Last 12 months
Inside the activity.
0 purchase rows · 4 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 1 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 2 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 1 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 29, 2020 Filed Jan 31, 2020 21:05 UTC |
MCLAUGHLIN JOHN PETERDirector
|
GrantCommon Stock | 12,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-009242 · a4.xml · nonDerivative · entry 1 MCLAUGHLIN JOHN PETER · CIK 0001277967 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,174 F1 · kind: Restricted stock units ("RSUs") issued for the Reporting Person's service as chairman of the Board of Directors of the Issuer. RSUs vest on January 29, 2021, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 21:42 UTC |
ELLISON RUSSELL HDirector
|
GrantStock Option (Right to Buy) · Derivative | 16,895 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001104659-20-003475 · a4.xml · derivative · entry 2 ELLISON RUSSELL H · CIK 0001374805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,895 Underlying: Common Stock · 16,895 shares Expires 2030-01-09 F2 · derivative.exercise_date: Stock options vest on January 9, 2021, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 21:42 UTC |
ELLISON RUSSELL HDirector
|
GrantCommon Stock | 10,050 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-003475 · a4.xml · nonDerivative · entry 1 ELLISON RUSSELL H · CIK 0001374805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,050 F1 · kind: Restricted stock units vest on January 9, 2021, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| November 28, 2019 Filed Nov 29, 2019 21:05 UTC |
Smith Angus W.Chief Financial Officer
|
Tax withholdingCommon Stock | 8,181 | $2.37 | $19,388.97 |
DisclosureSEC source: 0001104659-19-068687 · a4.xml · nonDerivative · entry 1 Smith Angus W. · CIK 0001730835 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,486 F1 · kind: Represents shares surrendered to the Issuer in satisfaction of the payment of required withholding taxes in connection with the vesting of restricted stock units. F2 · balance_after: Includes 138,889 shares of common stock underlying unvested restricted stock unit awards that vest based on the achievement of certain time-based and performance-based milestones. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 21:08 UTC |
Hoffman Marc LChief Medical Officer
|
GrantStock Option (Right to Buy) · Derivative | 250,000 | $0.00 Strike: $2.18 | $0.00 |
DisclosureSEC source: 0001104659-19-068181 · a4.xml · derivative · entry 1 Hoffman Marc L · CIK 0001795312 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2029-11-25 F1 · derivative.exercise_date: Stock options vest in three equal installments on the first, second and third anniversaries of November 25, 2019. Read SEC document |
| October 07, 2019 Filed Oct 15, 2019 21:00 UTC |
Gupta AjaySr. VP & Chief Scientific Off.
|
Tax withholdingCommon Stock | 31,491 | $2.53 | $79,672.23 |
DisclosureSEC source: 0001104659-19-054199 · a4.xml · nonDerivative · entry 1 Gupta Ajay · CIK 0001466676 · Sr. VP & Chief Scientific Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 576,458 F1 · kind: Represents shares surrendered to the Issuer in satisfaction of the payment of required withholding taxes in connection with the vesting of restricted stock units. F2 · balance_after: Includes 17,000 shares of common stock underlying unvested restricted stock unit awards. Read SEC document |
| September 05, 2019 Filed Sep 6, 2019 20:13 UTC |
MCLAUGHLIN JOHN PETERDirector
|
GrantStock Option (Right to Buy) · Derivative | 28,372 | $0.00 Strike: $2.56 | $0.00 |
DisclosureSEC source: 0001104659-19-049098 · a4.xml · derivative · entry 2 MCLAUGHLIN JOHN PETER · CIK 0001277967 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,372 Underlying: Common Stock · 28,372 shares Expires 2029-09-05 F2 · derivative.exercise_date: Stock options vest on June 6, 2020, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| September 05, 2019 Filed Sep 6, 2019 20:13 UTC |
MCLAUGHLIN JOHN PETERDirector
|
GrantCommon Stock | 22,559 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-049098 · a4.xml · nonDerivative · entry 1 MCLAUGHLIN JOHN PETER · CIK 0001277967 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,559 F1 · kind: Restricted stock units vest on June 6, 2020, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| September 04, 2019 Filed Sep 6, 2019 20:09 UTC |
Paul Stuart MDirector · Chief Executive Officer
|
Tax withholdingCommon Stock | 33,742 | $2.52 | $85,029.84 |
DisclosureSEC source: 0001104659-19-049087 · a4.xml · nonDerivative · entry 1 Paul Stuart M · CIK 0001375821 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 330,056 F1 · kind: Represents shares surrendered to the Issuer in satisfaction of the payment of required withholding taxes in connection with the vesting of restricted stock units. F2 · balance_after: Includes 193,083 shares of common stock underlying unvested restricted stock unit awards. Read SEC document |
