Tapewire

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
June 01, 2023 Filed Jun 6, 2023 01:31 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
GiftCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-009303 · form4-06062023_010609.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 351,794

F3 · shares: The reported disposition represents a bona fide gift made by the Reporting Person.

F2 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

Read SEC document
June 01, 2023 Filed Jun 6, 2023 01:31 UTC
Les JasonDirector · CHIEF EXECUTIVE OFFICER
SaleCommon Stock 50,000 $11.63 $581,500.00
Disclosure

SEC source: 0001415889-23-009303 · form4-06062023_010609.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: 356,794

F1 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $11.6159 to $11.6822, 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.

F2 · 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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May 31, 2023 Filed Jun 2, 2023 20:28 UTC SaleCommon Stock 22,333 $11.92 $266,209.36
Disclosure

SEC source: 0001415889-23-009101 · form4-06022023_080652.xml · nonDerivative · entry 1

Werner Ryan D. · CIK 0001931824 · SVP, CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 313,386

F1 · price: These shares of the Issuer's Common Stock were sold in a series of multiple transactions at prices ranging from $11.87 to $11.97 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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May 30, 2023 Filed Jun 1, 2023 22:52 UTC
Cho HannahDirector
SaleCommon Stock 14,000 $12.26 $171,640.00
Disclosure

SEC source: 0001415889-23-009030 · form4-06012023_100634.xml · nonDerivative · entry 1

Cho Hannah · CIK 0001846283 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,150

F1 · price: These shares of the Issuer's Common Stock were sold in a series of multiple transactions at prices ranging from $12.25 to $12.26 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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May 25, 2023 Filed May 30, 2023 22:06 UTC SaleCommon Stock 50,283 $10.93 $549,593.19
Disclosure

SEC source: 0001415889-23-008929 · form4-05302023_100558.xml · nonDerivative · entry 1

Yee Colin M. · CIK 0001932352 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 354,006

F1 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $10.69 to $11.12, 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 transaction was effected.

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May 25, 2023 Filed May 30, 2023 22:02 UTC
Les JasonCHIEF EXECUTIVE OFFICER
GiftCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-008928 · form4-05302023_100500.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 406,794

F3 · shares: The reported disposition represents a bona fide gift made by the Reporting Person.

F2 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

Read SEC document
May 25, 2023 Filed May 30, 2023 22:02 UTC
Les JasonCHIEF EXECUTIVE OFFICER
SaleCommon Stock 50,000 $10.83 $541,500.00
Disclosure

SEC source: 0001415889-23-008928 · form4-05302023_100500.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 411,794

F1 · price: These shares of the Issuer's Common Stock were sold in a series of multiple transactions at prices ranging from $10.79 to $10.94 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 transaction was effected.

F2 · 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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April 17, 2023 Filed Apr 19, 2023 20:55 UTC GiftCommon Stock 4,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-006717 · form4-04192023_080402.xml · nonDerivative · entry 2

D'Ambrosio Lance Varro · CIK 0001611745 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 39,441

F2 · shares: The reported disposition represents a bona fide gift made by the Reporting Person.

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April 17, 2023 Filed Apr 19, 2023 20:55 UTC SaleCommon Stock 26,000 $12.51 $325,260.00
Disclosure

SEC source: 0001415889-23-006717 · form4-04192023_080402.xml · nonDerivative · entry 1

D'Ambrosio Lance Varro · CIK 0001611745 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 43,441

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

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April 12, 2023 Filed Apr 14, 2023 20:30 UTC Tax withholdingCommon Stock 6,285 $12.35 $77,619.75
Disclosure

SEC source: 0001415889-23-006549 · form4-04142023_080439.xml · nonDerivative · entry 1

Yee Colin M. · CIK 0001932352 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 404,289

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 12,571 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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April 01, 2023 Filed Apr 4, 2023 22:54 UTC Tax withholdingCommon Stock 13,930 $9.99 $139,160.70
Disclosure

SEC source: 0001415889-23-006143 · form4-04042023_100452.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,025

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 27,860 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.

