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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
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
July 10, 2020 Filed Jul 10, 2020 17:35 UTC SaleCommon Stock 900 $7.56 $6,804.00
Disclosure

SEC source: 0001255420-20-000002 · primary_doc.xml · nonDerivative · entry 3

KUHLMAN RUSSELL B · CIK 0001255420 · VP - Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,100

Read SEC document
July 10, 2020 Filed Jul 10, 2020 17:35 UTC SaleCommon Stock 200 $7.57 $1,514.00
Disclosure

SEC source: 0001255420-20-000002 · primary_doc.xml · nonDerivative · entry 2

KUHLMAN RUSSELL B · CIK 0001255420 · VP - Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,000

Read SEC document
July 10, 2020 Filed Jul 10, 2020 17:35 UTC SaleCommon Stock 8,800 $7.55 $66,440.00
Disclosure

SEC source: 0001255420-20-000002 · primary_doc.xml · nonDerivative · entry 1

KUHLMAN RUSSELL B · CIK 0001255420 · VP - Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,200

Read SEC document
July 09, 2020 Filed Jul 9, 2020 21:30 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 600 $7.28 $4,368.00
Disclosure

SEC source: 0001174567-20-000058 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,562,289

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
July 02, 2020 Filed Jul 2, 2020 21:39 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 700 $6.59 $4,613.00
Disclosure

SEC source: 0001174567-20-000057 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,561,689

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
June 30, 2020 Filed Jun 30, 2020 20:53 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 400 $6.82 $2,728.00
Disclosure

SEC source: 0001174567-20-000056 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,560,989

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
June 30, 2020 Filed Oct 29, 2020 21:08 UTC Amendment
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 437 $6.82 $2,980.34
Disclosure

SEC source: 0001174567-20-000068 · primary_doc.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,075,526

F4 · shares: The Form 4 filed on 6/30/20 mistakenly listed the number of shares purchased as 400.

F1 · balance_after: This number is the total number of shares directly owned by Mr. Shaw as of the date of this Form 4/A filing. This is not the total number of shares owned on the indicated transaction date.

Read SEC document
June 26, 2020 Filed Jun 26, 2020 21:11 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 700 $6.70 $4,690.00
Disclosure

SEC source: 0001174567-20-000055 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,560,589

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
June 25, 2020 Filed Jun 26, 2020 21:11 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 400 $7.07 $2,828.00
Disclosure

SEC source: 0001174567-20-000055 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,559,889

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
June 22, 2020 Filed Jun 23, 2020 21:32 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 300 $6.06 $1,818.00
Disclosure

SEC source: 0001174567-20-000054 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,559,489

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
June 12, 2020 Filed Jun 16, 2020 20:23 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 183 $6.22 $1,138.26
Disclosure

SEC source: 0001174567-20-000053 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,559,189

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 18:06 UTC SaleCommon Stock 10,000 $6.15 $61,500.00
Disclosure

SEC source: 0001255420-20-000001 · primary_doc.xml · nonDerivative · entry 1

KUHLMAN RUSSELL B · CIK 0001255420 · VP - Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000

Read SEC document
June 08, 2020 Filed Jun 8, 2020 20:49 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 300 $6.05 $1,815.00
Disclosure

SEC source: 0001174567-20-000052 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,559,006

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
June 05, 2020 Filed Jun 8, 2020 19:15 UTC OtherOption (non-qualified) · Derivative 50,000 Not disclosed Strike: $1.46 Not disclosed
Disclosure

SEC source: 0001554340-20-000001 · primary_doc.xml · derivative · entry 2

Bigby Walter O Jr · CIK 0001554340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2023-05-14

F1 · price: This item is inapplicable for a stock option exercised at the exercise price.