| August 02, 2019 Filed Aug 2, 2019 21:13 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 97 | $2.42 | $234.74 |
DisclosureSEC source: 0000921895-19-002094 · form411265002_08022019.xml · nonDerivative · entry 2 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Matthew J. Curfman Disclosed balance after: 52,837 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 31, 2019 Filed Aug 2, 2019 21:13 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 1,807 | $2.66 | $4,806.44 |
DisclosureSEC source: 0000921895-19-002094 · form411265002_08022019.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Matthew J. Curfman Disclosed balance after: 52,740 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 29, 2019 Filed Jul 2, 2020 19:34 UTC |
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Richmond David S.10% owner · See Footnotes 1 and 2
Curfman Matthew J.See Footnotes 1 and 2
|
SaleCommon Stock | 179 | $3.12 | $558.48 |
DisclosureSEC source: 0000921895-20-001905 · form411265002a_07022020.xml · nonDerivative · entry 1 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,278 F1 · security: This Form 4 is filed jointly by Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · ownership.direct: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F4 · ownership.direct: Represents securities directly owned by Richmond Brothers. Mr. Richmond, as the Chairman of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Mr. Curfman as the President of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Read SEC document |
| July 25, 2019 Filed Jul 26, 2019 22:03 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 29 | $3.06 | $88.70 |
DisclosureSEC source: 0000921895-19-002056 · form411265002_07252019.xml · nonDerivative · entry 6 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 77,273 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 25, 2019 Filed Jul 26, 2019 22:03 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 37 | $3.06 | $113.16 |
DisclosureSEC source: 0000921895-19-002056 · form411265002_07252019.xml · nonDerivative · entry 5 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 77,244 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 25, 2019 Filed Jul 26, 2019 22:03 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 100 | $3.06 | $305.85 |
DisclosureSEC source: 0000921895-19-002056 · form411265002_07252019.xml · nonDerivative · entry 4 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 77,207 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 25, 2019 Filed Jul 26, 2019 22:03 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 62 | $3.06 | $189.63 |
DisclosureSEC source: 0000921895-19-002056 · form411265002_07252019.xml · nonDerivative · entry 3 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 77,107 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 25, 2019 Filed Jul 26, 2019 22:03 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 91 | $3.06 | $278.32 |
DisclosureSEC source: 0000921895-19-002056 · form411265002_07252019.xml · nonDerivative · entry 2 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 77,045 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F9 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 24, 2019 Filed Jul 26, 2019 22:03 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 2,579 | $3.13 | $8,072.27 |
DisclosureSEC source: 0000921895-19-002056 · form411265002_07252019.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Matthew J. Curfman Disclosed balance after: 50,933 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 22, 2019 Filed Jul 23, 2019 22:26 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 92,707 | $2.99 | $277,193.93 |
DisclosureSEC source: 0000921895-19-002035 · form411265002_07232019.xml · nonDerivative · entry 2 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers, Inc. Disclosed balance after: 161,457 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · ownership.nature: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F8 · ownership.nature: Represents securities directly owned by Richmond Brothers. Mr. Richmond, as the Chairman of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Mr. Curfman as the President of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Read SEC document |
| July 19, 2019 Filed Jul 23, 2019 22:26 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 68,750 | $2.89 | $198,687.50 |
