SGC

SEC source: 0001437749-20-010546 · rdgdoc.xml · derivative · entry 2

KIRSCHNER SIDNEY · CIK 0001204634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,441

Underlying: Common Stock · 4,441 shares

Expires 2030-05-12

SEC source: 0001437749-20-010546 · rdgdoc.xml · derivative · entry 1

KIRSCHNER SIDNEY · CIK 0001204634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750

Underlying: Common Stock · 2,750 shares

Expires 2030-05-12

SEC source: 0001437749-20-010542 · rdgdoc.xml · derivative · entry 2

Alpert Jordan M. · CIK 0001518595 · Sr VP General Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,883

Underlying: Common Stock · 7,883 shares

Expires 2025-05-12

SEC source: 0001437749-20-010542 · rdgdoc.xml · derivative · entry 1

Alpert Jordan M. · CIK 0001518595 · Sr VP General Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 796

Underlying: Common Stock · 796 shares

Expires 2025-05-12

F1 · shares: This amendment is being filed in order to correct a clerical error and to accurately reflect the number of Stock Options (Right to Buy) granted.

F1 · derivative.underlying_shares: This amendment is being filed in order to correct a clerical error and to accurately reflect the number of Stock Options (Right to Buy) granted.

F1 · balance_after: This amendment is being filed in order to correct a clerical error and to accurately reflect the number of Stock Options (Right to Buy) granted.

SEC source: 0001437749-20-010541 · rdgdoc.xml · derivative · entry 2

Leide Dominic · CIK 0001568750 · V.P. Admin & Customer Support

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,037

Underlying: Common Stock · 10,037 shares

Expires 2025-05-12

SEC source: 0001437749-20-010541 · rdgdoc.xml · derivative · entry 1

Leide Dominic · CIK 0001568750 · V.P. Admin & Customer Support

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149

Underlying: Common Stock · 149 shares

Expires 2025-05-12

SEC source: 0001437749-20-010540 · rdgdoc.xml · derivative · entry 2

Alpert Jordan M. · CIK 0001518595 · Sr VP General Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,883

Underlying: Common Stock · 7,883 shares

Expires 2025-05-12

SEC source: 0001437749-20-010540 · rdgdoc.xml · derivative · entry 1

Alpert Jordan M. · CIK 0001518595 · Sr VP General Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149

Underlying: Common Stock · 149 shares

Expires 2025-05-12

SEC source: 0001437749-20-010539 · rdgdoc.xml · derivative · entry 1

DEMOTT ANDREW D JR · CIK 0001204644 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,190

Underlying: Common Stock · 18,190 shares

Expires 2025-05-12

SEC source: 0001437749-20-009090 · rdgdoc.xml · derivative · entry 2

KIRSCHNER SIDNEY · CIK 0001204634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,000 shares

Expires 2020-05-04

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.

SEC source: 0001437749-20-009090 · rdgdoc.xml · nonDerivative · entry 1

KIRSCHNER SIDNEY · CIK 0001204634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,813

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 · shares: Shares acquired upon exercise of stock options.

F2 · balance_after: Certain of these shares were granted under restricted stock awards and are subject to forfeiture. Of such shares, 11,432 continue to be subject to forfeiture as of the date of this filing.

SEC source: 0001437749-20-009089 · rdgdoc.xml · derivative · entry 3

HENSLEY ROBIN · CIK 0001204632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,000 shares

Expires 2020-05-04

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.

SEC source: 0001437749-20-009089 · rdgdoc.xml · nonDerivative · entry 2

HENSLEY ROBIN · CIK 0001204632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,550

F3 · shares: These shares were delivered to the issuer to satisfy the exercise price of 7,000 stock options.

F2 · balance_after: Certain of these shares were granted under restricted stock awards and are subject to forfeiture. Of such shares, 9,145 continue to be subject to forfeiture as of the date of this filing.

SEC source: 0001437749-20-009089 · rdgdoc.xml · nonDerivative · entry 1

HENSLEY ROBIN · CIK 0001204632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,930

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 · shares: Shares acquired upon exercise of stock options.

F2 · balance_after: Certain of these shares were granted under restricted stock awards and are subject to forfeiture. Of such shares, 9,145 continue to be subject to forfeiture as of the date of this filing.

SEC source: 0001437749-20-005400 · rdgdoc.xml · nonDerivative · entry 1

Koosed Philip · CIK 0001697859 · President, BAMKO, LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,518

F1 · price: The transaction reported represents shares acquired by the Reporting Person as part of the issuer's acquisition of substantially all of the assets of BAMKO, Inc. Amount beneficially held after the transaction does not include the 35,329 shares of common stock owned by PEKMA, Inc. ("PEKMA") and obtained by PEKMA in connection with such acquisition. Such shares represent restricted stock and are subject to forfeiture. The reporting person is a shareholder of PEKMA and disclaims beneficial ownership of the shares of the issuer's common stock owned by PEKMA except to the extent of his pecuniary interest herein.

