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Nasdaq · USD

RMNI

Rimini Street, Inc.

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5475
SEC CIK
0001635282
Parsed reports
699

Last 12 months

Inside the activity.

0 purchase rows · 52 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202504
Jan 202601
Feb 202600
Mar 2026018
Apr 2026013
May 2026011
Jun 202600
Jul 202600
Aug 202600
Sep 202604
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
August 04, 2021 Filed Aug 6, 2021 22:52 UTC
Salaets StevenCIO/CPO EVP GlSec/Facl/Qual/IA
SaleCommon Stock 11,527 $8.31 $95,789.37
Disclosure

SEC source: 0001635282-21-000123 · wf-form4_162829031141186.xml · nonDerivative · entry 2

Salaets Steven · CIK 0001750857 · CIO/CPO EVP GlSec/Facl/Qual/IA

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,336

F2 · kind: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

F2 · acquired: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 22:52 UTC
Salaets StevenCIO/CPO EVP GlSec/Facl/Qual/IA
Exercise / conversionCommon Stock 33,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001635282-21-000123 · wf-form4_162829031141186.xml · nonDerivative · entry 1

Salaets Steven · CIK 0001750857 · CIO/CPO EVP GlSec/Facl/Qual/IA

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,863

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

F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 22:04 UTC
Maddock KevinEVP, Global Sales - Recurring
Exercise / conversionRestricted Stock Unit · Derivative 16,666 $0.00 $0.00
Disclosure

SEC source: 0001635282-21-000119 · wf-form4_162828742476514.xml · derivative · entry 3

Maddock Kevin · CIK 0001717514 · EVP, Global Sales - Recurring

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,334

Underlying: Common Stock · 16,666 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: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F3 · derivative.exercise_date: On August 4, 2020, the Reporting Person was granted 50,000 Restricted Stock Units, one-third of which vested ratably on August 4, 2021. The remaining two-thirds vest ratably on August 4, 2022 and August 4, 2023, subject to the Reporting Person's continued service as an employee of the Issuer through the applicable vesting date.

F3 · derivative.expiration_date: On August 4, 2020, the Reporting Person was granted 50,000 Restricted Stock Units, one-third of which vested ratably on August 4, 2021. The remaining two-thirds vest ratably on August 4, 2022 and August 4, 2023, subject to the Reporting Person's continued service as an employee of the Issuer through the applicable vesting date.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 22:04 UTC
Maddock KevinEVP, Global Sales - Recurring
SaleCommon Stock 5,764 $8.31 $47,898.84
Disclosure

SEC source: 0001635282-21-000119 · wf-form4_162828742476514.xml · nonDerivative · entry 2

Maddock Kevin · CIK 0001717514 · EVP, Global Sales - Recurring

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,258

F2 · kind: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

F2 · acquired: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 22:04 UTC
Maddock KevinEVP, Global Sales - Recurring
Exercise / conversionCommon Stock 16,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001635282-21-000119 · wf-form4_162828742476514.xml · nonDerivative · entry 1

Maddock Kevin · CIK 0001717514 · EVP, Global Sales - Recurring

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,022

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

F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 21:22 UTC
Winslow Daniel B.EVP, CLO & Corp. Sec.
Exercise / conversionRestricted Stock Unit · Derivative 16,666 $0.00 $0.00
Disclosure

SEC source: 0001635282-21-000115 · wf-form4_162828495112766.xml · derivative · entry 3

Winslow Daniel B. · CIK 0001717029 · EVP, CLO & Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,334

Underlying: Common Stock · 16,666 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: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F3 · derivative.exercise_date: On August 4, 2020, the Reporting Person was granted 50,000 Restricted Stock Units, one-third of which vested ratably on August 4, 2021. The remaining two-thirds vest ratably on August 4, 2022 and August 4, 2023, subject to the Reporting Person's continued service as an employee of the Issuer through the applicable vesting date.

