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RETRACTABLE TECHNOLOGIES INC

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7624
SEC CIK
0000946563
Parsed reports
504

Last 12 months

Inside the activity.

3 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202530
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 25, 2024 Filed Jan 26, 2024 22:00 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 2,497 $1.22 $3,048.34
Disclosure

SEC source: 0001415889-24-001878 · form4-01262024_100141.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,186,652

F1 · price: Represents weighted average price.

Read SEC document
January 24, 2024 Filed Jan 25, 2024 22:23 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,984 $1.23 $2,440.32
Disclosure

SEC source: 0001415889-24-001815 · form4-01252024_100128.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,184,155

F2 · price: Represents weighted average price.

Read SEC document
January 23, 2024 Filed Jan 25, 2024 22:23 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,555 $1.22 $4,335.32
Disclosure

SEC source: 0001415889-24-001815 · form4-01252024_100128.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,182,171

F1 · price: Represents weighted average price.

Read SEC document
January 22, 2024 Filed Jan 23, 2024 16:52 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 2,324 $1.22 $2,835.28
Disclosure

SEC source: 0001415889-24-001653 · form4-01232024_040151.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,178,616

Read SEC document
January 19, 2024 Filed Jan 23, 2024 16:52 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,222 $1.22 $3,930.84
Disclosure

SEC source: 0001415889-24-001653 · form4-01232024_040151.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,176,292

Read SEC document
January 18, 2024 Filed Jan 19, 2024 16:24 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,984 $1.21 $2,395.48
Disclosure

SEC source: 0001415889-24-001566 · form4-01192024_040159.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,173,070

F2 · price: Represents weighted average price.

Read SEC document
January 17, 2024 Filed Jan 19, 2024 16:24 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 2,511 $1.19 $2,985.58
Disclosure

SEC source: 0001415889-24-001566 · form4-01192024_040159.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,171,086

F1 · price: Represents weighted average price.

Read SEC document
January 16, 2024 Filed Jan 17, 2024 15:19 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 6,333 $1.18 $7,482.44
Disclosure

SEC source: 0001415889-24-001132 · form4-01172024_030156.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,168,575

F2 · price: Represents weighted average price.

Read SEC document
January 12, 2024 Filed Jan 17, 2024 15:19 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 2,410 $1.20 $2,887.42
Disclosure

SEC source: 0001415889-24-001132 · form4-01172024_030156.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,162,242

F1 · price: Represents weighted average price.

Read SEC document
January 11, 2024 Filed Jan 12, 2024 20:28 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,881 $1.14 $2,144.15
Disclosure

SEC source: 0001415889-24-001024 · form4-01122024_080146.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,159,832

F1 · price: Represents weighted average price.

Read SEC document
January 10, 2024 Filed Jan 12, 2024 20:28 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 596 $1.12 $667.52
Disclosure

SEC source: 0001415889-24-001024 · form4-01122024_080146.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,157,951

Read SEC document
January 09, 2024 Filed Jan 10, 2024 17:12 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,217 $1.09 $3,518.75
Disclosure

SEC source: 0001415889-24-000890 · form4-01102024_050115.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,157,355

F2 · price: Represents weighted average price.

Read SEC document
January 08, 2024 Filed Jan 10, 2024 17:12 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,073 $1.11 $3,408.57
Disclosure

SEC source: 0001415889-24-000890 · form4-01102024_050115.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,154,138

F1 · price: Represents weighted average price.

Read SEC document
January 05, 2024 Filed Jan 8, 2024 15:41 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 2,248 $1.13 $2,539.12
Disclosure

SEC source: 0001415889-24-000805 · form4-01082024_030125.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,151,065

F2 · price: Represents weighted average price.

Read SEC document
January 04, 2024 Filed Jan 8, 2024 15:41 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,654 $1.13 $1,869.02
Disclosure

SEC source: 0001415889-24-000805 · form4-01082024_030125.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,148,817

F1 · price: Represents weighted average price.

Read SEC document
January 03, 2024 Filed Jan 4, 2024 15:56 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 2,154 $1.10 $2,364.88
Disclosure

SEC source: 0001415889-24-000478 · form4-01042024_030144.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,147,163

F2 · price: Represents weighted average price.

Read SEC document
January 02, 2024 Filed Jan 4, 2024 15:56 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,368 $1.08 $3,653.94
Disclosure

SEC source: 0001415889-24-000478 · form4-01042024_030144.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,145,009

F1 · price: Represents weighted average price.

Read SEC document
December 28, 2023 Filed Dec 29, 2023 22:26 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,351 $1.09 $1,472.59
Disclosure

SEC source: 0001415889-23-017024 · form4-12292023_101248.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,141,641

F2 · price: Represents weighted average price.

