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SAFEGUARD SCIENTIFICS INC

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SEC CIK
0000086115
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303

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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
August 01, 2020 Filed Aug 3, 2020 20:26 UTC
SALZMAN ERICChief Restructuring Officer
Exercise / conversionRestricted Stock Units · Derivative 3,333 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-016311 · rdgdoc.xml · derivative · entry 2

SALZMAN ERIC · CIK 0001512117 · Chief Restructuring Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,667

Underlying: Common Stock · 3,333 shares

Expires not disclosed

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 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On April 10, 2020 the reporting person was granted 20,000 restricted stock units. The restricted stock units will vest pro rata on a monthly basis over the six-month period beginning May 1, 2020.

F2 · derivative.expiration_date: On April 10, 2020 the reporting person was granted 20,000 restricted stock units. The restricted stock units will vest pro rata on a monthly basis over the six-month period beginning May 1, 2020.

Read SEC document
August 01, 2020 Filed Aug 3, 2020 20:26 UTC
SALZMAN ERICChief Restructuring Officer
Exercise / conversionCommon Stock 3,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-20-016311 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Restructuring Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,527

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 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

Read SEC document
July 15, 2020 Filed Jul 16, 2020 22:20 UTC GrantCommon Stock, $0.10 par value 2,278 $6.29 $14,317.23
Disclosure

SEC source: 0000921895-20-001997 · form411238003_07162020.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,782

F1 · price: The securities reported in Column 4 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 15, 2020 Filed Jul 16, 2020 16:34 UTC GrantCommon Stock 2,069 $6.29 $13,003.67
Disclosure

SEC source: 0001437749-20-015248 · rdgdoc.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,039

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 15, 2020 Filed Jul 16, 2020 16:24 UTC GrantCommon Stock 2,468 $6.29 $15,511.38
Disclosure

SEC source: 0001437749-20-015245 · rdgdoc.xml · nonDerivative · entry 1

Morrison Maureen F · CIK 0001720970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,093

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 15, 2020 Filed Jul 16, 2020 16:13 UTC
ROSENTHAL BOBDirector · Executive Chairman
GrantCommon Stock 4,176 $6.29 $26,246.16
Disclosure

SEC source: 0001437749-20-015242 · rdgdoc.xml · nonDerivative · entry 1

ROSENTHAL BOB · CIK 0001203911 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,886

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 01, 2020 Filed Jul 2, 2020 18:44 UTC
SALZMAN ERICChief Restructuring Officer
Exercise / conversionRestricted Stock Units · Derivative 3,333 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-014490 · rdgdoc.xml · derivative · entry 2

SALZMAN ERIC · CIK 0001512117 · Chief Restructuring Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 3,333 shares

Expires not disclosed

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 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On April 10, 2020 the reporting person was granted 20,000 restricted stock units. The restricted stock units will vest pro rata on a monthly basis over the six-month period beginning May 1, 2020.

F2 · derivative.expiration_date: On April 10, 2020 the reporting person was granted 20,000 restricted stock units. The restricted stock units will vest pro rata on a monthly basis over the six-month period beginning May 1, 2020.

Read SEC document
July 01, 2020 Filed Jul 2, 2020 18:44 UTC
SALZMAN ERICChief Restructuring Officer
Exercise / conversionCommon Stock 3,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-20-014490 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Restructuring Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,194

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 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

Read SEC document
June 30, 2020 Filed Jul 1, 2020 15:37 UTC GrantCommon Stock 10,892 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-014321 · rdgdoc.xml · nonDerivative · entry 1

Morrison Maureen F · CIK 0001720970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,625

Read SEC document
June 30, 2020 Filed Jul 1, 2020 15:30 UTC GrantCommon Stock 10,892 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-014318 · rdgdoc.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,970

Read SEC document
June 30, 2020 Filed Jul 1, 2020 15:21 UTC
ROSENTHAL BOBDirector · Executive Chairman
GrantCommon Stock 10,892 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-014316 · rdgdoc.xml · nonDerivative · entry 1

ROSENTHAL BOB · CIK 0001203911 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,710

