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SAFEGUARD SCIENTIFICS INC

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9612
SEC CIK
0000086115
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303

Last 12 months

Inside the activity.

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Dec 202500
Jan 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 30, 2024 Filed Jan 31, 2024 14:19 UTC GrantCommon Stock 20,775 $0.71 $14,750.25
Disclosure

SEC source: 0001437749-24-002626 · rdgdoc.xml · nonDerivative · entry 1

DeMont Ross D · CIK 0001360838 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 287,256

F2 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

Read SEC document
January 30, 2024 Filed Jan 31, 2024 14:09 UTC GrantCommon Stock 22,506 $0.71 $15,979.26
Disclosure

SEC source: 0001437749-24-002624 · rdgdoc.xml · nonDerivative · entry 1

Michelson Beth · CIK 0001926849 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,352

F1 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

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January 30, 2024 Filed Jan 31, 2024 14:01 UTC GrantCommon Stock 20,775 $0.71 $14,750.25
Disclosure

SEC source: 0001437749-24-002622 · rdgdoc.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 186,400

F1 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

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January 30, 2024 Filed Feb 1, 2024 19:36 UTC GrantCommon Stock, $0.10 par value 38,087 $0.71 $27,041.77
Disclosure

SEC source: 0000921895-24-000185 · form411238003_02012024.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 232,323

F1 · shares: The securities reported in Table I were awarded to the Reporting Person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

F1 · price: The securities reported in Table I were awarded to the Reporting Person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

Read SEC document
December 15, 2023 Filed Dec 19, 2023 12:59 UTC
SALZMAN ERICChief Executive Officer
Tax withholdingCommon Stock 5,244 $1.03 $5,411.28
Disclosure

SEC source: 0001437749-23-034825 · rdgdoc.xml · nonDerivative · entry 3

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 346,726

Read SEC document
December 15, 2023 Filed Dec 19, 2023 12:59 UTC
SALZMAN ERICChief Executive Officer
Tax withholdingCommon Stock 63,614 $1.03 $65,643.29
Disclosure

SEC source: 0001437749-23-034825 · rdgdoc.xml · nonDerivative · entry 2

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 351,970

Read SEC document
December 15, 2023 Filed Dec 19, 2023 12:59 UTC
SALZMAN ERICChief Executive Officer
GrantCommon Stock 125,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-034825 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 415,584

F1 · shares: On March 15, 2023, the reporting person was granted a performance stock unit to acquire 125,000 shares of common stock, the vesting of which is subject to the satisfaction of certain corporate performance criteria. In accordance with the previously established criteria, such performance stock units vested and the underlying shares were issued as reported in Table I.

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November 15, 2023 Filed Nov 16, 2023 18:35 UTC
SALZMAN ERICChief Executive Officer
Tax withholdingCommon Stock 5,318 $1.00 $5,297.79
Disclosure

SEC source: 0001437749-23-032292 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 290,584

Read SEC document
October 16, 2023 Filed Oct 17, 2023 14:53 UTC
SALZMAN ERICChief Executive Officer
Tax withholdingCommon Stock 5,298 $1.11 $5,880.78
Disclosure

SEC source: 0001437749-23-028346 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 295,902

Read SEC document
October 16, 2023 Filed Oct 17, 2023 14:44 UTC GrantCommon Stock 14,327 $1.11 $15,902.97
Disclosure

SEC source: 0001437749-23-028341 · rdgdoc.xml · nonDerivative · entry 1

DeMont Ross D · CIK 0001360838 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 266,481

F2 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarte

Read SEC document
October 16, 2023 Filed Oct 17, 2023 14:35 UTC GrantCommon Stock 15,521 $1.11 $17,228.31
Disclosure

SEC source: 0001437749-23-028338 · rdgdoc.xml · nonDerivative · entry 1

Michelson Beth · CIK 0001926849 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,846

F1 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

Read SEC document
October 16, 2023 Filed Oct 17, 2023 14:28 UTC Amendment GrantCommon Stock 14,327 $1.11 $15,902.97
Disclosure

SEC source: 0001437749-23-028335 · rdgdoc.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 165,625

F1 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter. The original Form 4 inadvertently omitted this footnote.