Read SEC document
June 03, 2020 Filed Jun 3, 2020 21:12 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 200 $6.07 $1,214.00
Disclosure

SEC source: 0001174567-20-000051 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,558,706

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
May 28, 2020 Filed May 28, 2020 20:21 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 100 $5.54 $554.00
Disclosure

SEC source: 0001174567-20-000050 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,558,506

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
May 26, 2020 Filed May 26, 2020 18:07 UTC
Larios MicheleVP/General Counsel
OtherOption (incentive) · Derivative 50,000 Not disclosed Strike: $1.05 Not disclosed
Disclosure

SEC source: 0001290802-20-000001 · 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 · 50,000 shares

Expires 2026-12-27

F1 · price: This item is inapplicable for a stock option exercised at the exercise price.

Read SEC document
May 21, 2020 Filed May 22, 2020 16:20 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 300 $4.76 $1,428.00
Disclosure

SEC source: 0001174567-20-000049 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,558,406

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
May 20, 2020 Filed May 21, 2020 17:48 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 300 $4.99 $1,497.00
Disclosure

SEC source: 0001174567-20-000048 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,558,106

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
May 19, 2020 Filed May 21, 2020 17:48 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 300 $5.17 $1,551.00
Disclosure

SEC source: 0001174567-20-000048 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,557,806

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
May 13, 2020 Filed May 13, 2020 20:16 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 300 $4.36 $1,308.00
Disclosure

SEC source: 0001174567-20-000047 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,557,506

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
May 07, 2020 Filed May 7, 2020 22:01 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 200 $4.76 $952.00
Disclosure

SEC source: 0001174567-20-000046 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,557,206

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
May 01, 2020 Filed May 1, 2020 23:04 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 500 $2.87 $1,435.00
Disclosure

SEC source: 0001174567-20-000045 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,557,006

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
April 28, 2020 Filed Apr 29, 2020 15:46 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 1,200 $2.91 $3,492.00
Disclosure

SEC source: 0001174567-20-000044 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,556,506

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
April 27, 2020 Filed Apr 27, 2020 21:29 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 1,500 $3.11 $4,665.00
Disclosure

SEC source: 0001174567-20-000043 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,555,306

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
April 24, 2020 Filed Apr 24, 2020 21:46 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 800 $3.10 $2,480.00
Disclosure

SEC source: 0001174567-20-000042 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,553,806

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
April 23, 2020 Filed Apr 24, 2020 21:46 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 300 $3.01 $903.00
Disclosure

SEC source: 0001174567-20-000042 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,553,006

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
April 22, 2020 Filed Apr 23, 2020 16:48 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 400 $3.01 $1,204.00
Disclosure

SEC source: 0001174567-20-000041 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,552,706

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
April 20, 2020 Filed Apr 21, 2020 16:22 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 700 $2.57 $1,799.00
Disclosure

SEC source: 0001174567-20-000040 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,552,306

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
April 17, 2020 Filed Oct 29, 2020 21:08 UTC Amendment
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 1,400 $2.94 $4,116.00
Disclosure

SEC source: 0001174567-20-000068 · primary_doc.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,075,526

F3 · shares: All purchases reported in this Form 4/A were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019. The Reporting Person became aware of this purchase on or about 10/29/2020.

F1 · balance_after: This number is the total number of shares directly owned by Mr. Shaw as of the date of this Form 4/A filing. This is not the total number of shares owned on the indicated transaction date.

Read SEC document
April 14, 2020 Filed Apr 15, 2020 14:42 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 800 $2.26 $1,808.00
Disclosure

SEC source: 0001174567-20-000039 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,551,606

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
April 07, 2020 Filed Apr 8, 2020 21:57 UTC
SHAW THOMAS JDirector · President and CEo · 10% owner
PurchaseCommon Stock 1,000 $1.50 $1,500.00
Disclosure

SEC source: 0001174567-20-000038 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,550,806

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
April 03, 2020 Filed Apr 6, 2020 14:57 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 2,000 $1.25 $2,500.00
Disclosure

SEC source: 0001174567-20-000037 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,549,806

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
April 01, 2020 Filed Oct 29, 2020 21:08 UTC Amendment
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 4,300 $1.40 $6,020.00
Disclosure

SEC source: 0001174567-20-000068 · primary_doc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,075,526

F3 · shares: All purchases reported in this Form 4/A were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019. The Reporting Person became aware of this purchase on or about 10/29/2020.