Read SEC document
June 30, 2020 Filed Jul 2, 2020 18:22 UTC GrantCommon Stock, $0.10 par value 10,892 $0.00 $0.00
Disclosure

SEC source: 0000921895-20-001902 · form411238003_07022020.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,504

Read SEC document
June 12, 2020 Filed Jun 15, 2020 20:17 UTC PurchaseCommon Stock, $0.10 par value 10,000 $6.44 $64,387.00
Disclosure

SEC source: 0000921895-20-001769 · form411238003_06152020.xml · nonDerivative · entry 5

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Horton Capital Partners Fund, LP

Disclosed balance after: 158,884

F5 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.22 to $6.50. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · ownership.nature: Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
June 11, 2020 Filed Jun 15, 2020 20:17 UTC PurchaseCommon Stock, $0.10 par value 10,000 $6.43 $64,277.00
Disclosure

SEC source: 0000921895-20-001769 · form411238003_06152020.xml · nonDerivative · entry 4

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Horton Capital Partners Fund, LP

Disclosed balance after: 148,884

F4 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.24 to $6.50. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · ownership.nature: Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
June 01, 2020 Filed Jun 1, 2020 23:12 UTC PurchaseCommon Stock, $0.10 par value 900 $6.31 $5,679.99
Disclosure

SEC source: 0000921895-20-001666 · form411238003_06012020.xml · nonDerivative · entry 6

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Horton Capital Partners Fund, LP

Disclosed balance after: 138,884

F6 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.25 to $6.35. 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.

F3 · ownership.nature: Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 19:11 UTC
SALZMAN ERICChief Restructuring Officer
Exercise / conversionRestricted Stock Units · Derivative 3,334 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-012267 · rdgdoc.xml · derivative · entry 2

SALZMAN ERIC · CIK 0001512117 · Chief Restructuring Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,333

Underlying: Common Stock · 3,334 shares

Expires not disclosed

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 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On April 10, 2020 the reporting person was granted 20,000 restricted stock units. The restricted stock units will vest pro rata on a monthly basis over the six-month period beginning May 1, 2020.

F2 · derivative.expiration_date: On April 10, 2020 the reporting person was granted 20,000 restricted stock units. The restricted stock units will vest pro rata on a monthly basis over the six-month period beginning May 1, 2020.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 19:11 UTC
SALZMAN ERICChief Restructuring Officer
Exercise / conversionCommon Stock 3,334 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-20-012267 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Restructuring Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,861

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 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

Read SEC document
May 29, 2020 Filed Jun 1, 2020 23:12 UTC PurchaseCommon Stock, $0.10 par value 7,500 $6.30 $47,253.75
Disclosure

SEC source: 0000921895-20-001666 · form411238003_06012020.xml · nonDerivative · entry 5

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Horton Capital Partners Fund, LP

Disclosed balance after: 137,984

F5 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.20 to $6.35. 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.

F3 · ownership.nature: Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
May 28, 2020 Filed Jun 1, 2020 23:12 UTC PurchaseCommon Stock, $0.10 par value 8,527 $6.50 $55,385.42
Disclosure

SEC source: 0000921895-20-001666 · form411238003_06012020.xml · nonDerivative · entry 4

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Horton Capital Partners Fund, LP

Disclosed balance after: 130,484

F4 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.48 to $6.50. 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.

F3 · ownership.nature: Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
May 22, 2020 Filed May 26, 2020 23:00 UTC PurchaseCommon Stock, $0.10 par value 7,947 $6.52 $51,831.92
Disclosure

SEC source: 0000921895-20-001607 · form411238003_05262020.xml · nonDerivative · entry 5

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Horton Capital Partners Fund, LP

Disclosed balance after: 121,957

F4 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.35 to $6.60. 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.