DisclosureSEC source: 0000921895-19-002035 · form411265002_07232019.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers, Inc. Disclosed balance after: 68,750 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · ownership.nature: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F8 · ownership.nature: Represents securities directly owned by Richmond Brothers. Mr. Richmond, as the Chairman of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Mr. Curfman as the President of Richmond Brothers, may be deemed to beneficially own the securities owned directly by Richmond Brothers. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 20:36 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 654 | $3.05 | $1,991.95 |
DisclosureSEC source: 0000921895-19-001995 · form411265002_07102019.xml · nonDerivative · entry 6 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 76,954 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F8 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 20:36 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 601 | $3.05 | $1,830.53 |
DisclosureSEC source: 0000921895-19-001995 · form411265002_07102019.xml · nonDerivative · entry 5 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 76,300 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F8 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 20:36 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 902 | $3.05 | $2,747.31 |
DisclosureSEC source: 0000921895-19-001995 · form411265002_07102019.xml · nonDerivative · entry 4 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 75,699 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F8 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 20:36 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 1,501 | $3.05 | $4,571.75 |
DisclosureSEC source: 0000921895-19-001995 · form411265002_07102019.xml · nonDerivative · entry 3 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 74,797 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F9 · balance_after: Not reported herein are transactions by RBI Plan in which no Reporting Person (including Messrs. Richmond and Curfman) has a pecuniary interest. F8 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 20:36 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 5,519 | $3.05 | $16,809.77 |
DisclosureSEC source: 0000921895-19-001995 · form411265002_07102019.xml · nonDerivative · entry 2 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Matthew J. Curfman Disclosed balance after: 48,354 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 20:36 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 603 | $3.05 | $1,836.62 |
DisclosureSEC source: 0000921895-19-001995 · form411265002_07102019.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,039 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 00:58 UTC |
Paul Stuart MDirector · Chief Executive Officer
|
PurchaseCommon Stock | 10,000 | $2.97 | $29,700.00 |
DisclosureSEC source: 0001104659-19-039159 · a4.xml · nonDerivative · entry 2 Paul Stuart M · CIK 0001375821 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 363,798 F2 · balance_after: Includes 289,625 shares of common stock underlying unvested restricted stock unit awards. Read SEC document |
| June 28, 2019 Filed Jul 3, 2019 00:54 UTC |
Smith Angus W.Chief Financial Officer
|
PurchaseCommon Stock | 10,000 | $3.06 | $30,600.00 |
DisclosureSEC source: 0001104659-19-039153 · a4.xml · nonDerivative · entry 1 Smith Angus W. · CIK 0001730835 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,667 F1 · balance_after: Includes 166,667 shares of common stock underlying unvested restricted stock units that vest based on the achievement of certain time-based and performance-based milestones. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 20:11 UTC |
McGarry Paul EPrincipal Accounting Officer
|
GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $2.96 | $0.00 |
DisclosureSEC source: 0001104659-19-037653 · a4.xml · derivative · entry 1 McGarry Paul E · CIK 0001780044 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-06-24 F1 · derivative.exercise_date: Stock options vest in three equal installments on the first, second and third anniversaries of June 24, 2019. Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 19:18 UTC |
RAVICH MARK HDirector
|
GrantStock Option (Right to Buy) · Derivative | 22,461 | $0.00 Strike: $4.15 | $0.00 |
DisclosureSEC source: 0001104659-19-034647 · a4.xml · derivative · entry 5 RAVICH MARK H · CIK 0000897727 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,461 Underlying: Common Stock · 22,461 shares Expires 2029-06-06 Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 19:18 UTC |
RAVICH MARK HDirector
|
GrantCommon Stock | 19,759 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-034647 · a4.xml · nonDerivative · entry 1 RAVICH MARK H · CIK 0000897727 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 356,709 F1 · kind: Restricted stock units vest on June 6, 2020. Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 23:27 UTC |
