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Nasdaq · USD

SENS

Senseonics Holdings, Inc.

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Tapewire entity
5469
SEC CIK
0001616543
Parsed reports
441

Last 12 months

Inside the activity.

8 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202540
Dec 202500
Jan 202600
Feb 202600
Mar 202620
Apr 202600
May 202610
Jun 202600
Jul 202600
Aug 202610
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
April 28, 2020 Filed Apr 29, 2020 18:00 UTC SaleCommon Stock 31,228 $0.60 $18,833.61
Disclosure

SEC source: 0001209191-20-026216 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,620,952

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6003 to $0.6085, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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April 27, 2020 Filed Apr 29, 2020 18:00 UTC SaleCommon Stock 95,469 $0.62 $59,610.84
Disclosure

SEC source: 0001209191-20-026216 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,652,180

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6200 to $0.6290, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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April 22, 2020 Filed Apr 23, 2020 17:18 UTC SaleCommon Stock 119,712 $0.63 $75,861.49
Disclosure

SEC source: 0001209191-20-025454 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,747,649

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6234 to $0.6584, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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April 21, 2020 Filed Apr 23, 2020 17:18 UTC SaleCommon Stock 45,349 $0.66 $29,998.36
Disclosure

SEC source: 0001209191-20-025454 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,867,361

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6555 to $0.6650, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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April 20, 2020 Filed Apr 20, 2020 18:43 UTC SaleCommon Stock 94,663 $0.69 $65,270.14
Disclosure

SEC source: 0001209191-20-025162 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,912,710

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6849 to $0.6936, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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April 17, 2020 Filed Apr 20, 2020 18:43 UTC SaleCommon Stock 59,135 $0.68 $40,241.37
Disclosure

SEC source: 0001209191-20-025162 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,007,373

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6710 to $0.6848, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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April 16, 2020 Filed Apr 20, 2020 18:43 UTC SaleCommon Stock 49,786 $0.67 $33,416.36
Disclosure

SEC source: 0001209191-20-025162 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,066,508

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6600 to $0.6800, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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April 15, 2020 Filed Apr 15, 2020 18:52 UTC SaleCommon Stock 59,569 $0.68 $40,375.87
Disclosure

SEC source: 0001209191-20-024538 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,116,294

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6602 to $0.6822, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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April 14, 2020 Filed Apr 15, 2020 18:52 UTC SaleCommon Stock 48,564 $0.68 $33,227.49
Disclosure

SEC source: 0001209191-20-024538 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,175,863

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6814 to $0.6900, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 13, 2020 Filed Apr 15, 2020 18:52 UTC SaleCommon Stock 70,184 $0.66 $46,363.55
Disclosure

SEC source: 0001209191-20-024538 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,224,427

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6500 to $0.6710, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 09, 2020 Filed Apr 9, 2020 17:15 UTC SaleCommon Stock 128,301 $0.67 $85,525.45
Disclosure

SEC source: 0001209191-20-024068 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,294,611

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6438 to $0.6892, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 08, 2020 Filed Apr 9, 2020 17:15 UTC SaleCommon Stock 98,802 $0.63 $62,403.34
Disclosure

SEC source: 0001209191-20-024068 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,422,912

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6263 to $0.6400, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 07, 2020 Filed Apr 9, 2020 17:15 UTC SaleCommon Stock 101,116 $0.62 $62,722.25
Disclosure

SEC source: 0001209191-20-024068 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,521,714

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6144 to $0.6369, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 06, 2020 Filed Apr 6, 2020 18:52 UTC SaleCommon Stock 119,929 $0.59 $70,710.14
Disclosure

SEC source: 0001209191-20-023660 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,622,830

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.5825 to $0.5970, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 03, 2020 Filed Apr 6, 2020 18:52 UTC SaleCommon Stock 59,699 $0.52 $31,336.01
Disclosure

SEC source: 0001209191-20-023660 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,742,759

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.5218 to $0.5443, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
April 02, 2020 Filed Apr 6, 2020 18:52 UTC SaleCommon Stock 111,699 $0.56 $62,261.02
Disclosure

SEC source: 0001209191-20-023660 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,802,458

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.5526 to $0.5641, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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April 01, 2020 Filed Apr 1, 2020 18:31 UTC SaleCommon Stock 42,935 $0.58 $24,842.19
Disclosure

SEC source: 0001209191-20-022254 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,914,157

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.5727 to $0.5846, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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April 01, 2020 Filed Apr 3, 2020 21:19 UTC GrantCommon Stock 22,368 $0.57 $12,749.76
Disclosure

SEC source: 0001209191-20-023307 · doc4.xml · nonDerivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,590

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $12,749.76 divided by $0.57, the closing price of Issuer's common stock on the NYSE American on April 1, 2020.