F3 · ownership.nature: Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
May 21, 2020 Filed May 26, 2020 23:00 UTC PurchaseCommon Stock, $0.10 par value 8,282 $6.50 $53,833.00
Disclosure

SEC source: 0000921895-20-001607 · form411238003_05262020.xml · nonDerivative · entry 4

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Horton Capital Partners Fund, LP

Disclosed balance after: 114,010

F3 · ownership.nature: Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
May 11, 2020 Filed May 12, 2020 14:42 UTC
ROSENTHAL BOBDirector · Executive Chairman
PurchaseCommon Stock 2,343 $6.40 $14,995.20
Disclosure

SEC source: 0001437749-20-010358 · rdgdoc.xml · nonDerivative · entry 1

ROSENTHAL BOB · CIK 0001203911 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,818

Read SEC document
May 06, 2020 Filed May 6, 2020 23:01 UTC PurchaseCommon Stock, $0.10 par value 10,000 $6.26 $62,554.00
Disclosure

SEC source: 0000921895-20-001297 · form411238003_05062020.xml · nonDerivative · entry 6

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Horton Capital Partners Fund, LP

Disclosed balance after: 105,728

F6 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.05 to $6.61. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · ownership.nature: Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
May 06, 2020 Filed May 7, 2020 14:19 UTC
Herndon MarkSVP & Chief Financial Officer
PurchaseCommon Stock 2,000 $6.25 $12,500.00
Disclosure

SEC source: 0001437749-20-009729 · rdgdoc.xml · nonDerivative · entry 1

Herndon Mark · CIK 0001754318 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Read SEC document
May 05, 2020 Filed May 6, 2020 23:01 UTC PurchaseCommon Stock, $0.10 par value 15,000 $6.75 $101,262.00
Disclosure

SEC source: 0000921895-20-001297 · form411238003_05062020.xml · nonDerivative · entry 5

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Horton Capital Partners Fund, LP

Disclosed balance after: 95,728

F5 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.42 to $7.07. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · ownership.nature: Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
May 04, 2020 Filed May 5, 2020 19:02 UTC
SALZMAN ERICChief Restructuring Officer
GrantCommon Stock 2,194 $6.93 $15,204.42
Disclosure

SEC source: 0001437749-20-009418 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Restructuring Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,527

F1 · price: The purchase price reported is the average purchase price paid for the shares. The shares were purchased at prices ranging from $6.87 to $6.94. Reporting person will provide, upon the request of the SEC staff, the issuer or its shareowners, full information regarding the number of shares purchased or sold at each separate price.

Read SEC document
May 04, 2020 Filed May 6, 2020 23:01 UTC PurchaseCommon Stock, $0.10 par value 15,000 $6.95 $104,295.00
Disclosure

SEC source: 0000921895-20-001297 · form411238003_05062020.xml · nonDerivative · entry 4

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Horton Capital Partners Fund, LP

Disclosed balance after: 80,728

F4 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.80 to $7.045. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · ownership.nature: Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
May 01, 2020 Filed May 4, 2020 20:38 UTC
SALZMAN ERICChief Restructuring Officer
Exercise / conversionRestricted Stock Units · Derivative 3,333 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-009271 · rdgdoc.xml · derivative · entry 2

SALZMAN ERIC · CIK 0001512117 · Chief Restructuring Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common Stock · 3,333 shares

Expires not disclosed

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 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On April 10, 2020 the reporting person was granted 20,000 restricted stock units. The restricted stock units will vest pro rata on a monthly basis over the six-month period beginning May 1, 2020.

F2 · derivative.expiration_date: On April 10, 2020 the reporting person was granted 20,000 restricted stock units. The restricted stock units will vest pro rata on a monthly basis over the six-month period beginning May 1, 2020.

Read SEC document
May 01, 2020 Filed May 4, 2020 20:38 UTC
SALZMAN ERICChief Restructuring Officer
Exercise / conversionCommon Stock 3,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-20-009271 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Restructuring Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,333

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 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

Read SEC document
April 15, 2020 Filed Apr 16, 2020 18:14 UTC GrantCommon Stock 2,843 $5.44 $15,473.03
Disclosure

SEC source: 0001437749-20-007863 · rdgdoc.xml · nonDerivative · entry 1

ROBERTS JOHN JOSEPH · CIK 0001243108 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,109

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, 2020 Filed Apr 16, 2020 18:26 UTC
ROSENTHAL BOBDirector · Executive Chairman
GrantCommon Stock 5,212 $5.44 $28,366.31
Disclosure

SEC source: 0001437749-20-007867 · rdgdoc.xml · nonDerivative · entry 1

ROSENTHAL BOB · CIK 0001203911 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,475