Read SEC document
April 01, 2023 Filed Apr 4, 2023 22:49 UTC
Cho HannahDirector
Tax withholdingCommon Stock 13,930 $9.99 $139,160.70
Disclosure

SEC source: 0001415889-23-006141 · form4-04042023_100414.xml · nonDerivative · entry 1

Cho Hannah · CIK 0001846283 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,150

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 27,860 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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February 01, 2023 Filed Feb 3, 2023 23:38 UTC
Harris Chad Everett(SEE REMARKS)
Disposition to issuerCommon Stock 218,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-001970 · form4-02032023_110204.xml · nonDerivative · entry 2

Harris Chad Everett · CIK 0001863770 · (SEE REMARKS)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,400

Read SEC document
February 01, 2023 Filed Feb 3, 2023 23:38 UTC
Harris Chad Everett(SEE REMARKS)
Disposition to issuerCommon Stock 742,942 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-001970 · form4-02032023_110204.xml · nonDerivative · entry 1

Harris Chad Everett · CIK 0001863770 · (SEE REMARKS)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,400

Read SEC document
January 17, 2023 Filed Jan 19, 2023 23:50 UTC SaleCommon Stock 26,000 $6.39 $166,101.00
Disclosure

SEC source: 0001415889-23-001219 · form4-01192023_110125.xml · nonDerivative · entry 1

D'Ambrosio Lance Varro · CIK 0001611745 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,441

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 $6.305 to $6.55, 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 transaction was effected.

Read SEC document
January 11, 2023 Filed Jan 13, 2023 23:42 UTC Tax withholdingCommon Stock 7,200 $4.22 $30,384.00
Disclosure

SEC source: 0001079973-23-000091 · ownership.xml · nonDerivative · entry 1

Werner Ryan D. · CIK 0001931824 · SVP, CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,719

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 16,000 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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January 11, 2023 Filed Jan 13, 2023 23:41 UTC
MCGONEGAL JEFFREYSenior Advisor
Tax withholdingCommon Stock 13,200 $4.22 $55,704.00
Disclosure

SEC source: 0001079973-23-000090 · ownership.xml · nonDerivative · entry 1

MCGONEGAL JEFFREY · CIK 0001187604 · Senior Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 876,280

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 29,334 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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January 11, 2023 Filed Jan 13, 2023 23:41 UTC
Les JasonDirector · Chief Executive Officer
Tax withholdingCommon Stock 16,667 $4.22 $70,334.74
Disclosure

SEC source: 0001079973-23-000089 · ownership.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,333,435

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 33,334 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.

Read SEC document
January 11, 2023 Filed Jan 13, 2023 23:40 UTC
Jackman William RichardEVP & General Counsel
Tax withholdingCommon Stock 12,000 $4.22 $50,640.00
Disclosure

SEC source: 0001079973-23-000088 · ownership.xml · nonDerivative · entry 1

Jackman William Richard · CIK 0001872927 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,006,389

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 24,000 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.

Read SEC document
January 11, 2023 Filed Jan 13, 2023 23:40 UTC Tax withholdingCommon Stock 9,600 $4.22 $40,512.00
Disclosure

SEC source: 0001079973-23-000087 · ownership.xml · nonDerivative · entry 1

Harris Chad Everett · CIK 0001863770 · EVP, CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 975,342

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 24,000 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.

Read SEC document
December 31, 2022 Filed Jan 4, 2023 23:11 UTC Tax withholdingCommon Stock 15,493 $3.39 $52,521.27
Disclosure

SEC source: 0001079973-23-000017 · ownership.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,955

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 30,985 restricted shares of the Issuer's Common Stock (3,125 shares as of December 31, 2022 and 27,860 shares as of January 1, 2023) 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.

Read SEC document
December 31, 2022 Filed Jan 4, 2023 23:09 UTC
Cho HannahDirector
Tax withholdingCommon Stock 15,493 $3.39 $52,521.27
Disclosure

SEC source: 0001079973-23-000015 · ownership.xml · nonDerivative · entry 1

Cho Hannah · CIK 0001846283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,080

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 30,985 restricted shares of the Issuer's Common Stock (3,125 shares as of December 31, 2022 and 27,860 shares as of January 1, 2023) 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.