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April 01, 2020 Filed Apr 3, 2020 21:18 UTC GrantCommon Stock 32,949 $0.57 $18,780.93
Disclosure

SEC source: 0001209191-20-023298 · doc4.xml · nonDerivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 820,008

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $18,780.93 divided by $0.57, the closing price of Issuer's common stock on the NYSE American on April 1, 2020.

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April 01, 2020 Filed Apr 3, 2020 21:15 UTC GrantCommon Stock 13,212 $0.57 $7,530.84
Disclosure

SEC source: 0001209191-20-023291 · doc4.xml · nonDerivative · entry 1

Prince Douglas S · CIK 0001666995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,926

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $7,530.84 divided by $0.57, the closing price of Issuer's common stock on the NYSE American on April 1, 2020.

F2 · balance_after: On previous Section 16 filings the number of shares owned by the Reporting Person has been inadvertently overstated. This represents the current holdings of the Reporting Person.

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April 01, 2020 Filed Apr 3, 2020 17:20 UTC GrantCommon Stock 11,184 $0.57 $6,374.88
Disclosure

SEC source: 0001209191-20-023311 · doc4.xml · nonDerivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,506

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $6,374.88 divided by $0.57, the closing price of Issuer's common stock on the NYSE American on April 1, 2020.

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April 01, 2020 Filed Apr 3, 2020 21:17 UTC GrantCommon Stock 20,833 $0.57 $11,874.81
Disclosure

SEC source: 0001209191-20-023295 · doc4.xml · nonDerivative · entry 1

Steven Edelman · CIK 0001683354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,837

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $11,874.81 divided by $0.57, the closing price of Issuer's common stock on the NYSE American on April 1, 2020.

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March 31, 2020 Filed Apr 1, 2020 18:31 UTC SaleCommon Stock 79,919 $0.63 $50,069.25
Disclosure

SEC source: 0001209191-20-022254 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,957,092

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6078 to $0.6330, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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March 30, 2020 Filed Apr 1, 2020 18:31 UTC SaleCommon Stock 171,667 $0.63 $108,682.38
Disclosure

SEC source: 0001209191-20-022254 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,037,011

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6223 to $0.6401, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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March 27, 2020 Filed Mar 27, 2020 17:53 UTC SaleCommon Stock 175,356 $0.67 $116,857.24
Disclosure

SEC source: 0001209191-20-021468 · doc4.xml · nonDerivative · entry 3

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,208,678

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6601 to $0.6738, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

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March 26, 2020 Filed Mar 27, 2020 17:53 UTC SaleCommon Stock 261,503 $0.74 $192,440.06
Disclosure

SEC source: 0001209191-20-021468 · doc4.xml · nonDerivative · entry 2

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,384,034

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.7163 to $0.7437, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
March 25, 2020 Filed Mar 27, 2020 17:53 UTC SaleCommon Stock 265,646 $0.80 $212,809.01
Disclosure

SEC source: 0001209191-20-021468 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 10 L P · CIK 0001132326 · 10% owner

NEA PARTNERS 10 L P · CIK 0001236049 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,645,537

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.75 to $0.9012, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: The shares are directly held by New Enterprise Associates 10, Limited Partnership ("NEA 10") and indirectly held by NEA Partners 10, Limited Partnership ("NEA Partners 10"), the sole general partner of NEA 10, and the individual general partner of NEA Partners 10 (NEA Partners 10 and its individual general partner together, the "Indirect Reporting Persons"). The individual general partner of NEA Partners 10 is Scott D. Sandell. The NEA 10 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the NEA 10 Indirect Reporting Persons have no pecuniary interest.