COOPER JOHN GDirector
|
GrantStock Option (Right to Buy) · Derivative | 22,461 | $0.00 Strike: $4.15 | $0.00 |
DisclosureSEC source: 0001104659-19-034649 · a4.xml · derivative · entry 2 COOPER JOHN G · CIK 0001164287 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,461 Underlying: Common Stock · 22,461 shares Expires 2029-06-06 Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 23:27 UTC |
COOPER JOHN GDirector
|
GrantCommon Stock | 19,879 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-034649 · a4.xml · nonDerivative · entry 1 COOPER JOHN G · CIK 0001164287 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,879 F1 · kind: Restricted stock units vest on June 6, 2020. Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 23:21 UTC |
Wolin BenjaminDirector
|
GrantStock Option (Right to Buy) · Derivative | 22,461 | $0.00 Strike: $4.15 | $0.00 |
DisclosureSEC source: 0001104659-19-034648 · a4.xml · derivative · entry 2 Wolin Benjamin · CIK 0001492650 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,461 Underlying: Common Stock · 22,461 shares Expires 2029-06-06 Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 23:21 UTC |
Wolin BenjaminDirector
|
GrantCommon Stock | 27,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-034648 · a4.xml · nonDerivative · entry 1 Wolin Benjamin · CIK 0001492650 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,710 F1 · kind: Restricted stock units vest on June 6, 2020. Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 23:12 UTC |
COLLERAN LISA NDirector
|
GrantStock Option (Right to Buy) · Derivative | 22,461 | $0.00 Strike: $4.15 | $0.00 |
DisclosureSEC source: 0001104659-19-034645 · a4.xml · derivative · entry 2 COLLERAN LISA N · CIK 0001212312 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,461 Underlying: Common Stock · 22,461 shares Expires 2029-06-06 Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 23:12 UTC |
COLLERAN LISA NDirector
|
GrantCommon Stock | 18,674 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-034645 · a4.xml · nonDerivative · entry 1 COLLERAN LISA N · CIK 0001212312 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,674 F1 · kind: Restricted stock units vest on June 6, 2020. Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 23:09 UTC |
Smith Robin LDirector
|
GrantStock Option (Right to Buy) · Derivative | 22,461 | $0.00 Strike: $4.15 | $0.00 |
DisclosureSEC source: 0001104659-19-034644 · a4.xml · derivative · entry 2 Smith Robin L · CIK 0001365035 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,461 Underlying: Common Stock · 22,461 shares Expires 2029-06-06 Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 23:09 UTC |
Smith Robin LDirector
|
GrantCommon Stock | 21,566 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-034644 · a4.xml · nonDerivative · entry 1 Smith Robin L · CIK 0001365035 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,366 F1 · kind: Restricted stock units vest on June 6, 2020. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 353 | $5.65 | $1,992.79 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.xml · nonDerivative · entry 7 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 66,736 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F8 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 328 | $5.65 | $1,851.66 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.xml · nonDerivative · entry 6 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 66,383 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F8 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 499 | $5.65 | $2,817.00 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.xml · nonDerivative · entry 5 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 66,055 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F8 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 835 | $5.65 | $4,713.83 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.xml · nonDerivative · entry 4 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 65,556 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F9 · balance_after: Not reported herein are transactions by RBI Plan in which no Reporting Person (including Messrs. Richmond and Curfman) has a pecuniary interest. F8 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 2,051 | $5.65 | $11,578.51 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.xml · nonDerivative · entry 3 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Spouse of Matthew J. Curfman Disclosed balance after: 38,300 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. F13 · ownership.nature: Represents securities directly owned by Mr. Curfman's spouse. Mr. Curfman may be deemed to beneficially own the securities owned directly by his spouse. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 71 | $5.65 | $400.82 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.xml · nonDerivative · entry 2 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Matthew J. Curfman Disclosed balance after: 42,835 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. Read SEC document |