F3 · derivative.expiration_date: On August 4, 2020, the Reporting Person was granted 50,000 Restricted Stock Units, one-third of which vested ratably on August 4, 2021. The remaining two-thirds vest ratably on August 4, 2022 and August 4, 2023, subject to the Reporting Person's continued service as an employee of the Issuer through the applicable vesting date.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 21:22 UTC
Winslow Daniel B.EVP, CLO & Corp. Sec.
SaleCommon Stock 7,137 $8.31 $59,308.47
Disclosure

SEC source: 0001635282-21-000115 · wf-form4_162828495112766.xml · nonDerivative · entry 2

Winslow Daniel B. · CIK 0001717029 · EVP, CLO & Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,205

F2 · kind: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

F2 · shares: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

F2 · acquired: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 21:22 UTC
Winslow Daniel B.EVP, CLO & Corp. Sec.
Exercise / conversionCommon Stock 16,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001635282-21-000115 · wf-form4_162828495112766.xml · nonDerivative · entry 1

Winslow Daniel B. · CIK 0001717029 · EVP, CLO & Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,342

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

F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 21:44 UTC
Slepko BrianEVP, Global Service Delivery
Exercise / conversionRestricted Stock Unit · Derivative 16,666 $0.00 $0.00
Disclosure

SEC source: 0001635282-21-000117 · wf-form4_162828626554572.xml · derivative · entry 3

Slepko Brian · CIK 0001717035 · EVP, Global Service Delivery

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,334

Underlying: Common Stock · 16,666 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: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F3 · derivative.exercise_date: On August 4, 2020, the Reporting Person was granted 50,000 Restricted Stock Units, one-third of which vested ratably on August 4, 2021. The remaining two-thirds vest ratably on August 4, 2022 and August 4, 2023, subject to the Reporting Person's continued service as an employee of the Issuer through the applicable vesting date.

F3 · derivative.expiration_date: On August 4, 2020, the Reporting Person was granted 50,000 Restricted Stock Units, one-third of which vested ratably on August 4, 2021. The remaining two-thirds vest ratably on August 4, 2022 and August 4, 2023, subject to the Reporting Person's continued service as an employee of the Issuer through the applicable vesting date.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 21:44 UTC
Slepko BrianEVP, Global Service Delivery
SaleCommon Stock 5,764 $8.31 $47,898.84
Disclosure

SEC source: 0001635282-21-000117 · wf-form4_162828626554572.xml · nonDerivative · entry 2

Slepko Brian · CIK 0001717035 · EVP, Global Service Delivery

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 629,391

F2 · kind: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

F2 · acquired: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 21:44 UTC
Slepko BrianEVP, Global Service Delivery
Exercise / conversionCommon Stock 16,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001635282-21-000117 · wf-form4_162828626554572.xml · nonDerivative · entry 1

Slepko Brian · CIK 0001717035 · EVP, Global Service Delivery

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 635,155

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

F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 20:55 UTC Exercise / conversionRestricted Stock Unit · Derivative 16,666 $0.00 $0.00
Disclosure

SEC source: 0001635282-21-000111 · wf-form4_162828332479394.xml · derivative · entry 3

Grady Sebastian · CIK 0001717127 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,334

Underlying: Common Stock · 16,666 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: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F3 · derivative.exercise_date: On August 4, 2020, the Reporting Person was granted 50,000 Restricted Stock Units, one-third of which vested ratably on August 4, 2021. The remaining two-thirds vest ratably on August 4, 2022 and August 4, 2023, subject to the Reporting Person's continued service as an employee of the Issuer through the applicable vesting date.