Read SEC document
December 15, 2022 Filed Dec 19, 2022 22:44 UTC
Jackman William RichardEVP & General Counsel
SaleCommon Stock 25,000 $4.00 $100,000.00
Disclosure

SEC source: 0001079973-22-001569 · ownership.xml · nonDerivative · entry 1

Jackman William Richard · CIK 0001872927 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,018,389

Read SEC document
December 07, 2022 Filed Dec 9, 2022 22:45 UTC SaleCommon Stock 75,565 $4.15 $313,594.75
Disclosure

SEC source: 0001079973-22-001532 · ownership.xml · nonDerivative · entry 1

Harris Chad Everett · CIK 0001863770 · EVP, CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 984,942

F1 · price: These shares of the Issuer's Common Stock were sold in a series of multiple transactions at prices ranging from $4.15 to $4.16 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 transaction was effected.

Read SEC document
October 31, 2022 Filed Nov 1, 2022 23:50 UTC SaleCommon Stock 26,000 $6.97 $181,220.00
Disclosure

SEC source: 0001079973-22-001384 · ownership.xml · nonDerivative · entry 1

D'Ambrosio Lance Varro · CIK 0001611745 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,441

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 $6.88 to $7.06 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 transaction was effected.

Read SEC document
October 01, 2022 Filed Oct 4, 2022 22:26 UTC Tax withholdingCommon Stock 13,930 $7.01 $97,649.30
Disclosure

SEC source: 0001079973-22-001280 · ownership.xml · nonDerivative · entry 2

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,448

F2 · shares: Shares surrendered to the Issuer to cover tax liabilities incident to the vesting of 27,860 restricted shares of the Issuer's Common Stock previously issued to the Reporting Person pursuant to a restricted stock award granted under the Issuer's equity incentive plan, as authorized and approved by the Committee and previously reported on Form 4 by the Reporting Person in accordance with Rule 16b-3 under the Exchange Act.

Read SEC document
October 01, 2022 Filed Oct 4, 2022 22:25 UTC
Cho HannahDirector
Tax withholdingCommon Stock 13,930 $7.01 $97,649.30
Disclosure

SEC source: 0001079973-22-001278 · ownership.xml · nonDerivative · entry 2

Cho Hannah · CIK 0001846283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,573

F2 · shares: Shares surrendered to the Issuer to cover tax liabilities incident to the vesting of 27,860 restricted shares of the Issuer's Common Stock previously issued to the Reporting Person pursuant to a restricted stock award granted under the Issuer's equity incentive plan, as authorized and approved by the Committee and previously reported on Form 4 by the Reporting Person in accordance with Rule 16b-3 under the Exchange Act.

Read SEC document
September 30, 2022 Filed Oct 4, 2022 22:26 UTC Tax withholdingCommon Stock 1,563 $7.01 $10,956.63
Disclosure

SEC source: 0001079973-22-001280 · ownership.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,378

F1 · shares: Shares surrendered to the Issuer to cover tax liabilities incident to the vesting of 3,125 restricted shares of the Issuer's Common Stock previously issued to the Reporting Person pursuant to a restricted stock award granted under the Issuer's equity incentive plan, as authorized and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), which administers the equity plan, and previously reported on Form 4 by the Reporting Person in accordance with Rule 16b-3 under the Exchange Act.

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September 30, 2022 Filed Oct 4, 2022 22:25 UTC
Cho HannahDirector
Tax withholdingCommon Stock 1,563 $7.01 $10,956.63
Disclosure

SEC source: 0001079973-22-001278 · ownership.xml · nonDerivative · entry 1

Cho Hannah · CIK 0001846283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,503

F1 · shares: Shares surrendered to the Issuer to cover tax liabilities incident to the vesting of 3,125 restricted shares of the Issuer's Common Stock previously issued to the Reporting Person pursuant to a restricted stock award granted under the Issuer's equity incentive plan, as authorized and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), which administers the equity plan, and previously reported on Form 4 by the Reporting Person in accordance with Rule 16b-3 under the Exchange Act.