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October 16, 2023 Filed Oct 17, 2023 14:19 UTC GrantCommon Stock 14,327 $1.11 $15,902.97
Disclosure

SEC source: 0001437749-23-028331 · rdgdoc.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 165,625

Read SEC document
October 16, 2023 Filed Oct 18, 2023 20:45 UTC GrantCommon Stock, $0.10 par value 26,266 $1.11 $29,155.26
Disclosure

SEC source: 0000921895-23-002349 · form411238003_10182023.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194,236

F1 · shares: The securities reported herein were awarded to the Reporting Person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

F1 · price: The securities reported herein were awarded to the Reporting Person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

Read SEC document
September 15, 2023 Filed Sep 18, 2023 17:03 UTC
SALZMAN ERICChief Executive Officer
Tax withholdingCommon Stock 5,298 $1.13 $6,007.93
Disclosure

SEC source: 0001437749-23-026168 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 301,200

Read SEC document
August 18, 2023 Filed Aug 21, 2023 22:20 UTC SaleCommon Stock 22,899 $1.17 $26,791.83
Disclosure

SEC source: 0001209191-23-046784 · doc4.xml · nonDerivative · entry 6

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By A.G. Family L.P.

Disclosed balance after: 360,000

F5 · ownership.nature: The reporting person controls the general partner of the partnership that owns the reported securities.

Read SEC document
August 18, 2023 Filed Aug 21, 2023 22:20 UTC PurchaseCommon Stock 50,000 $1.17 $58,500.00
Disclosure

SEC source: 0001209191-23-046784 · doc4.xml · nonDerivative · entry 5

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 525,000

F9 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.17 to $1.18. The reporting person undertakes 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 purchased at each separate price within the range set forth in this footnote.

F10 · ownership.direct: Includes 125,000 shares held jointly with the reporting person's spouse.

Read SEC document
August 17, 2023 Filed Aug 21, 2023 22:20 UTC SaleCommon Stock 117,000 $1.17 $136,890.00
Disclosure

SEC source: 0001209191-23-046784 · doc4.xml · nonDerivative · entry 4

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By family members and related entities

Disclosed balance after: 258,055

F6 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.17 to $1.19. The reporting person undertakes 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.

F7 · ownership.nature: The reporting person has been granted limited powers of attorney to exercise voting and dispositive power with respect to the securities held by the following parties: Satterfield Vintage Investments LP (50,000 shares); the reporting person's father (100,000 shares); the reporting person's sister (16,500 shares); the reporting person's brother-in-law (15,000 shares); the reporting person's second brother-in-law (7,500 shares); the reporting person's daughter (2,000 shares); a trust for the reporting person's granddaughter (2,500 shares); a trust for the reporting person's second granddaughter (1,000 shares); Riachuello Ranch LLC (1,000 shares); the reporting person's step-sister (4,000 shares); the reporting person's second step-sister (2,000 shares);

F8 · ownership.nature: (Continued from footnote 7) and the reporting person's third step-sister and spouse (16,000 shares). The reporting person's prior power of attorney over the 31,555 shares held by his brother was terminated. The reporting person's limited powers of attorney over the 40,555 shares for the reporting person's step-brother and his spouse, which were held via a limited partnership, remained in place; however, the shares were transferred directly to his step-brother and spouse from the limited partnership and no longer fall under the scope of the power of attorney.

Read SEC document
August 17, 2023 Filed Aug 21, 2023 22:20 UTC SaleCommon Stock 124,196 $1.18 $146,551.28
Disclosure

SEC source: 0001209191-23-046784 · doc4.xml · nonDerivative · entry 3

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By A.G. Family L.P.

Disclosed balance after: 382,899

F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.17 to $1.20. The reporting person undertakes 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.

F5 · ownership.nature: The reporting person controls the general partner of the partnership that owns the reported securities.

Read SEC document
August 17, 2023 Filed Aug 21, 2023 22:20 UTC PurchaseCommon Stock 15,000 $1.19 $17,850.00
Disclosure

SEC source: 0001209191-23-046784 · doc4.xml · nonDerivative · entry 2

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 25,000

F3 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.18 to $1.20. The reporting person undertakes 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 purchased at each separate price within the range set forth in this footnote.

Read SEC document
August 17, 2023 Filed Aug 21, 2023 22:20 UTC PurchaseCommon Stock 229,000 $1.18 $270,220.00
Disclosure

SEC source: 0001209191-23-046784 · doc4.xml · nonDerivative · entry 1

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 475,000

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.16 to $1.20. The reporting person undertakes 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: Includes 100,000 shares held jointly with the reporting person's spouse.