F3 · derivative.expiration_date: On August 4, 2020, the Reporting Person was granted 50,000 Restricted Stock Units, one-third of which vested ratably on August 4, 2021. The remaining two-thirds vest ratably on August 4, 2022 and August 4, 2023, subject to the Reporting Person's continued service as an employee of the Issuer through the applicable vesting date.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 20:55 UTC SaleCommon Stock 5,764 $8.31 $47,898.84
Disclosure

SEC source: 0001635282-21-000111 · wf-form4_162828332479394.xml · nonDerivative · entry 2

Grady Sebastian · CIK 0001717127 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,090

F2 · kind: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

F2 · acquired: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

Read SEC document
August 04, 2021 Filed Aug 6, 2021 20:55 UTC Exercise / conversionCommon Stock 16,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001635282-21-000111 · wf-form4_162828332479394.xml · nonDerivative · entry 1

Grady Sebastian · CIK 0001717127 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,854

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

F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
August 03, 2021 Filed Aug 6, 2021 00:29 UTC
Perica Michael L.EVP & Chief Financial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $8.59 $0.00
Disclosure

SEC source: 0001635282-21-000107 · wf-form4_162820973169744.xml · derivative · entry 2

Perica Michael L. · CIK 0001824290 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-08-03

F3 · derivative.exercise_date: The stock option award will vest in three (3) equal annual installments on August 3, 2022, August 3, 2023 and August 3, 2024 subject to the Reporting Person's continued service to the Issuer through the applicable vesting date.

Read SEC document
August 03, 2021 Filed Aug 6, 2021 00:29 UTC
Perica Michael L.EVP & Chief Financial Officer
GrantRestricted Stock Unit · Derivative 15,000 $0.00 $0.00
Disclosure

SEC source: 0001635282-21-000107 · wf-form4_162820973169744.xml · derivative · entry 1

Perica Michael L. · CIK 0001824290 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F2 · derivative.exercise_date: The Restricted Stock Units will vest in three (3) equal annual installments on August 3, 2022, August 3, 2023 and August 3, 2024 subject to the Reporting Person's continued service to the Issuer through the applicable vesting date.

F2 · derivative.expiration_date: The Restricted Stock Units will vest in three (3) equal annual installments on August 3, 2022, August 3, 2023 and August 3, 2024 subject to the Reporting Person's continued service to the Issuer through the applicable vesting date.

Read SEC document
August 03, 2021 Filed Aug 6, 2021 00:24 UTC
Winslow Daniel B.EVP, CLO & Corp. Sec.
GrantRestricted Stock Unit · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0001635282-21-000106 · wf-form4_162820943461322.xml · derivative · entry 3

Winslow Daniel B. · CIK 0001717029 · EVP, CLO & Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F3 · derivative.exercise_date: The Restricted Stock Units will vest in three (3) equal annual installments on August 3, 2022, August 3, 2023 and August 3, 2024 subject to the Reporting Person's continued service to the Issuer through the applicable vesting date.

F3 · derivative.expiration_date: The Restricted Stock Units will vest in three (3) equal annual installments on August 3, 2022, August 3, 2023 and August 3, 2024 subject to the Reporting Person's continued service to the Issuer through the applicable vesting date.

Read SEC document
August 03, 2021 Filed Aug 6, 2021 00:24 UTC
Winslow Daniel B.EVP, CLO & Corp. Sec.
GrantEmployee Stock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $8.59 $0.00
Disclosure

SEC source: 0001635282-21-000106 · wf-form4_162820943461322.xml · derivative · entry 2

Winslow Daniel B. · CIK 0001717029 · EVP, CLO & Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-08-03

F1 · derivative.exercise_date: The stock option award will vest in three (3) equal annual installments on August 3, 2022, August 3, 2023 and August 3, 2024, subject to the Reporting Person's continued service to the Issuer through the applicable vesting date.

Read SEC document
July 27, 2021 Filed Jul 27, 2021 21:51 UTC
Winslow Daniel B.EVP, CLO & Corp. Sec.
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 1,480 $0.00 Strike: $4.85 $0.00
Disclosure

SEC source: 0001635282-21-000092 · wf-form4_162742269119189.xml · derivative · entry 2

Winslow Daniel B. · CIK 0001717029 · EVP, CLO & Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,480 shares

Expires 2024-10-14

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

F1 · derivative.exercise_date: The shares subject to the option are fully-vested and exercisable.