Read SEC document
March 16, 2020 Filed Mar 18, 2020 21:38 UTC
Goodnow Timothy TDirector · President and CEO
Exercise / conversionEmployee stock option (right to buy) · Derivative 80,000 $0.00 Strike: $0.54 $0.00
Disclosure

SEC source: 0001209191-20-020061 · doc4.xml · derivative · entry 4

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,878,610

Underlying: Common Stock · 80,000 shares

Expires 2020-12-02

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

F4 · security: Immediately exercisable. In connection with the termination of the Rule 10b5-1 trading plan, as described in footnote (2), the Reporting Person has agreed to forfeit the unexercised portions of these stock options for no consideration.

F2 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 10, 2019. This 10b5-1 plan related to the periodic exercises of stock options that were scheduled to expire between December 2, 2020 and February 27, 2021, and would expire worthless if not exercised by their respective expiration dates, and sales of the shares underlying such options. Effective March 18, 2020, the Reporting Person terminated this Rule 10b5-1 trading plan and, as described in footnote (4) agreed to forfeit the unexercised portions of these stock options for no consideration.

F4 · derivative.exercise_date: Immediately exercisable. In connection with the termination of the Rule 10b5-1 trading plan, as described in footnote (2), the Reporting Person has agreed to forfeit the unexercised portions of these stock options for no consideration.

F4 · derivative.expiration_date: Immediately exercisable. In connection with the termination of the Rule 10b5-1 trading plan, as described in footnote (2), the Reporting Person has agreed to forfeit the unexercised portions of these stock options for no consideration.

F4 · balance_after: Immediately exercisable. In connection with the termination of the Rule 10b5-1 trading plan, as described in footnote (2), the Reporting Person has agreed to forfeit the unexercised portions of these stock options for no consideration.

Read SEC document
March 16, 2020 Filed Mar 18, 2020 21:38 UTC
Goodnow Timothy TDirector · President and CEO
SaleCommon Stock 80,000 $0.71 $56,800.00
Disclosure

SEC source: 0001209191-20-020061 · doc4.xml · nonDerivative · entry 3

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 437,012

F2 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 10, 2019. This 10b5-1 plan related to the periodic exercises of stock options that were scheduled to expire between December 2, 2020 and February 27, 2021, and would expire worthless if not exercised by their respective expiration dates, and sales of the shares underlying such options. Effective March 18, 2020, the Reporting Person terminated this Rule 10b5-1 trading plan and, as described in footnote (4) agreed to forfeit the unexercised portions of these stock options for no consideration.

F3 · price: Price reflected is a weighted-average sale price for the shares sold. The range of sale prices for the transaction reported was $0.6101 - $0.7475 per share, inclusive. The Reporting Person is undertaken to provide upon request of the staff, the Issuer, or a secondary holder of the Issuer, full information regarding the number of shares sold at each price.

Read SEC document
March 16, 2020 Filed Mar 18, 2020 21:38 UTC
Goodnow Timothy TDirector · President and CEO
Exercise / conversionCommon Stock 80,000 $0.54 $43,200.00
Disclosure

SEC source: 0001209191-20-020061 · doc4.xml · nonDerivative · entry 2

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 517,012

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

F2 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 10, 2019. This 10b5-1 plan related to the periodic exercises of stock options that were scheduled to expire between December 2, 2020 and February 27, 2021, and would expire worthless if not exercised by their respective expiration dates, and sales of the shares underlying such options. Effective March 18, 2020, the Reporting Person terminated this Rule 10b5-1 trading plan and, as described in footnote (4) agreed to forfeit the unexercised portions of these stock options for no consideration.

Read SEC document
March 09, 2020 Filed Mar 12, 2020 01:31 UTC
Goodnow Timothy TDirector · President and CEO
Exercise / conversionEmployee stock option (right to buy) · Derivative 80,000 $0.00 Strike: $0.54 $0.00
Disclosure

SEC source: 0001209191-20-018312 · doc4.xml · derivative · entry 3

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,958,610

Underlying: Common Stock · 80,000 shares

Expires 2020-12-02

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

F1 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 10, 2019. This 10b5-1 plan relates to the periodic exercises of stock options that are scheduled to expire between December 2, 2020 and February 27, 2021, and would expire worthless if not exercised by their respective expiration dates, and sales of the shares underlying such options.

F3 · derivative.exercise_date: Immediately exercisable.