Read SEC document
August 15, 2023 Filed Aug 16, 2023 18:44 UTC
SALZMAN ERICChief Executive Officer
Tax withholdingCommon Stock 5,297 $1.23 $6,515.31
Disclosure

SEC source: 0001437749-23-023935 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,498

Read SEC document
July 17, 2023 Filed Jul 18, 2023 20:19 UTC
SALZMAN ERICChief Executive Officer
Tax withholdingCommon Stock 5,297 $1.44 $7,601.20
Disclosure

SEC source: 0001437749-23-020159 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 311,795

Read SEC document
July 17, 2023 Filed Jul 18, 2023 16:52 UTC GrantCommon Stock 9,407 $1.44 $13,499.05
Disclosure

SEC source: 0001437749-23-020111 · rdgdoc.xml · nonDerivative · entry 1

DeMont Ross D · CIK 0001360838 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 252,154

F2 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarte

Read SEC document
July 17, 2023 Filed Jul 18, 2023 16:34 UTC GrantCommon Stock 8,796 $1.44 $12,622.26
Disclosure

SEC source: 0001437749-23-020103 · rdgdoc.xml · nonDerivative · entry 1

Michelson Beth · CIK 0001926849 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,325

F1 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

Read SEC document
July 17, 2023 Filed Jul 18, 2023 16:26 UTC GrantCommon Stock 9,407 $1.44 $13,499.05
Disclosure

SEC source: 0001437749-23-020100 · rdgdoc.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 151,298

F1 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

Read SEC document
July 17, 2023 Filed Jul 19, 2023 21:06 UTC GrantCommon Stock, $0.10 par value 17,247 $1.44 $24,749.45
Disclosure

SEC source: 0000921895-23-001700 · form411238003_07192023.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 167,970

F1 · shares: The securities reported herein were awarded to the Reporting Person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

F1 · price: The securities reported herein were awarded to the Reporting Person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

Read SEC document
June 30, 2023 Filed Jun 30, 2023 14:52 UTC GrantCommon Stock 44,497 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-018981 · rdgdoc.xml · nonDerivative · entry 1

DeMont Ross D · CIK 0001360838 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 242,747

Read SEC document
June 30, 2023 Filed Jun 30, 2023 14:42 UTC GrantCommon Stock 44,497 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-018977 · rdgdoc.xml · nonDerivative · entry 1

Michelson Beth · CIK 0001926849 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,529

Read SEC document
June 30, 2023 Filed Jun 30, 2023 14:32 UTC GrantCommon Stock 44,497 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-018973 · rdgdoc.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,891

Read SEC document
June 30, 2023 Filed Jul 5, 2023 20:16 UTC GrantCommon Stock, $0.10 par value 44,497 $0.00 $0.00
Disclosure

SEC source: 0000921895-23-001635 · form411238003_07052023.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,723

Read SEC document
June 15, 2023 Filed Jun 20, 2023 11:53 UTC
SALZMAN ERICChief Executive Officer
Tax withholdingCommon Stock 4,854 $1.63 $7,894.55
Disclosure

SEC source: 0001437749-23-017764 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 317,092

Read SEC document
May 15, 2023 Filed May 16, 2023 16:57 UTC
SALZMAN ERICChief Executive Officer
Tax withholdingCommon Stock 5,297 $1.76 $9,322.72
Disclosure

SEC source: 0001437749-23-014748 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 321,946

Read SEC document
April 17, 2023 Filed Apr 19, 2023 20:24 UTC GrantCommon Stock, $0.10 par value 15,791 $1.90 $30,002.90
Disclosure

SEC source: 0000921895-23-000901 · form411238003_04192023.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,226

F1 · price: The securities reported in Table I were awarded to the Reporting Person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

Read SEC document
April 17, 2023 Filed Apr 19, 2023 13:13 UTC GrantCommon Stock 8,613 $1.90 $16,364.70
Disclosure

SEC source: 0001437749-23-010613 · rdgdoc.xml · nonDerivative · entry 1

DeMont Ross D · CIK 0001360838 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 198,250

F2 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

Read SEC document
April 17, 2023 Filed Apr 19, 2023 13:07 UTC Grantcommon stock 9,331 $1.90 $17,728.90
Disclosure

SEC source: 0001437749-23-010611 · rdgdoc.xml · nonDerivative · entry 1

Morrison Maureen F · CIK 0001720970 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,615