Read SEC document
July 27, 2021 Filed Jul 27, 2021 21:51 UTC
Winslow Daniel B.EVP, CLO & Corp. Sec.
Exercise / conversionCommon Stock 1,480 $4.85 $7,178.00
Disclosure

SEC source: 0001635282-21-000092 · wf-form4_162742269119189.xml · nonDerivative · entry 1

Winslow Daniel B. · CIK 0001717029 · EVP, CLO & Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,676

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

Read SEC document
July 16, 2021 Filed Jul 19, 2021 20:48 UTC
Rowe David W.EVP & Chief Marketing Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001635282-21-000086 · wf-form4_162672771659715.xml · derivative · entry 2

Rowe David W. · CIK 0001717500 · EVP & Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,706

Underlying: Common Stock · 20,000 shares

Expires 2022-05-07

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

F1 · derivative.exercise_date: The shares subject to the option are fully-vested and exercisable.

Read SEC document
July 16, 2021 Filed Jul 19, 2021 20:48 UTC
Rowe David W.EVP & Chief Marketing Officer
Exercise / conversionCommon Stock 20,000 $1.19 $23,892.00
Disclosure

SEC source: 0001635282-21-000086 · wf-form4_162672771659715.xml · nonDerivative · entry 1

Rowe David W. · CIK 0001717500 · EVP & Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,206

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

Read SEC document
July 06, 2021 Filed Jul 7, 2021 22:10 UTC
Winslow Daniel B.EVP, CLO & Corp. Sec.
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 12,500 $0.00 Strike: $4.85 $0.00
Disclosure

SEC source: 0001638599-21-000598 · doc4_7290.xml · derivative · entry 2

Winslow Daniel B. · CIK 0001717029 · EVP, CLO & Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,480

Underlying: Common Stock · 12,500 shares

Expires 2024-10-14

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

F1 · derivative.exercise_date: The shares subject to the option are fully-vested and exercisable.

Read SEC document
July 06, 2021 Filed Jul 7, 2021 22:10 UTC
Winslow Daniel B.EVP, CLO & Corp. Sec.
Exercise / conversionCommon Stock 12,500 $4.85 $60,625.00
Disclosure

SEC source: 0001638599-21-000598 · doc4_7290.xml · nonDerivative · entry 1

Winslow Daniel B. · CIK 0001717029 · EVP, CLO & Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,196

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

Read SEC document
June 03, 2021 Filed Jun 4, 2021 21:17 UTC
Snyder Jay GDirector
Exercise / conversionRestricted Stock Unit · Derivative 33,632 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000500 · doc4_7249.xml · derivative · entry 5

Snyder Jay G · CIK 0001812784 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,632

Underlying: Common Stock · 33,632 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: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F4 · derivative.exercise_date: On June 3, 2020, the Reporting Person was granted 67,264 Restricted Stock Units, 50% of which vested ratably on June 3, 2021. The remaining 50% vests on June 3, 2022, subject to the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.

F4 · derivative.expiration_date: On June 3, 2020, the Reporting Person was granted 67,264 Restricted Stock Units, 50% of which vested ratably on June 3, 2021. The remaining 50% vests on June 3, 2022, subject to the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.

Read SEC document
June 03, 2021 Filed Jun 4, 2021 21:17 UTC
Snyder Jay GDirector
Exercise / conversionCommon Stock 33,632 Not disclosed Not disclosed
Disclosure

SEC source: 0001638599-21-000500 · doc4_7249.xml · nonDerivative · entry 2

Snyder Jay G · CIK 0001812784 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,361

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

F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
June 03, 2021 Filed Jun 4, 2021 22:58 UTC
Ravin Seth A.Director · CEO & Chairman of the Board
Exercise / conversionRestricted Stock Unit · Derivative 77,353 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000519 · doc4_7250.xml · derivative · entry 4

Ravin Seth A. · CIK 0001717716 · Director · CEO & Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,709

Underlying: Common Stock · 77,353 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: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F2 · derivative.exercise_date: On June 3, 2020, the Reporting Person was granted 232,062 Restricted Stock Units, one-third of which vested ratably on June 3, 2021. The remaining two-thirds vest ratably on June 3, 2022 and June 3, 2023, respectively, subject to the Reporting Person's continued service as an employee of the Issuer through the applicable vesting date.