Read SEC document
March 09, 2020 Filed Mar 12, 2020 01:31 UTC
Goodnow Timothy TDirector · President and CEO
SaleCommon Stock 80,000 $1.28 $102,400.00
Disclosure

SEC source: 0001209191-20-018312 · doc4.xml · nonDerivative · entry 2

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,012

F1 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 10, 2019. This 10b5-1 plan relates to the periodic exercises of stock options that are scheduled to expire between December 2, 2020 and February 27, 2021, and would expire worthless if not exercised by their respective expiration dates, and sales of the shares underlying such options.

F2 · price: Price reflected is a weighted-average sale price for the shares sold. The range of sale prices for the transaction reported was $1.22 - $1.36 per share, inclusive. The Reporting Person is undertaken to provide upon request of the staff, the Issuer, or a secondary holder of the Issuer, full information regarding the number of shares sold at each price.

Read SEC document
March 09, 2020 Filed Mar 12, 2020 01:31 UTC
Goodnow Timothy TDirector · President and CEO
Exercise / conversionCommon Stock 80,000 $0.54 $43,200.00
Disclosure

SEC source: 0001209191-20-018312 · doc4.xml · nonDerivative · entry 1

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 505,012

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

F1 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 10, 2019. This 10b5-1 plan relates to the periodic exercises of stock options that are scheduled to expire between December 2, 2020 and February 27, 2021, and would expire worthless if not exercised by their respective expiration dates, and sales of the shares underlying such options.

Read SEC document
January 31, 2020 Filed Mar 18, 2020 21:38 UTC
Goodnow Timothy TDirector · President and CEO
OtherCommon Stock 12,000 $0.70 $8,400.00
Disclosure

SEC source: 0001209191-20-020061 · doc4.xml · nonDerivative · entry 1

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 437,012

F1 · kind: These shares were acquired under the Issuer's Employee Stock Purchase Plan ("ESPP") in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). This represents the maximum number of shares the Reporting Person could purchase through the ESPP.

Read SEC document
January 02, 2020 Filed Jan 6, 2020 21:23 UTC GrantCommon Stock 20,503 $0.92 $18,780.75
Disclosure

SEC source: 0001209191-20-001800 · doc4.xml · nonDerivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 787,059

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $18,780.75 divided by $0.916, the closing price of Issuer's common stock on the NYSE American on December 31, 2019.

Read SEC document
January 02, 2020 Filed Jan 6, 2020 21:25 UTC GrantCommon Stock 8,221 $0.92 $7,530.44
Disclosure

SEC source: 0001209191-20-001822 · doc4.xml · nonDerivative · entry 1

Prince Douglas S · CIK 0001666995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,531

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $7,530.44 divided by $0.916, the closing price of Issuer's common stock on the NYSE American on December 31, 2019.

Read SEC document
January 02, 2020 Filed Jan 6, 2020 21:24 UTC GrantCommon Stock 13,919 $0.92 $12,749.80
Disclosure

SEC source: 0001209191-20-001809 · doc4.xml · nonDerivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,222

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $12,749.80 divided by $0.916, the closing price of Issuer's common stock on the NYSE American on December 31, 2019.

Read SEC document
January 02, 2020 Filed Jan 6, 2020 18:33 UTC GrantCommon Stock 6,959 $0.92 $6,374.44
Disclosure

SEC source: 0001209191-20-002111 · doc4.xml · nonDerivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,322

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $6,374.44 divided by $0.916, the closing price of Issuer's common stock on the NYSE American on December 31, 2019.

Read SEC document
January 02, 2020 Filed Jan 6, 2020 21:21 UTC GrantCommon Stock 12,963 $0.92 $11,874.11
Disclosure

SEC source: 0001209191-20-001793 · doc4.xml · nonDerivative · entry 1

Steven Edelman · CIK 0001683354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,004

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $11,874.11 divided by $0.916, the closing price of Issuer's common stock on the NYSE American on December 31, 2019.

Read SEC document
November 15, 2019 Filed Nov 19, 2019 22:18 UTC
Tressler Nick B.Chief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 300,000 $0.00 Strike: $0.87 $0.00
Disclosure

SEC source: 0001209191-19-057250 · doc4.xml · derivative · entry 1

Tressler Nick B. · CIK 0001794362 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2029-11-14

F1 · derivative.exercise_date: One-fourth of the shares vest on November 15, 2020, with the remaining shares vesting in 36 equal installments at the end of the calendar month for each month after November 15, 2020, subject to the reporting person's continuous service with the issuer as of the applicable vesting date.