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September 27, 2022 Filed Sep 30, 2022 01:02 UTC
Les JasonDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 378,334 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001228 · ownership.xml · derivative · entry 6

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 378,334 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Represents the conversion, as authorized by the Committee, of all outstanding performance-based RSUs granted to the Reporting Person under the performance-incentive plan established by the Committee under the equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, these shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F4 · price: Represents the conversion, as authorized by the Committee, of all outstanding performance-based RSUs granted to the Reporting Person under the performance-incentive plan established by the Committee under the equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, these shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F4 · derivative.exercise_date: Represents the conversion, as authorized by the Committee, of all outstanding performance-based RSUs granted to the Reporting Person under the performance-incentive plan established by the Committee under the equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, these shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F4 · derivative.expiration_date: Represents the conversion, as authorized by the Committee, of all outstanding performance-based RSUs granted to the Reporting Person under the performance-incentive plan established by the Committee under the equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, these shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F4 · derivative.underlying_shares: Represents the conversion, as authorized by the Committee, of all outstanding performance-based RSUs granted to the Reporting Person under the performance-incentive plan established by the Committee under the equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, these shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

Read SEC document
September 27, 2022 Filed Sep 30, 2022 01:02 UTC
Les JasonDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 46,666 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001228 · ownership.xml · derivative · entry 5

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 46,666 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The reported transactions represent settlement by the Issuer of the vested portion of the restricted stock unit awards ("RSUs") granted to the Reporting Person as compensation under the Issuer's equity plan. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F1 · price: The reported transactions represent settlement by the Issuer of the vested portion of the restricted stock unit awards ("RSUs") granted to the Reporting Person as compensation under the Issuer's equity plan. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F1 · derivative.exercise_date: The reported transactions represent settlement by the Issuer of the vested portion of the restricted stock unit awards ("RSUs") granted to the Reporting Person as compensation under the Issuer's equity plan. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F1 · derivative.expiration_date: The reported transactions represent settlement by the Issuer of the vested portion of the restricted stock unit awards ("RSUs") granted to the Reporting Person as compensation under the Issuer's equity plan. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F1 · derivative.underlying_shares: The reported transactions represent settlement by the Issuer of the vested portion of the restricted stock unit awards ("RSUs") granted to the Reporting Person as compensation under the Issuer's equity plan. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

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September 27, 2022 Filed Sep 30, 2022 01:02 UTC
Les JasonDirector · Chief Executive Officer
GrantCommon Stock 2,971,768 $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001228 · ownership.xml · nonDerivative · entry 4

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,811,896

F5 · shares: Represents the RSA award granted to the Reporting Person, as compensation for serving as the Issuer's Chief Executive Officer, pursuant to an RSA award agreement with the Issuer. These shares are eligible to vest, if at all, in two equal annual tranches as of June 1, 2023, and June 1, 2024, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates.

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September 27, 2022 Filed Sep 30, 2022 01:02 UTC
Les JasonDirector · Chief Executive Officer
Exercise / conversionCommon Stock 378,334 $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001228 · ownership.xml · nonDerivative · entry 3

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 840,128

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.

F4 · shares: Represents the conversion, as authorized by the Committee, of all outstanding performance-based RSUs granted to the Reporting Person under the performance-incentive plan established by the Committee under the equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, these shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

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September 27, 2022 Filed Sep 30, 2022 01:02 UTC
Les JasonDirector · Chief Executive Officer
Tax withholdingCommon Stock 23,333 $6.22 $145,131.26
Disclosure

SEC source: 0001079973-22-001228 · ownership.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 461,794

F3 · shares: Represents shares withheld by the Issuer in net settlement in connection with the settlement of vested RSUs, as permitted under the Issuer's equity plan and approved by the Committee.