F1 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

Read SEC document
April 17, 2023 Filed Apr 19, 2023 13:02 UTC Grantcommon stock 7,178 $1.90 $13,638.20
Disclosure

SEC source: 0001437749-23-010609 · rdgdoc.xml · nonDerivative · entry 1

Michelson Beth · CIK 0001926849 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,032

F1 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

Read SEC document
April 17, 2023 Filed Apr 19, 2023 12:56 UTC Grantcommon stock 8,613 $1.90 $16,364.70
Disclosure

SEC source: 0001437749-23-010606 · rdgdoc.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,394

F1 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

Read SEC document
April 15, 2023 Filed Apr 18, 2023 12:12 UTC
SALZMAN ERICChief Executive Officer
Tax withholdingcommon stock 4,762 $1.89 $8,976.37
Disclosure

SEC source: 0001437749-23-010496 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 327,243

Read SEC document
April 12, 2023 Filed Apr 13, 2023 20:56 UTC PurchaseCommon Stock 7,095 $1.71 $12,132.45
Disclosure

SEC source: 0001209191-23-024225 · doc4.xml · nonDerivative · entry 3

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By A.G. Family L.P.

Disclosed balance after: 507,095

F5 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.70 to $1.75. The reporting person undertakes 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 purchased at each separate price within the range set forth in this footnote.

F6 · ownership.nature: The reporting person controls the general partner of the partnership that owns the reported securities.

Read SEC document
April 12, 2023 Filed Apr 13, 2023 20:56 UTC PurchaseCommon Stock 49,890 $1.66 $82,817.40
Disclosure

SEC source: 0001209191-23-024225 · doc4.xml · nonDerivative · entry 2

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By family members and related entities

Disclosed balance after: 406,590

F4 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.57 to $1.70. The reporting person undertakes 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The reporting person has been granted limited powers of attorney to exercise voting and dispositive power with respect to the securities held by the following parties: Satterfield Vintage Investments LP (50,000 shares); the reporting person's father (150,000 shares); the reporting person's brother (31,555 shares); the reporting person's sister (42,500 shares); the reporting person's brother-in-law (20,000 shares); Rita Phifer (20,000 shares); the reporting person's second brother-in-law (7,500 shares); the reporting person's nephew (4,000 shares); the reporting person's niece (750 shares); the reporting person's second niece (750 shares); the reporting person's step-brother and his spouse (40,555 shares); the reporting person's daughter (2,000 shares); a trust for the reporting person's granddaughter (3,000 shares); a trust for the reporting person's second granddaughter (1,000 shares); Riachuello Ranch LLC (1,000 shares); the reporting person's step-sister (4,000 shares);

F3 · ownership.nature: (Continued from footnote 2), the reporting person's second step-sister (2,000 shares); the reporting person's third step-sister and spouse (5,000 shares); the reporting person's fourth step-sister and spouse (5,000 shares); and the reporting person's fifth step-sister and spouse (16,000 shares).

Read SEC document
April 11, 2023 Filed Apr 13, 2023 20:56 UTC PurchaseCommon Stock 48,032 $1.53 $73,488.96
Disclosure

SEC source: 0001209191-23-024225 · doc4.xml · nonDerivative · entry 1

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By family members and related entities

Disclosed balance after: 356,700

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.46 to $1.60. The reporting person undertakes 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The reporting person has been granted limited powers of attorney to exercise voting and dispositive power with respect to the securities held by the following parties: Satterfield Vintage Investments LP (50,000 shares); the reporting person's father (150,000 shares); the reporting person's brother (31,555 shares); the reporting person's sister (42,500 shares); the reporting person's brother-in-law (20,000 shares); Rita Phifer (20,000 shares); the reporting person's second brother-in-law (7,500 shares); the reporting person's nephew (4,000 shares); the reporting person's niece (750 shares); the reporting person's second niece (750 shares); the reporting person's step-brother and his spouse (40,555 shares); the reporting person's daughter (2,000 shares); a trust for the reporting person's granddaughter (3,000 shares); a trust for the reporting person's second granddaughter (1,000 shares); Riachuello Ranch LLC (1,000 shares); the reporting person's step-sister (4,000 shares);

F3 · ownership.nature: (Continued from footnote 2), the reporting person's second step-sister (2,000 shares); the reporting person's third step-sister and spouse (5,000 shares); the reporting person's fourth step-sister and spouse (5,000 shares); and the reporting person's fifth step-sister and spouse (16,000 shares).