F2 · derivative.expiration_date: On June 3, 2020, the Reporting Person was granted 232,062 Restricted Stock Units, one-third of which vested ratably on June 3, 2021. The remaining two-thirds vest ratably on June 3, 2022 and June 3, 2023, respectively, subject to the Reporting Person's continued service as an employee of the Issuer through the applicable vesting date.

Read SEC document
June 03, 2021 Filed Jun 4, 2021 22:58 UTC
Ravin Seth A.Director · CEO & Chairman of the Board
SaleCommon Stock 20,814 $6.40 $133,209.60
Disclosure

SEC source: 0001638599-21-000519 · doc4_7250.xml · nonDerivative · entry 2

Ravin Seth A. · CIK 0001717716 · Director · CEO & Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,539

F3 · kind: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

F3 · acquired: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

Read SEC document
June 03, 2021 Filed Jun 4, 2021 22:58 UTC
Ravin Seth A.Director · CEO & Chairman of the Board
Exercise / conversionCommon Stock 77,353 Not disclosed Not disclosed
Disclosure

SEC source: 0001638599-21-000519 · doc4_7250.xml · nonDerivative · entry 1

Ravin Seth A. · CIK 0001717716 · Director · CEO & Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,353

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

F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
June 03, 2021 Filed Jun 4, 2021 22:43 UTC
Brossard GerardChief Operating Officer
Exercise / conversionRestricted Stock Unit · Derivative 66,666 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000517 · doc4_7251.xml · derivative · entry 3

Brossard Gerard · CIK 0001639839 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,334

Underlying: Common Stock · 66,666 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: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F2 · derivative.exercise_date: On June 3, 2020, the Reporting Person was granted 200,000 Restricted Stock Units, one-third of which vested ratably on June 3, 2021. The remaining two-thirds vest ratably on June 3, 2022 and June 3, 2023, respectively, subject to the Reporting Person's continued service as an employee of the Issuer through the applicable vesting date.

F2 · derivative.expiration_date: On June 3, 2020, the Reporting Person was granted 200,000 Restricted Stock Units, one-third of which vested ratably on June 3, 2021. The remaining two-thirds vest ratably on June 3, 2022 and June 3, 2023, respectively, subject to the Reporting Person's continued service as an employee of the Issuer through the applicable vesting date.

Read SEC document
June 03, 2021 Filed Jun 4, 2021 22:43 UTC
Brossard GerardChief Operating Officer
SaleCommon Stock 23,054 $6.40 $147,545.60
Disclosure

SEC source: 0001638599-21-000517 · doc4_7251.xml · nonDerivative · entry 2

Brossard Gerard · CIK 0001639839 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,612

F3 · kind: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

F3 · acquired: Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events.

Read SEC document
June 03, 2021 Filed Jun 4, 2021 22:43 UTC
Brossard GerardChief Operating Officer
Exercise / conversionCommon Stock 66,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001638599-21-000517 · doc4_7251.xml · nonDerivative · entry 1

Brossard Gerard · CIK 0001639839 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,666

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

F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:17 UTC
Snyder Jay GDirector
Exercise / conversionRestricted Stock Unit · Derivative 2,729 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000500 · doc4_7249.xml · derivative · entry 4

Snyder Jay G · CIK 0001812784 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,729 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: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F3 · derivative.exercise_date: On January 4, 2021, the Reporting Person was granted 2,729 Restricted Stock Units, 100% of which vested on June 2, 2021.

