer's achievement of certain performance objectives established for it by the Committee under the LTIP.

F3 · shares: Represents the maximum achievable award of performance-based restricted shares of the Issuer's Common Stock ("PRSAs") of up to a maximum of 200% of the target amount, which is 184,820, during the three-year performance period from January 1, 2023 through December 31, 2025 (the "Performance Period"), granted to the Reporting Person, as authorized by the Committee under the LTIP, pursuant to an LTIP award agreement with the Issuer. These PRSAs are eligible to vest, if at all, based upon certification by the Committee of the Company's achievement, as of the end of the Performance Period, of performance objectives, and subject to the Reporting Persons continued service with the Issuer through July 31, 2026. Any unvested portion of the PRSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

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July 13, 2023 Filed Jul 17, 2023 23:17 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
GrantCommon Stock 184,820 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-011199 · form4-07172023_110704.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,023,749

F1 · kind: Represents a grant of unvested restricted shares of the Issuer's Common Stock, no par value per share, (the "Restricted Shares") granted to the Reporting Person, as compensation for services to the Issuer, according to the Long-Term Incentive Program established, as of July 13, 2023, (the "LTIP") by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"). According to the award agreement between the Issuer and Reporting Person governing such award (the "Award Agreement"), the final number of Restricted Shares to vest shall be determined as of the end of the Award Term, based on (i) the Reporting Person's continued employment with the Issuer through vesting, and (ii) the Issuer's achievement of certain performance objectives established for it by the Committee under the LTIP.

F2 · shares: Represents the award of service-based restricted shares of the Issuer's Common Stock ("RSAs") granted to the Reporting Person, as authorized by the Committee under the LTIP, as compensation for serving as the Issuer's Chief Executive Officer, pursuant to an LTIP award agreement with the Issuer. These shares are eligible to vest, if at all, in three approximately equal annual tranches as of July 1, 2024, July 1, 2025 and July 1, 2026, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Any unvested portion of the RSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

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July 13, 2023 Filed Jul 17, 2023 23:13 UTC GrantCommon Stock 39,428 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-011197 · form4-07172023_110702.xml · nonDerivative · entry 2

Werner Ryan D. · CIK 0001931824 · SVP, CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 338,669

F1 · kind: Represents a grant of unvested restricted shares of the Issuer's Common Stock, no par value per share, (the "Restricted Shares") granted to the Reporting Person, as compensation for services to the Issuer, according to the Long-Term Incentive Program established, as of July 13, 2023, (the "LTIP") by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"). According to the award agreement between the Issuer and Reporting Person governing such award (the "Award Agreement"), the final number of Restricted Shares to vest shall be determined as of the end of the Award Term, based on (i) the Reporting Person's continued employment with the Issuer through vesting, and (ii) the Issuer's achievement of certain performance objectives established for it by the Committee under the LTIP.

F3 · shares: Represents the maximum achievable award of performance-based restricted shares of the Issuer's Common Stock ("PRSAs") of up to a maximum of 200% of the target amount, which is 39,428, during the three-year performance period from January 1, 2023 through December 31, 2025 (the "Performance Period"), granted to the Reporting Person, as authorized by the Committee under the LTIP, pursuant to an LTIP award agreement with the Issuer. These PRSAs are eligible to vest, if at all, based upon certification by the Committee of the Company's achievement, as of the end of the Performance Period, of performance objectives, and subject to the Reporting Persons continued service with the Issuer through July 31, 2026. Any unvested portion of the PRSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

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July 13, 2023 Filed Jul 17, 2023 23:13 UTC GrantCommon Stock 19,714 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-011197 · form4-07172023_110702.xml · nonDerivative · entry 1

Werner Ryan D. · CIK 0001931824 · SVP, CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 299,241

F1 · kind: Represents a grant of unvested restricted shares of the Issuer's Common Stock, no par value per share, (the "Restricted Shares") granted to the Reporting Person, as compensation for services to the Issuer, according to the Long-Term Incentive Program established, as of July 13, 2023, (the "LTIP") by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"). According to the award agreement between the Issuer and Reporting Person governing such award (the "Award Agreement"), the final number of Restricted Shares to vest shall be determined as of the end of the Award Term, based on (i) the Reporting Person's continued employment with the Issuer through vesting, and (ii) the Issuer's achievement of certain performance objectives established for it by the Committee under the LTIP.

F2 · shares: Represents the award of service-based restricted shares of the Issuer's Common Stock ("RSAs") granted to the Reporting Person, as authorized by the Committee under the LTIP, as compensation for serving as the Issuer's SVP and Chief Accounting Officer, pursuant to an LTIP award agreement with the Issuer. These shares are eligible to vest, if at all, in three approximately equal annual tranches as of July 1, 2024, July 1, 2025 and July 1, 2026, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Any unvested portion of the RSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

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July 10, 2023 Filed Jul 12, 2023 22:35 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
Tax withholdingCommon Stock 8,622 $16.86 $145,366.92
Disclosure

SEC source: 0001415889-23-011059 · form4-07122023_100709.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,838,929

F1 · shares: Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 16,666 performance-based restricted shares of the Issuer's Common Stock, previously issued to the Reporting Person as restricted stock awards, which are eligible to vest, if at all, based on the Issuer's achievement of performance objectives established under the performance plan, as previously reported on Form 4 by the Reporting Person. Pursuant to the equity award agreements between the Issuer and the Reporting Person covering such awards, vested shares may be surrendered to the Issuer by the Reporting Person to cover applicable taxes incurred in connection with the vesting of such shares, as authorized and approved by the Issuer's Compensation and Human Resources Committee, which administers the Plan.