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March 15, 2023 Filed Mar 16, 2023 20:02 UTC PurchaseCommon Stock 2,078 $1.94 $4,031.32
Disclosure

SEC source: 0001209191-23-019256 · doc4.xml · nonDerivative · entry 5

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By family members and related entities

Disclosed balance after: 308,668

F6 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.88 to $1.95. The reporting person undertakes 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 purchased at each separate price within the range set forth in this footnote.

F7 · ownership.nature: The reporting person has been granted limited powers of attorney to exercise voting and dispositive power with respect to the securities held by the following parties: Satterfield Vintage Investments LP (50,000 shares); the reporting person's father (52,078 shares); the reporting person's brother (31,555 shares); the reporting person's sister (42,500 shares); the reporting person's brother-in-law (20,000 shares); Rita Phifer (20,000 shares); the reporting person's second brother-in-law (7,500 shares); the reporting person's nephew (4,000 shares); the reporting person's niece (750 shares); the reporting person's second niece (750 shares); the reporting person's step-brother and his spouse (40,555 shares); the reporting person's daughter (2,000 shares); a trust for the reporting person's granddaughter (3,000 shares); a trust for the reporting person's second granddaughter (1,000 shares); Riachuello Ranch LLC (1,000 shares); the reporting person's step-sister (4,000 shares);

F8 · ownership.nature: (Continued from footnote 7), the reporting person's second step-sister (2,000 shares); the reporting person's third step-sister and spouse (5,000 shares); the reporting person's fourth step-sister and spouse (5,000 shares); and the reporting person's fifth step-sister and spouse (16,000 shares).

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March 15, 2023 Filed Mar 16, 2023 20:02 UTC PurchaseCommon Stock 40,034 $1.80 $72,061.20
Disclosure

SEC source: 0001209191-23-019256 · doc4.xml · nonDerivative · entry 4

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tomsat Investment & Trading Co., Inc.

Disclosed balance after: 250,000

F5 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.77 to $1.83. The reporting person undertakes 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 purchased at each separate price within the range set forth in this footnote.

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March 15, 2023 Filed Mar 16, 2023 20:02 UTC PurchaseCommon Stock 25,000 $1.81 $45,250.00
Disclosure

SEC source: 0001209191-23-019256 · doc4.xml · nonDerivative · entry 3

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,000

F4 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.80 to $1.95. The reporting person undertakes 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: Includes 20,000 shares held jointly with the reporting person's spouse.

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March 15, 2023 Filed Mar 17, 2023 15:14 UTC
SALZMAN ERICChief Executive Officer
Tax withholdingcommon stock 5,297 $1.87 $9,878.91
Disclosure

SEC source: 0001437749-23-007005 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 332,005

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March 14, 2023 Filed Mar 16, 2023 20:02 UTC PurchaseCommon Stock 9,966 $1.77 $17,639.82
Disclosure

SEC source: 0001209191-23-019256 · doc4.xml · nonDerivative · entry 2

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tomsat Investment & Trading Co., Inc.

Disclosed balance after: 209,966

F3 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.71 to $1.78. The reporting person undertakes 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 purchased at each separate price within the range set forth in this footnote.

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March 14, 2023 Filed Mar 16, 2023 20:02 UTC PurchaseCommon Stock 50,000 $1.76 $88,000.00
Disclosure

SEC source: 0001209191-23-019256 · doc4.xml · nonDerivative · entry 1

SATTERFIELD THOMAS A JR · CIK 0001132317 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,000

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.70 to $1.78. The reporting person undertakes 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: Includes 20,000 shares held jointly with the reporting person's spouse.

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February 15, 2023 Filed Feb 16, 2023 23:25 UTC
SALZMAN ERICChief Executive Officer
Tax withholdingCommon Stock 5,296 $3.19 $16,867.76
Disclosure

SEC source: 0001437749-23-003651 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,302

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January 17, 2023 Filed Jan 18, 2023 19:27 UTC GrantCommon Stock 5,369 $3.13 $16,778.13
Disclosure

SEC source: 0001437749-23-001209 · rdgdoc.xml · nonDerivative · entry 1

Morrison Maureen F · CIK 0001720970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,284

F1 · price: The securities reported in Table I were awarded to the reporting person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.

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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.