F3 · derivative.expiration_date: On January 4, 2021, the Reporting Person was granted 2,729 Restricted Stock Units, 100% of which vested on June 2, 2021.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:17 UTC
Snyder Jay GDirector
GrantRestricted Stock Unit · Derivative 4,594 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000500 · doc4_7249.xml · derivative · entry 3

Snyder Jay G · CIK 0001812784 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,594

Underlying: Common Stock · 4,594 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F2 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.

F2 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:17 UTC
Snyder Jay GDirector
Exercise / conversionCommon Stock 2,729 Not disclosed Not disclosed
Disclosure

SEC source: 0001638599-21-000500 · doc4_7249.xml · nonDerivative · entry 1

Snyder Jay G · CIK 0001812784 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,729

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

F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:30 UTC
Murray Robin P.Director · 10% owner
GrantRestricted Stock Unit · Derivative 27,565 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000502 · doc4_7245.xml · derivative · entry 12

Murray Robin P. · CIK 0001717449 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,565

Underlying: Common Stock · 27,565 shares

Expires not disclosed

F11 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F12 · shares: The Restricted Stock Units were issued to the Reporting Person, a director of the Issuer, who is a partner of Adams Street Partners, LLC. The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. By agreement with the Funds, the Reporting Person disclaims beneficial ownership of the Restricted Stock Units except to the extent of his pecuniary interest therein.

F14 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.

F14 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:30 UTC
Murray Robin P.Director · 10% owner
Exercise / conversionRestricted Stock Unit · Derivative 16,375 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000502 · doc4_7245.xml · derivative · entry 11

Murray Robin P. · CIK 0001717449 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,375 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.

F11 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F12 · shares: The Restricted Stock Units were issued to the Reporting Person, a director of the Issuer, who is a partner of Adams Street Partners, LLC. The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. By agreement with the Funds, the Reporting Person disclaims beneficial ownership of the Restricted Stock Units except to the extent of his pecuniary interest therein.

F13 · derivative.exercise_date: 100% of the Restricted Stock Units awarded vested on June 2, 2021.

F13 · derivative.expiration_date: 100% of the Restricted Stock Units awarded vested on June 2, 2021.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:30 UTC
Murray Robin P.Director · 10% owner
Exercise / conversionCommon Stock 16,375 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000502 · doc4_7245.xml · nonDerivative · entry 10

Murray Robin P. · CIK 0001717449 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,998

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.

F10 · ownership.direct: The shares of common stock were issued to the Reporting Person, Robin Murray, a director of the Issuer who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008, and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI (collectively, the "Funds") and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the common stock for the benefit of the Funds. The common stock may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the common stock except to the extent of their pecuniary interest therein.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:56 UTC GrantRestricted Stock Unit · Derivative 27,565 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000507 · doc4_7248.xml · derivative · entry 4

CAPELLI STEVEN M · CIK 0001279303 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,565

Underlying: Common Stock · 27,565 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F3 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.

F3 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:56 UTC Exercise / conversionRestricted Stock Unit · Derivative 16,375 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000507 · doc4_7248.xml · derivative · entry 3

CAPELLI STEVEN M · CIK 0001279303 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,375 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: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F2 · derivative.exercise_date: On January 4, 2021, the Reporting Person was granted 16,375 Restricted Stock Units, 100% of which vested on June 2, 2021.

F2 · derivative.expiration_date: On January 4, 2021, the Reporting Person was granted 16,375 Restricted Stock Units, 100% of which vested on June 2, 2021.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:56 UTC Exercise / conversionCommon Stock 16,375 Not disclosed Not disclosed
Disclosure

SEC source: 0001638599-21-000507 · doc4_7248.xml · nonDerivative · entry 1

CAPELLI STEVEN M · CIK 0001279303 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,998

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

F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 20:19 UTC GrantRestricted Stock Unit · Derivative 27,565 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-077037 · tm2118815-1_4.xml · derivative · entry 12

ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 27,565

Underlying: Common Stock · 27,565 shares

Expires not disclosed

F15 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F15 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F16 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date.