F1 · balance_after: The transaction reported represents shares acquired by the Reporting Person as part of the issuer's acquisition of substantially all of the assets of BAMKO, Inc. Amount beneficially held after the transaction does not include the 35,329 shares of common stock owned by PEKMA, Inc. ("PEKMA") and obtained by PEKMA in connection with such acquisition. Such shares represent restricted stock and are subject to forfeiture. The reporting person is a shareholder of PEKMA and disclaims beneficial ownership of the shares of the issuer's common stock owned by PEKMA except to the extent of his pecuniary interest herein.

SEC source: 0001437749-20-002302 · rdgdoc.xml · nonDerivative · entry 1

DEMOTT ANDREW D JR · CIK 0001204644 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,867

F1 · shares: This is a restricted stock award which vests on the third anniversary of the grant date or 02/07/2023.

F1 · price: This is a restricted stock award which vests on the third anniversary of the grant date or 02/07/2023.

F2 · price: On February 7, 2020, the date such restricted stock award was granted, the closing price of the issuer's common stock on the NASDAQ was $10.97 per share.

SEC source: 0001437749-20-002294 · rdgdoc.xml · derivative · entry 2

DEMOTT ANDREW D JR · CIK 0001204644 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,302

Underlying: Common Stock · 27,302 shares

Expires 2025-02-07

SEC source: 0001437749-20-002294 · rdgdoc.xml · derivative · entry 1

DEMOTT ANDREW D JR · CIK 0001204644 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,115

Underlying: Common Stock · 9,115 shares

Expires 2025-02-07

SEC source: 0001437749-20-002303 · rdgdoc.xml · nonDerivative · entry 1

Attinella Michael · CIK 0001441286 · CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,420

F1 · shares: This is a restricted stock award which vests on the third anniversary of the grant date or 02/07/2023.

F1 · price: This is a restricted stock award which vests on the third anniversary of the grant date or 02/07/2023.

F2 · price: On February 7, 2020, the date such restricted stock award was granted, the closing price of the issuer's common stock on the NASDAQ was $10.97 per share.

SEC source: 0001437749-20-002300 · rdgdoc.xml · nonDerivative · entry 1

BENSTOCK MICHAEL · CIK 0001204640 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 641,101

F1 · shares: This is a restricted stock award which vests on the third anniversary of the grant date or 02/07/2023.

F1 · price: This is a restricted stock award which vests on the third anniversary of the grant date or 02/07/2023.

F2 · price: On February 7, 2020, the date such restricted stock award was granted, the closing price of the issuer's common stock on the NASDAQ was $10.97 per share.

SEC source: 0001437749-20-002295 · rdgdoc.xml · derivative · entry 2

Attinella Michael · CIK 0001441286 · CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,718

Underlying: Common Stock · 23,718 shares

Expires 2025-02-07

SEC source: 0001437749-20-002295 · rdgdoc.xml · derivative · entry 1

Attinella Michael · CIK 0001441286 · CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,115

Underlying: Common Stock · 9,115 shares

Expires 2025-02-07

SEC source: 0001437749-20-002291 · rdgdoc.xml · derivative · entry 2

BENSTOCK MICHAEL · CIK 0001204640 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,802

Underlying: Common Stock · 102,802 shares

Expires 2025-02-07

SEC source: 0001437749-20-002291 · rdgdoc.xml · derivative · entry 1

BENSTOCK MICHAEL · CIK 0001204640 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,115

Underlying: Common Stock · 9,115 shares

Expires 2025-02-07

SEC source: 0001437749-20-002289 · rdgdoc.xml · derivative · entry 1

Koosed Philip · CIK 0001697859 · President, BAMKO, LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2025-02-07

SEC source: 0001437749-20-002286 · rdgdoc.xml · derivative · entry 1

Leide Dominic · CIK 0001568750 · V.P. Admin & Customer Support

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2025-02-07

SEC source: 0001437749-20-002279 · rdgdoc.xml · derivative · entry 1

Alpert Jordan M. · CIK 0001518595 · Sr VP General Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2025-02-07

SEC source: 0001437749-19-023549 · rdgdoc.xml · nonDerivative · entry 1

BENSTOCK GERALD M · CIK 0001203009 · Chairman Emeritus

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,962

F1 · price: The reported transaction involves a transfer of securities by gift for which no payment of consideration was received by the reporting person.

SEC source: 0001437749-19-023548 · rdgdoc.xml · nonDerivative · entry 1

BENSTOCK MICHAEL · CIK 0001204640 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 610,495

F1 · price: The reported transaction involves a transfer of securities by gift for which no payment of consideration was received by the reporting person.

SEC source: 0001437749-19-023265 · rdgdoc.xml · nonDerivative · entry 1

DEMOTT ANDREW D JR · CIK 0001204644 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,909

F1 · price: The reported transaction involves a transfer of securities by gift for which no payment of consideration was received by the reporting person.