| May 09, 2019 Filed May 13, 2019 22:23 UTC |
Richmond David S.10% owner · See Footnotes 1 and 2
RBI Private Investment I, LLCSee Footnotes 1 and 2
RBI Private Investment II, LLCSee Footnotes 1 and 2
RBI OPPORTUNITIES FUND, LLCSee Footnotes 1 and 2
RBI PI Manager, LLC10% owner · See Footnotes 1 and 2
Richmond Brothers 401(k) Profit Sharing PlanSee Footnotes 1 and 2
Richmond Brothers, Inc.See Footnotes 1, 2 and 3
Curfman Matthew J.See Footnotes 1 and 2
RBI OPPORTUNITIES FUND II, LLCSee Footnotes 1 and 2
|
PurchaseCommon Stock | 506 | $5.65 | $2,856.52 |
DisclosureSEC source: 0000921895-19-001400 · form411265002_05132019.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnotes 1 and 2 RBI Private Investment I, LLC · CIK 0001698720 · See Footnotes 1 and 2 RBI Private Investment II, LLC · CIK 0001697890 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND, LLC · CIK 0001755611 · See Footnotes 1 and 2 RBI PI Manager, LLC · CIK 0001698718 · 10% owner · See Footnotes 1 and 2 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnotes 1 and 2 Richmond Brothers, Inc. · CIK 0001540462 · See Footnotes 1, 2 and 3 Curfman Matthew J. · CIK 0001698617 · See Footnotes 1 and 2 RBI OPPORTUNITIES FUND II, LLC · CIK 0001772258 · See Footnotes 1 and 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,436 F1 · security: This Form 4 is filed jointly by RBI Private Investment I, LLC ("RBI PI"), RBI Private Investment II, LLC ("RBI PII"), The RBI Opportunities Fund, LLC ("RBI Opportunities"), The RBI Opportunities Fund II, LLC ("RBI Opportunities II"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · security: Not reported herein are shares of Common Stock held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the shares held in the Separately Managed Accounts for purposes of Section 16. Read SEC document |
| April 25, 2019 Filed Apr 30, 2019 20:30 UTC |
Kull DavidPrincipal Accounting Officer
|
GrantStock Option (Right to Buy) · Derivative | 16,000 | $0.00 Strike: $4.81 | $0.00 |
DisclosureSEC source: 0001104659-19-025341 · a4.xml · derivative · entry 2 Kull David · CIK 0001752569 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2029-04-25 F2 · derivative.exercise_date: Stock options vest in three equal installments on the first, second and third anniversaries of April 25, 2019, subject to the Reporting Person's continued employment with the Issuer. Read SEC document |
| April 25, 2019 Filed Apr 30, 2019 20:30 UTC |
Kull DavidPrincipal Accounting Officer
|
GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-025341 · a4.xml · nonDerivative · entry 1 Kull David · CIK 0001752569 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,270 F1 · kind: Restricted stock units vest in three equal installments on the first, second and third anniversaries of April 25, 2019, subject to the Reporting Person's continued employment with the Issuer. F1 · shares: Restricted stock units vest in three equal installments on the first, second and third anniversaries of April 25, 2019, subject to the Reporting Person's continued employment with the Issuer. Read SEC document |
| April 25, 2019 Filed Apr 30, 2019 20:31 UTC |
Gupta AjaySr. VP & Chief Scientific Off.
|
GrantStock Option (Right to Buy) · Derivative | 28,000 | $0.00 Strike: $4.81 | $0.00 |
DisclosureSEC source: 0001104659-19-025343 · a4.xml · derivative · entry 2 Gupta Ajay · CIK 0001466676 · Sr. VP & Chief Scientific Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,000 Underlying: Common Stock · 28,000 shares Expires 2029-04-25 F2 · derivative.exercise_date: Stock options vest in three equal installments on the first, second and third anniversaries of April 25, 2019, subject to the Reporting Person's continued employment with the Issuer. Read SEC document |
| April 25, 2019 Filed Apr 30, 2019 20:31 UTC |
Gupta AjaySr. VP & Chief Scientific Off.
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GrantCommon Stock | 17,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-025343 · a4.xml · nonDerivative · entry 1 Gupta Ajay · CIK 0001466676 · Sr. VP & Chief Scientific Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 607,949 F1 · kind: Restricted stock units vest in three equal installments on the first, second and third anniversaries of April 25, 2019, subject to the Reporting Person's continued employment with the Issuer. F1 · shares: Restricted stock units vest in three equal installments on the first, second and third anniversaries of April 25, 2019, subject to the Reporting Person's continued employment with the Issuer. 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.