F2 · 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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September 27, 2022 Filed Sep 30, 2022 01:02 UTC
Les JasonDirector · Chief Executive Officer
Exercise / conversionCommon Stock 46,666 $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001228 · ownership.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 485,127

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

F1 · shares: The reported transactions represent settlement by the Issuer of the vested portion of the restricted stock unit awards ("RSUs") granted to the Reporting Person as compensation under the Issuer's equity plan. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F2 · 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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September 27, 2022 Filed Sep 30, 2022 01:00 UTC Exercise / conversionRestricted Stock Units · Derivative 6,250 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001226 · ownership.xml · derivative · entry 5

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,250 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

F2 · derivative.exercise_date: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

F2 · derivative.expiration_date: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

F2 · derivative.underlying_shares: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

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September 27, 2022 Filed Sep 30, 2022 01:00 UTC Exercise / conversionRestricted Stock Units · Derivative 6,250 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001226 · ownership.xml · derivative · entry 4

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 6,250 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The reported transactions represent the settlement by the Issuer of the vested portion of the award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's equity plan in connection with the Reporting Person's service on the Board. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F1 · derivative.exercise_date: The reported transactions represent the settlement by the Issuer of the vested portion of the award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's equity plan in connection with the Reporting Person's service on the Board. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F1 · derivative.expiration_date: The reported transactions represent the settlement by the Issuer of the vested portion of the award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's equity plan in connection with the Reporting Person's service on the Board. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F1 · derivative.underlying_shares: The reported transactions represent the settlement by the Issuer of the vested portion of the award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's equity plan in connection with the Reporting Person's service on the Board. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

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September 27, 2022 Filed Sep 30, 2022 01:00 UTC GrantCommon Stock 111,441 $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001226 · ownership.xml · nonDerivative · entry 3

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,941

F3 · shares: Represents the RSA award granted to the Reporting Person, in connection with his service on the Board, pursuant to an RSA award agreement with the Issuer. These 111,441 shares are eligible to vest, if at all, in four equal quarterly tranches after the grant, subject to the Reporting Person's continued service with the Issuer through vesting.

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September 27, 2022 Filed Sep 30, 2022 01:00 UTC Exercise / conversionCommon Stock 6,250 $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001226 · ownership.xml · nonDerivative · entry 2

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

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 · shares: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

Read SEC document
September 27, 2022 Filed Sep 30, 2022 01:00 UTC Exercise / conversionCommon Stock 6,250 $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001226 · ownership.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

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

F1 · shares: The reported transactions represent the settlement by the Issuer of the vested portion of the award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's equity plan in connection with the Reporting Person's service on the Board. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

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September 27, 2022 Filed Sep 30, 2022 00:59 UTC
Jackman William RichardEVP & General Counsel
Exercise / conversionRestricted Stock Units · Derivative 242,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001224 · ownership.xml · derivative · entry 3

Jackman William Richard · CIK 0001872927 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 242,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, the shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · shares: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, the shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · derivative.exercise_date: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, the shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · derivative.expiration_date: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, the shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · derivative.underlying_shares: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, the shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

Read SEC document
September 27, 2022 Filed Sep 30, 2022 00:59 UTC
Jackman William RichardEVP & General Counsel
GrantCommon Stock 742,942 $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001224 · ownership.xml · nonDerivative · entry 2

Jackman William Richard · CIK 0001872927 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,043,389

F2 · shares: Represents the RSA award granted to the Reporting Person, as compensation for serving as the Issuer's EVP and General Counsel, pursuant to an RSA award agreement with the Issuer. These shares are eligible to vest, if at all, in two equal annual tranches as of June 1, 2023, and June 1, 2024, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates.