Read SEC document
October 01, 2019 Filed Oct 2, 2019 21:08 UTC GrantCommon Stock 19,912 $0.94 $18,717.28
Disclosure

SEC source: 0001209191-19-051827 · doc4.xml · nonDerivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766,556

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $18,781.25 divided by $0.94, the closing price of Issuer's common stock on the NYSE American on October 1, 2019.

Read SEC document
October 01, 2019 Filed Oct 2, 2019 21:09 UTC GrantCommon Stock 7,984 $0.94 $7,504.96
Disclosure

SEC source: 0001209191-19-051828 · doc4.xml · nonDerivative · entry 1

Prince Douglas S · CIK 0001666995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,310

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $7,531.25 divided by $0.94, the closing price of Issuer's common stock on the NYSE American on October 1, 2019.

Read SEC document
October 01, 2019 Filed Oct 2, 2019 21:12 UTC GrantCommon Stock 13,517 $0.94 $12,705.98
Disclosure

SEC source: 0001209191-19-051834 · doc4.xml · nonDerivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,303

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $12,750.00 divided by $0.94, the closing price of Issuer's common stock on the NYSE American on October 1, 2019.

Read SEC document
October 01, 2019 Filed Oct 2, 2019 17:10 UTC GrantCommon Stock 6,758 $0.94 $6,352.52
Disclosure

SEC source: 0001209191-19-051830 · doc4.xml · nonDerivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,363

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $6,375.00 divided by $0.94, the closing price of Issuer's common stock on the NYSE American on October 1, 2019.

Read SEC document
October 01, 2019 Filed Oct 2, 2019 21:13 UTC GrantCommon Stock 12,590 $0.94 $11,834.60
Disclosure

SEC source: 0001209191-19-051835 · doc4.xml · nonDerivative · entry 1

Steven Edelman · CIK 0001683354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,041

F1 · acquired: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $11,875.00 divided by $0.94, the closing price of Issuer's common stock on the NYSE American on October 1, 2019.

Read SEC document
September 09, 2019 Filed Sep 11, 2019 20:04 UTC
Goodnow Timothy TDirector · President and CEO
PurchaseCommon Stock 88,500 $1.10 $97,350.00
Disclosure

SEC source: 0001209191-19-049129 · doc4.xml · nonDerivative · entry 1

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,012

F1 · shares: Price reflected is a weighted-average purchase price for the shares purchased. The range of purchase prices for the transaction reported was $1.06 - $1.12 per share, inclusive. The reporting person is undertaken to provide upon request of the staff, the issuer, or a secondary holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · price: Price reflected is a weighted-average purchase price for the shares purchased. The range of purchase prices for the transaction reported was $1.06 - $1.12 per share, inclusive. The reporting person is undertaken to provide upon request of the staff, the issuer, or a secondary holder of the issuer, full information regarding the number of shares purchased at each price.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 20:36 UTC GrantCommon Stock 9,681 $1.94 $18,781.14
Disclosure

SEC source: 0001209191-19-041148 · doc4.xml · nonDerivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 746,644

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $18,781.25 divided by $1.94, the closing price of Issuer's common stock on the NYSE American on July 1, 2019.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 20:35 UTC GrantCommon Stock 6,572 $1.94 $12,749.68
Disclosure

SEC source: 0001209191-19-041143 · doc4.xml · nonDerivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,786

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $12,750.00 divided by $1.94, the closing price of Issuer's common stock on the NYSE American on July 1, 2019.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 20:33 UTC GrantCommon Stock 3,882 $1.94 $7,531.08
Disclosure

SEC source: 0001209191-19-041134 · doc4.xml · nonDerivative · entry 1

Prince Douglas S · CIK 0001666995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,326

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $7,531.25 divided by $1.94, the closing price of Issuer's common stock on the NYSE American on July 1, 2019.

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July 01, 2019 Filed Jul 3, 2019 16:34 UTC GrantCommon Stock 3,286 $1.94 $6,374.84
Disclosure

SEC source: 0001209191-19-041137 · doc4.xml · nonDerivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,605

F1 · shares: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $6,375.00 divided by $1.94, the closing price of Issuer's common stock on the NYSE American on July 1, 2019.

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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.