F1 · balance_after: This number is the total number of shares directly owned by Mr. Shaw as of the date of this Form 4/A filing. This is not the total number of shares owned on the indicated transaction date.

Read SEC document
March 31, 2020 Filed Apr 1, 2020 15:10 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 2,200 $1.54 $3,388.00
Disclosure

SEC source: 0001174567-20-000036 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,547,806

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
March 30, 2020 Filed Mar 31, 2020 15:15 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 1,000 $1.26 $1,260.00
Disclosure

SEC source: 0001174567-20-000035 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,546,606

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 14:52 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 1,000 $1.23 $1,230.00
Disclosure

SEC source: 0001174567-20-000034 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,545,606

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

Read SEC document
March 26, 2020 Filed Mar 26, 2020 20:54 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 1,125 $1.29 $1,451.25
Disclosure

SEC source: 0001174567-20-000033 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,544,606

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
March 24, 2020 Filed Mar 25, 2020 15:19 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 1,885 $1.14 $2,148.90
Disclosure

SEC source: 0001174567-20-000032 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,543,481

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
March 20, 2020 Filed Oct 29, 2020 21:08 UTC Amendment
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 2,500 $1.15 $2,875.00
Disclosure

SEC source: 0001174567-20-000068 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,075,526

F3 · shares: All purchases reported in this Form 4/A were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019. The Reporting Person became aware of this purchase on or about 10/29/2020.

F1 · balance_after: This number is the total number of shares directly owned by Mr. Shaw as of the date of this Form 4/A filing. This is not the total number of shares owned on the indicated transaction date.

Read SEC document
March 18, 2020 Filed Mar 20, 2020 14:56 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 2,000 $1.15 $2,300.00
Disclosure

SEC source: 0001174567-20-000031 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,541,596

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

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March 16, 2020 Filed Mar 17, 2020 14:15 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 4,000 $1.09 $4,360.00
Disclosure

SEC source: 0001174567-20-000030 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,539,596

F1 · shares: The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

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March 12, 2020 Filed Mar 13, 2020 14:53 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 8,750 $1.27 $11,112.50
Disclosure

SEC source: 0001174567-20-000029 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,535,596

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or any security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
March 11, 2020 Filed Mar 11, 2020 21:54 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 3,698 $1.47 $5,436.06
Disclosure

SEC source: 0001174567-20-000028 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,526,846

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or any security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
March 10, 2020 Filed Mar 11, 2020 14:49 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 11,528 $1.52 $17,522.56
Disclosure

SEC source: 0001174567-20-000027 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,523,148

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or any security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
March 09, 2020 Filed Mar 10, 2020 14:44 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 10,000 $1.55 $15,500.00
Disclosure

SEC source: 0001174567-20-000026 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,511,620

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or any security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 14:57 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 11,500 $1.69 $19,435.00
Disclosure

SEC source: 0001174567-20-000025 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,501,620

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or any security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
March 04, 2020 Filed Mar 5, 2020 16:21 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 1,300 $1.69 $2,197.00
Disclosure

SEC source: 0001174567-20-000024 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,490,120

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 21:28 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 1,862 $1.66 $3,090.92
Disclosure

SEC source: 0001174567-20-000023 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,488,820

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

F2 · price: Represents the weighted average purchase price. Mr. Shaw will provide to the SEC, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each price upon written request.

Read SEC document
March 02, 2020 Filed Mar 2, 2020 21:34 UTC
SHAW THOMAS JDirector · President and CEO · 10% owner
PurchaseCommon Stock 1,200 $1.64 $1,968.00
Disclosure

SEC source: 0001174567-20-000022 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,486,958

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Purchase Plan entered into December 2, 2019.

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.