Read SEC document
December 27, 2023 Filed Dec 29, 2023 22:26 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 2,104 $1.06 $2,230.24
Disclosure

SEC source: 0001415889-23-017024 · form4-12292023_101248.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,140,290

F1 · price: Represents weighted average price.

Read SEC document
December 26, 2023 Filed Dec 27, 2023 17:08 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 4,100 $1.08 $4,423.90
Disclosure

SEC source: 0001415889-23-016953 · form4-12272023_051227.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,138,186

F2 · price: Represents weighted average price.

Read SEC document
December 22, 2023 Filed Dec 27, 2023 17:08 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,606 $1.11 $4,016.00
Disclosure

SEC source: 0001415889-23-016953 · form4-12272023_051227.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,134,086

F1 · price: Represents weighted average price.

Read SEC document
December 21, 2023 Filed Dec 22, 2023 16:35 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,341 $1.11 $3,702.16
Disclosure

SEC source: 0001415889-23-016879 · form4-12222023_041229.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,130,480

F2 · price: Represents weighted average price.

Read SEC document
December 20, 2023 Filed Dec 22, 2023 16:35 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,465 $1.13 $1,655.30
Disclosure

SEC source: 0001415889-23-016879 · form4-12222023_041229.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,127,139

F1 · price: Represents weighted average price.

Read SEC document
December 19, 2023 Filed Dec 20, 2023 17:04 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,568 $1.09 $3,902.32
Disclosure

SEC source: 0001415889-23-016769 · form4-12202023_051247.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,125,674

F1 · price: Represents weighted average price.

Read SEC document
December 18, 2023 Filed Dec 20, 2023 17:04 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,415 $1.12 $1,584.80
Disclosure

SEC source: 0001415889-23-016769 · form4-12202023_051247.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,122,106

Read SEC document
December 15, 2023 Filed Dec 18, 2023 17:27 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,653 $1.10 $1,818.30
Disclosure

SEC source: 0001415889-23-016562 · form4-12182023_051214.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,120,691

Read SEC document
December 14, 2023 Filed Dec 18, 2023 17:27 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,053 $1.13 $3,460.88
Disclosure

SEC source: 0001415889-23-016562 · form4-12182023_051214.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,119,038

F1 · price: Represents weighted average price.

Read SEC document
December 13, 2023 Filed Dec 14, 2023 16:02 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,578 $1.12 $1,767.36
Disclosure

SEC source: 0001415889-23-016427 · form4-12142023_041240.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,115,985

Read SEC document
December 12, 2023 Filed Dec 14, 2023 16:02 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,559 $1.14 $4,047.65
Disclosure

SEC source: 0001415889-23-016427 · form4-12142023_041240.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,114,407

F1 · price: Represents weighted average price.

Read SEC document
December 11, 2023 Filed Dec 12, 2023 15:38 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,534 $1.10 $3,902.60
Disclosure

SEC source: 0001415889-23-016274 · form4-12122023_031237.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,110,848

F2 · price: Represents weighted average price.

Read SEC document
December 08, 2023 Filed Dec 12, 2023 15:38 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 2,835 $1.09 $3,076.54
Disclosure

SEC source: 0001415889-23-016274 · form4-12122023_031237.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,107,314

F1 · price: Represents weighted average price.

Read SEC document
December 07, 2023 Filed Dec 8, 2023 21:28 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 2,262 $1.07 $2,430.29
Disclosure

SEC source: 0001415889-23-016047 · form4-12082023_091225.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,104,479

F1 · price: Represents weighted average price.

Read SEC document
December 06, 2023 Filed Dec 7, 2023 17:10 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,199 $1.10 $3,503.22
Disclosure

SEC source: 0001415889-23-015953 · form4-12072023_051219.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,102,217

F2 · price: Represents weighted average price.

Read SEC document
December 05, 2023 Filed Dec 7, 2023 17:10 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 3,012 $1.10 $3,326.75
Disclosure

SEC source: 0001415889-23-015953 · form4-12072023_051219.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,099,018

F1 · price: Represents weighted average price.

Read SEC document
December 04, 2023 Filed Dec 5, 2023 21:16 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,595 $1.13 $1,799.32
Disclosure

SEC source: 0001415889-23-015843 · form4-12052023_091220.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,096,006

F1 · price: Represents weighted average price.

Read SEC document
December 01, 2023 Filed Dec 4, 2023 16:04 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,626 $1.15 $1,864.86
Disclosure

SEC source: 0001415889-23-015720 · form4-12042023_041211.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,094,411

F1 · price: Represents weighted average price.