F16 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date.

F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds.

F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 20:19 UTC Exercise / conversionRestricted Stock Unit · Derivative 16,375 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-077037 · tm2118815-1_4.xml · derivative · entry 11

ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 16,375 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.

F10 · derivative.exercise_price: On January 4, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 16,375 Restricted Stock Units which vested 100% on June 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F10 · shares: On January 4, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 16,375 Restricted Stock Units which vested 100% on June 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F10 · derivative.exercise_date: On January 4, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 16,375 Restricted Stock Units which vested 100% on June 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F10 · derivative.expiration_date: On January 4, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 16,375 Restricted Stock Units which vested 100% on June 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds.

F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 20:19 UTC Exercise / conversionCommon Stock 16,375 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-077037 · tm2118815-1_4.xml · nonDerivative · entry 10

ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 93,998

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.

F10 · price: On January 4, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 16,375 Restricted Stock Units which vested 100% on June 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F11 · ownership.nature: The shares of common stock were issued to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, is the managing member of the general partner of the general partner of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI (collectively, the "Funds") and is the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the common stock for the benefit of the Funds.

F12 · ownership.nature: The common stock may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the common stock except to the extent of their pecuniary interest therein.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 17:44 UTC GrantRestricted Stock Unit · Derivative 27,565 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000505 · doc4_7246.xml · derivative · entry 4

TAYLOR MARGARET · CIK 0001205426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,565

Underlying: Common Stock · 27,565 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F3 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.

F3 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 17:44 UTC Exercise / conversionRestricted Stock Unit · Derivative 16,375 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000505 · doc4_7246.xml · derivative · entry 3

TAYLOR MARGARET · CIK 0001205426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,375 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: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F2 · derivative.exercise_date: On January 4, 2021, the Reporting Person was granted 16,375 Restricted Stock Units, 100% of which vested on June 2, 2021.

F2 · derivative.expiration_date: On January 4, 2021, the Reporting Person was granted 16,375 Restricted Stock Units, 100% of which vested on June 2, 2021.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 17:44 UTC Exercise / conversionCommon Stock 16,375 Not disclosed Not disclosed
Disclosure

SEC source: 0001638599-21-000505 · doc4_7246.xml · nonDerivative · entry 1

TAYLOR MARGARET · CIK 0001205426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,998

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

F2 · price: On January 4, 2021, the Reporting Person was granted 16,375 Restricted Stock Units, 100% of which vested on June 2, 2021.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:40 UTC GrantRestricted Stock Unit · Derivative 27,565 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000503 · doc4_7247.xml · derivative · entry 3

ACOSTA JACK L · CIK 0001225954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,565

Underlying: Common Stock · 27,565 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F3 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.

F3 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:40 UTC Exercise / conversionRestricted Stock Unit · Derivative 16,375 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000503 · doc4_7247.xml · derivative · entry 2

ACOSTA JACK L · CIK 0001225954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,375 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: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

F2 · derivative.exercise_date: On January 4, 2021, the Reporting Person was granted 16,375 Restricted Stock Units, 100% of which vested on June 2, 2021.

F2 · derivative.expiration_date: On January 4, 2021, the Reporting Person was granted 16,375 Restricted Stock Units, 100% of which vested on June 2, 2021.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:40 UTC Exercise / conversionCommon Stock 16,375 Not disclosed Not disclosed
Disclosure

SEC source: 0001638599-21-000503 · doc4_7247.xml · nonDerivative · entry 1

ACOSTA JACK L · CIK 0001225954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,998

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

F2 · price: On January 4, 2021, the Reporting Person was granted 16,375 Restricted Stock Units, 100% of which vested on June 2, 2021.

Read SEC document

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