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, 2020 Filed Apr 16, 2020 17:56 UTC GrantCommon Stock 3,080 $5.44 $16,762.90
Disclosure

SEC source: 0001437749-20-007861 · rdgdoc.xml · nonDerivative · entry 1

Morrison Maureen F · CIK 0001720970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,733

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, 2020 Filed Apr 16, 2020 17:44 UTC GrantCommon Stock 2,369 $5.44 $12,893.28
Disclosure

SEC source: 0001437749-20-007858 · rdgdoc.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,078

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, 2020 Filed Apr 17, 2020 21:39 UTC GrantCommon Stock, $0.10 par value 2,369 $5.44 $12,893.28
Disclosure

SEC source: 0000921895-20-001145 · form411238003_04172020.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,612

F1 · shares: These securities 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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April 10, 2020 Filed Apr 13, 2020 22:55 UTC
SALZMAN ERICChief Restructuring Officer
GrantRestricted Stock Units · Derivative 20,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-007632 · rdgdoc.xml · derivative · entry 2

SALZMAN ERIC · CIK 0001512117 · Chief Restructuring Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The restricted stock units will vest pro rata on a monthly basis over the six-month period beginning May 1, 2020. Upon vesting, the restricted stock units are payable in Common Stock, on a one-for-one basis

F1 · derivative.exercise_date: The restricted stock units will vest pro rata on a monthly basis over the six-month period beginning May 1, 2020. Upon vesting, the restricted stock units are payable in Common Stock, on a one-for-one basis

F1 · derivative.expiration_date: The restricted stock units will vest pro rata on a monthly basis over the six-month period beginning May 1, 2020. Upon vesting, the restricted stock units are payable in Common Stock, on a one-for-one basis

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April 10, 2020 Filed Apr 13, 2020 22:55 UTC
SALZMAN ERICChief Restructuring Officer
GrantCommon Stock 8,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-007632 · rdgdoc.xml · nonDerivative · entry 1

SALZMAN ERIC · CIK 0001512117 · Chief Restructuring Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

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March 15, 2020 Filed Mar 16, 2020 16:13 UTC
Sisko Brian JPresident & CEO
Tax withholdingCommon Stock 633 $6.24 $3,946.76
Disclosure

SEC source: 0000086115-20-000011 · wf-form4_158437519839252.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,139

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January 22, 2020 Filed Jan 23, 2020 19:33 UTC GrantCommon Stock 2,525 $10.91 $27,547.75
Disclosure

SEC source: 0000086115-20-000010 · wf-form4_157980801318345.xml · nonDerivative · entry 1

ROSENTHAL BOB · CIK 0001203911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,263

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 22, 2020 Filed Jan 23, 2020 19:32 UTC GrantCommon Stock 1,377 $10.91 $15,023.07
Disclosure

SEC source: 0000086115-20-000009 · wf-form4_157980792701286.xml · nonDerivative · entry 1

ROBERTS JOHN JOSEPH · CIK 0001243108 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,266

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 22, 2020 Filed Jan 23, 2020 19:30 UTC GrantCommon Stock 1,492 $10.91 $16,277.72
Disclosure

SEC source: 0000086115-20-000008 · wf-form4_157980782449940.xml · nonDerivative · entry 1

Morrison Maureen F · CIK 0001720970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,653

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 22, 2020 Filed Jan 23, 2020 19:28 UTC GrantCommon Stock 1,148 $10.91 $12,524.68
Disclosure

SEC source: 0000086115-20-000007 · wf-form4_157980770476240.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,709

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 22, 2020 Filed Jan 24, 2020 21:44 UTC GrantCommon Stock, $0.10 par value 1,148 $10.91 $12,524.68
Disclosure

SEC source: 0000921895-20-000173 · form411238003_01242020.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,243

F1 · shares: These securities 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 13, 2020 Filed Jan 13, 2020 16:58 UTC GrantStock Option (right to buy) · Derivative 8,333 $0.00 Strike: $10.37 $0.00
Disclosure

SEC source: 0000086115-20-000004 · wf-form4_157893466859677.xml · derivative · entry 2

Morrison Maureen F · CIK 0001720970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,333

Underlying: Common Stock · 8,333 shares

Expires 2025-12-29

F2 · derivative.exercise_price: The exercise price was reduced by $0.96 to reflect the impact of a dividend paid to the Issuer's shareholders in December 2019.