Read SEC document
September 27, 2022 Filed Sep 30, 2022 00:59 UTC
Jackman William RichardEVP & General Counsel
Exercise / conversionCommon Stock 242,000 $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001224 · ownership.xml · nonDerivative · entry 1

Jackman William Richard · CIK 0001872927 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,447

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

F1 · shares: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, the shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

Read SEC document
September 27, 2022 Filed Sep 30, 2022 00:58 UTC
MCGONEGAL JEFFREYCFO (Former - See Remarks)
Exercise / conversionRestricted Stock Units · Derivative 323,334 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001222 · ownership.xml · derivative · entry 3

MCGONEGAL JEFFREY · CIK 0001187604 · CFO (Former - See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 323,334 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Represents the conversion, as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"), of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, and are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, these shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F3 · price: On September 14, 2022, a Form 4 was filed that, due to an administrative error, incorrectly disclosed the resulting beneficial ownership after the transactions reported in Table II, which should have been zero (0). Accordingly, the transactions reported in Table II of this Form 4 exclude this administrative error, and the Reporting Person's beneficial ownership after the transactions reported in Table II of this Form 4 is correct.

F1 · derivative.exercise_date: Represents the conversion, as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"), of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, and are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, these shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · derivative.expiration_date: Represents the conversion, as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"), of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, and are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, these shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

Read SEC document
September 27, 2022 Filed Sep 30, 2022 00:58 UTC
MCGONEGAL JEFFREYCFO (Former - See Remarks)
GrantCommon Stock 222,883 $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001222 · ownership.xml · nonDerivative · entry 2

MCGONEGAL JEFFREY · CIK 0001187604 · CFO (Former - See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 889,480

F2 · shares: Represents the RSA award granted to the Reporting Person, as compensation for services, pursuant to an RSA award agreement with the Issuer. These shares are eligible to vest, if at all, as of February 23, 2023, subject to the Reporting Person's continued service with the Issuer through vesting.

Read SEC document
September 27, 2022 Filed Sep 30, 2022 00:58 UTC
MCGONEGAL JEFFREYCFO (Former - See Remarks)
Exercise / conversionCommon Stock 323,334 $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001222 · ownership.xml · nonDerivative · entry 1

MCGONEGAL JEFFREY · CIK 0001187604 · CFO (Former - See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 666,597

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

F1 · shares: Represents the conversion, as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"), of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, and are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. Pursuant to the applicable RSA award agreement with the Issuer, these shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

Read SEC document
September 27, 2022 Filed Sep 30, 2022 00:50 UTC
Harris Chad EverettEVP, CCO (See Remarks)
Exercise / conversionRestricted Stock Units · Derivative 242,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001220 · ownership.xml · derivative · entry 3

Harris Chad Everett · CIK 0001863770 · EVP, CCO (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 242,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · shares: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · price: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · derivative.exercise_date: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · derivative.expiration_date: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · derivative.underlying_shares: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

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September 27, 2022 Filed Sep 30, 2022 00:50 UTC
Harris Chad EverettEVP, CCO (See Remarks)
GrantCommon Stock 742,942 $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001220 · ownership.xml · nonDerivative · entry 2

Harris Chad Everett · CIK 0001863770 · EVP, CCO (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,060,507

F2 · shares: Represents the RSA award granted to the Reporting Person as compensation for serving as the Issuer's EVP and Chief Commercial Officer pursuant to an RSA award agreement with the Issuer. These shares are eligible to vest, if at all, in two equal annual tranches as of June 1, 2023, and June 1, 2024, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates.

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September 27, 2022 Filed Sep 30, 2022 00:50 UTC
Harris Chad EverettEVP, CCO (See Remarks)
Exercise / conversionCommon Stock 242,000 $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001220 · ownership.xml · nonDerivative · entry 1

Harris Chad Everett · CIK 0001863770 · EVP, CCO (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,565

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

F1 · shares: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

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September 27, 2022 Filed Sep 30, 2022 00:45 UTC
Cho HannahDirector
Exercise / conversionRestricted Stock Units · Derivative 6,250 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001079973-22-001218 · ownership.xml · derivative · entry 6

Cho Hannah · CIK 0001846283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,250 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

F3 · derivative.exercise_date: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

F3 · derivative.expiration_date: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

F3 · derivative.underlying_shares: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

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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.