Read SEC document
November 30, 2023 Filed Dec 1, 2023 17:03 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 2,577 $1.13 $2,922.83
Disclosure

SEC source: 0001415889-23-015683 · form4-12012023_051233.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,092,785

F1 · price: Represents weighted average price.

Read SEC document
November 29, 2023 Filed Nov 30, 2023 22:02 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,000 $1.14 $1,140.00
Disclosure

SEC source: 0001415889-23-015637 · form4-11302023_101138.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,090,208

Read SEC document
November 28, 2023 Filed Nov 29, 2023 15:19 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 4,317 $1.09 $4,697.33
Disclosure

SEC source: 0001415889-23-015564 · form4-11292023_031115.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,089,208

F1 · price: Represents weighted average price.

Read SEC document
November 27, 2023 Filed Nov 28, 2023 15:16 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 2,800 $1.12 $3,130.68
Disclosure

SEC source: 0001415889-23-015521 · form4-11282023_031104.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,084,891

F1 · price: Represents weighted average price.

Read SEC document
November 24, 2023 Filed Nov 27, 2023 15:19 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,100 $1.10 $1,210.00
Disclosure

SEC source: 0001415889-23-015470 · form4-11272023_031110.xml · nonDerivative · entry 3

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,082,091

Read SEC document
November 22, 2023 Filed Nov 27, 2023 15:19 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 100 $1.10 $110.00
Disclosure

SEC source: 0001415889-23-015470 · form4-11272023_031110.xml · nonDerivative · entry 2

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,080,991

Read SEC document
November 22, 2023 Filed Nov 27, 2023 15:19 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,200 $1.12 $1,344.00
Disclosure

SEC source: 0001415889-23-015470 · form4-11272023_031110.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,080,891

Read SEC document
November 21, 2023 Filed Nov 22, 2023 16:27 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,500 $1.10 $1,649.55
Disclosure

SEC source: 0001415889-23-015382 · form4-11222023_041101.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,079,691

Read SEC document
November 20, 2023 Filed Nov 21, 2023 22:30 UTC
SHAW THOMAS JDirector · PRESIDENT AND CEO · 10% owner
PurchaseCommon Stock 1,531 $1.08 $1,647.82
Disclosure

SEC source: 0001415889-23-015351 · form4-11212023_101124.xml · nonDerivative · entry 1

SHAW THOMAS J · CIK 0001174567 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,078,191

F1 · price: Represents weighted average price.

Read SEC document
December 29, 2022 Filed Dec 29, 2022 22:43 UTC SaleCommon Stock 3,000,000 $1.60 $4,800,000.00
Disclosure

SEC source: 0001567619-22-022102 · doc1.xml · nonDerivative · entry 1

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Holding of BML Investment Partners, L.P.

Disclosed balance after: 688,575

F2 · price: The shares were sold in one negotiated transaction at $1.60.

F1 · ownership.direct: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
December 19, 2022 Filed Dec 20, 2022 21:31 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
OtherOption (non-qualified) · Derivative 1 $0.00 Strike: $13.00 $0.00
Disclosure

SEC source: 0001174567-22-000001 · primary_doc.xml · derivative · entry 3

SHAW THOMAS J · CIK 0001174567 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires 2031-03-16

F2 · kind: Termination of award agreement.

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December 19, 2022 Filed Dec 20, 2022 21:21 UTC
Larios MicheleVP/ General Counsel
OtherOption (non-qualified) · Derivative 1 $0.00 Strike: $13.00 $0.00
Disclosure

SEC source: 0001290802-22-000001 · primary_doc.xml · derivative · entry 4

Larios Michele · CIK 0001290802 · VP/ General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 242,308 shares

Expires 2031-03-16

F1 · kind: Termination of award agreement.

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December 19, 2022 Filed Dec 20, 2022 21:21 UTC
Larios MicheleVP/ General Counsel
OtherOption (incentive) · Derivative 1 $0.00 Strike: $13.00 $0.00
Disclosure

SEC source: 0001290802-22-000001 · primary_doc.xml · derivative · entry 3

Larios Michele · CIK 0001290802 · VP/ General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,692 shares

Expires 2031-03-16

F1 · kind: Termination of award agreement.

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December 19, 2022 Filed Dec 20, 2022 21:10 UTC
Fort John W IIIDirector · VP/CFO
OtherOption (non-qualified) · Derivative 1 $0.00 Strike: $13.00 $0.00
Disclosure

SEC source: 0001772712-22-000001 · primary_doc.xml · derivative · entry 2

Fort John W III · CIK 0001772712 · Director · VP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 92,308 shares

Expires 2031-03-16

F1 · kind: Termination of award agreement.

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