F3 · derivative.exercise_date: The option granted to reporting person is 50% vested and vests an additional 25% on each of December 29, 2020 and December 29, 2021.

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January 13, 2020 Filed Jan 13, 2020 16:58 UTC Disposition to issuerStock Option (right to buy) · Derivative 8,333 $0.00 Strike: $11.33 $0.00
Disclosure

SEC source: 0000086115-20-000004 · wf-form4_157893466859677.xml · derivative · entry 1

Morrison Maureen F · CIK 0001720970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,333 shares

Expires 2025-12-29

F1 · derivative.exercise_date: The option was granted to reporting person on 12/29/2017 and vested in 4 equal annual installments commencing on the first anniversary of the grant date.

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January 13, 2020 Filed Jan 13, 2020 16:54 UTC GrantStock Option (right to buy) · Derivative 5,000 $0.00 Strike: $14.10 $0.00
Disclosure

SEC source: 0000086115-20-000002 · wf-form4_157893442383907.xml · derivative · entry 2

ROSENTHAL BOB · CIK 0001203911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2020-05-24

F1 · derivative.exercise_price: The exercise price was reduced by $0.96 to reflect the impact of a dividend paid to the Issuer's shareholders in December 2019.

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January 13, 2020 Filed Jan 13, 2020 16:54 UTC Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $15.06 $0.00
Disclosure

SEC source: 0000086115-20-000002 · wf-form4_157893442383907.xml · derivative · entry 1

ROSENTHAL BOB · CIK 0001203911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2020-05-24

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January 13, 2020 Filed Jan 13, 2020 17:00 UTC
Sisko Brian JPresident & CEO
GrantStock Option (right to buy) · Derivative 3,672 $0.00 Strike: $14.48 $0.00
Disclosure

SEC source: 0000086115-20-000005 · wf-form4_157893480955594.xml · derivative · entry 6

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,672

Underlying: Common Stock · 3,672 shares

Expires 2020-10-02

F4 · derivative.exercise_price: The exercise price was reduced by $0.96 to reflect the impact of a dividend paid to the Issuer's shareholders in December 2019.

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January 13, 2020 Filed Jan 13, 2020 17:00 UTC
Sisko Brian JPresident & CEO
GrantStock Option (right to buy) · Derivative 358 $0.00 Strike: $14.11 $0.00
Disclosure

SEC source: 0000086115-20-000005 · wf-form4_157893480955594.xml · derivative · entry 5

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 358

Underlying: Common Stock · 358 shares

Expires 2021-09-20

F4 · derivative.exercise_price: The exercise price was reduced by $0.96 to reflect the impact of a dividend paid to the Issuer's shareholders in December 2019.

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January 13, 2020 Filed Jan 13, 2020 17:00 UTC
Sisko Brian JPresident & CEO
GrantStock Option (right to buy) · Derivative 810 $0.00 Strike: $12.93 $0.00
Disclosure

SEC source: 0000086115-20-000005 · wf-form4_157893480955594.xml · derivative · entry 4

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 810

Underlying: Common Stock · 810 shares

Expires 2020-12-05

F4 · derivative.exercise_price: The exercise price was reduced by $0.96 to reflect the impact of a dividend paid to the Issuer's shareholders in December 2019.

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January 13, 2020 Filed Jan 13, 2020 17:00 UTC
Sisko Brian JPresident & CEO
Disposition to issuerStock Option (right to buy) · Derivative 3,672 $0.00 Strike: $15.44 $0.00
Disclosure

SEC source: 0000086115-20-000005 · wf-form4_157893480955594.xml · derivative · entry 3

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,672 shares

Expires 2020-10-02

F3 · derivative.exercise_date: The option was granted to reporting person on 10/2/12 and vested 25% on the first anniversary of the grant date and in 36 equal monthly installments thereafter.

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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.