F2 · balance_after: Excludes 718,406 shares previously owned directly which were contributed to the Issuers trust, the Jason M. Les, Trust, dated March 8, 2021, on July 12, 2023.

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July 10, 2023 Filed Jul 12, 2023 21:09 UTC Tax withholdingCommon Stock 3,272 $16.86 $55,165.92
Disclosure

SEC source: 0001415889-23-011055 · form4-07122023_090728.xml · nonDerivative · entry 1

Werner Ryan D. · CIK 0001931824 · SVP, CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 279,527

F1 · shares: Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 8,000 performance-based restricted shares of the Issuer's Common Stock, previously issued to the Reporting Person as restricted stock awards, which are eligible to vest, if at all, based on the Issuer's achievement of performance objectives established under the performance plan, as previously reported on Form 4 by the Reporting Person. Pursuant to the equity award agreements between the Issuer and the Reporting Person covering such awards, vested shares may be surrendered to the Issuer by the Reporting Person to cover applicable taxes incurred in connection with the vesting of such shares, as authorized and approved by the Issuer's Compensation and Human Resources Committee, which administers the Plan.

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June 02, 2023 Filed Jun 6, 2023 01:37 UTC
Yi Soo il BenjaminDirector · EXECUTIVE CHAIRMAN
SaleCommon Stock 50,051 $12.49 $625,136.99
Disclosure

SEC source: 0001415889-23-009305 · form4-06062023_010611.xml · nonDerivative · entry 3

Yi Soo il Benjamin · CIK 0001757880 · Director · EXECUTIVE CHAIRMAN

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,830,884

F3 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $12.38 to $12.69, inclusive, per share. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transactions were effected.

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June 02, 2023 Filed Jun 6, 2023 01:37 UTC
Yi Soo il BenjaminDirector · EXECUTIVE CHAIRMAN
SaleCommon Stock 435,833 $11.70 $5,099,246.10
Disclosure

SEC source: 0001415889-23-009305 · form4-06062023_010611.xml · nonDerivative · entry 2

Yi Soo il Benjamin · CIK 0001757880 · Director · EXECUTIVE CHAIRMAN

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,880,935

F2 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $11.38 to $12.37, inclusive, per share. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transactions were effected.

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June 02, 2023 Filed Jun 6, 2023 01:26 UTC
Jackman William RichardEVP, GENERAL COUNSEL
SaleCommon Stock 371,471 $12.13 $4,505,943.23
Disclosure

SEC source: 0001415889-23-009301 · form4-06062023_010626.xml · nonDerivative · entry 1

Jackman William Richard · CIK 0001872927 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 634,918

F1 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $11.67 to $12.61, inclusive, per share. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transactions were effected.

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June 01, 2023 Filed Jun 2, 2023 20:28 UTC Tax withholdingCommon Stock 30,587 $12.41 $379,584.67
Disclosure

SEC source: 0001415889-23-009101 · form4-06022023_080652.xml · nonDerivative · entry 2

Werner Ryan D. · CIK 0001931824 · SVP, CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 282,799

F2 · shares: Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 74,294 restricted shares of the Issuer's Common Stock previously issued to the Reporting Person as restricted stock awards granted under the Issuer's equity incentive plan (the "Plan"), as previously reported on Form 4 by the Reporting Person. Pursuant to the equity award agreements between the Issuer and the Reporting Person covering such awards, vested shares may be surrendered to the Issuer by the Reporting Person to cover applicable taxes incurred in connection with the vesting of such shares, as authorized and approved by the Issuer's Compensation and Human Resources Committee, which administers the Plan.

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June 01, 2023 Filed Jun 6, 2023 01:37 UTC
Yi Soo il BenjaminDirector · EXECUTIVE CHAIRMAN
SaleCommon Stock 274,696 $12.02 $3,301,845.92
Disclosure

SEC source: 0001415889-23-009305 · form4-06062023_010611.xml · nonDerivative · entry 1

Yi Soo il Benjamin · CIK 0001757880 · Director · EXECUTIVE CHAIRMAN

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,316,768

F1 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $12.02 to $12.08, inclusive, per share. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transactions were effected.

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June 01, 2023 Filed Jun 6, 2023 01:31 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
Tax withholdingCommon Stock 767,478 $12.41 $9,524,401.98
Disclosure

SEC source: 0001415889-23-009303 · form4-06062023_010609.xml · nonDerivative · entry 3

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,565,957

F4 · shares: Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 1,485,884 restricted shares of the Issuer's Common Stock previously issued to the Reporting Person as restricted stock awards granted under the Issuer's equity incentive plan (the "Plan"), as previously reported on Form 4 by the Reporting Person. Pursuant to the equity award agreements between the Issuer and the Reporting Person covering such awards, vested shares may be surrendered to the Issuer by the Reporting Person to cover applicable taxes incurred in connection with the vesting of such shares, as authorized and approved by the Issuer's Compensation and Human Resources Committee, which administers the Plan.

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