SEC source: 0001437749-19-022621 · rdgdoc.xml · nonDerivative · entry 1

HENSLEY ROBIN · CIK 0001204632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,930

F1 · balance_after: Certain of these shares were granted under restricted stock awards and are subject to forfeiture. Of such shares, 9,145 continue to be subject to forfeiture as of the date of this filing.

SEC source: 0001437749-19-021529 · rdgdoc.xml · nonDerivative · entry 1

HENSLEY ROBIN · CIK 0001204632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,880

F1 · shares: This is a restricted stock award which vests on the third anniversary of the grant date or 11/01/2022.

F2 · price: On November 1, 2019, the date such restricted stock award was granted, the closing price of the issuer's common stock on the NASDAQ was $15.34.

F3 · balance_after: Certain of these shares were granted under restricted stock awards and are subject to forfeiture. Of such shares, 11,591 continue to be subject to forfeiture as of the date of this filing.

SEC source: 0001437749-19-021537 · rdgdoc.xml · nonDerivative · entry 1

KIRSCHNER SIDNEY · CIK 0001204634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,813

F1 · shares: This is a restricted stock award which vests on the third anniversary of the grant date or 11/01/2022.

F2 · price: On November 1, 2019, the date such restricted stock award was granted, the closing price of the issuer's common stock on the NASDAQ was $15.34.

F3 · balance_after: Certain of these shares were granted under restricted stock awards and are subject to forfeiture. Of such shares, 14,490 continue to be subject to forfeiture as of the date of this filing.

SEC source: 0001437749-19-021534 · rdgdoc.xml · nonDerivative · entry 1

Fields Venita Elaine · CIK 0001768341 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,943

F1 · shares: This is a restricted stock award which vests on the third anniversary of the grant date or 11/01/2022.

F2 · price: On November 1, 2019, the date such restricted stock award was granted, the closing price of the issuer's common stock on the NASDAQ was $15.34.

SEC source: 0001437749-19-021533 · rdgdoc.xml · nonDerivative · entry 1

SIEGEL TODD E · CIK 0001031593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,814

F1 · shares: This is a restricted stock award which vests on the third anniversary of the grant date or 11/01/2022.

F2 · price: On November 1, 2019, the date such restricted stock award was granted, the closing price of the issuer's common stock on the NASDAQ was $15.34.

F3 · balance_after: Certain of these shares were granted under restricted stock awards and are subject to forfeiture. Of such shares, 11,591 continue to be subject to forfeiture as of the date of this filing.

SEC source: 0001437749-19-021532 · rdgdoc.xml · nonDerivative · entry 1

Mellini Paul V · CIK 0001291276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,909

F1 · shares: This is a restricted stock award which vests on the third anniversary of the grant date or 11/01/2022.

F2 · price: On November 1, 2019, the date such restricted stock award was granted, the closing price of the issuer's common stock on the NASDAQ was $15.34.

F3 · balance_after: Certain of these shares were granted under restricted stock awards and are subject to forfeiture. Of such shares, 11,591 continue to be subject to forfeiture as of the date of this filing.

SEC source: 0001437749-19-017150 · rdgdoc.xml · nonDerivative · entry 1

BENSTOCK MICHAEL · CIK 0001204640 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 612,495

F1 · price: Price reflected is the weighted-average purchase price for shares purchased. The shares were purchased in multiple transactions, and the range of purchase prices for the transactions reported was $12.85 to $13.00. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or any staff member of the Securities and Exchange Commission, upon request, information regarding the number of shares purchased at each separate price.

SEC source: 0001437749-19-010946 · rdgdoc.xml · nonDerivative · entry 1

BENSTOCK GERALD M · CIK 0001203009 · Chairman Emeritus

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,312

F1 · price: The reported transaction involves a transfer of securities by gift for which no payment of consideration was received by the reporting person.

SEC source: 0001437749-19-010557 · rdgdoc.xml · nonDerivative · entry 1

HENSLEY ROBIN · CIK 0001204632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,937

F1 · price: Represents the weighted average sale price. Sales ranged from $16.37 to $16.58.

F2 · balance_after: Certain of these shares were granted under restricted stock awards and are subject to forfeiture. Of such shares, 7,648 continue to be subject to forfeiture as of the date of this filing.

SEC source: 0001437749-19-009938 · rdgdoc.xml · derivative · entry 2

Mellini Paul V · CIK 0001291276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,000 shares

Expires 2021-05-06

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.

SEC source: 0001437749-19-009938 · rdgdoc.xml · nonDerivative · entry 1

Mellini Paul V · CIK 0001291276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,966

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 · balance_after: Certain of these shares were granted under restricted stock awards and are subject to forfeiture. Of such shares, 7,648 continue to be subject to forfeiture as of the date of this filing.

SEC source: 0001437749-19-008922 · rdgdoc.xml · derivative · entry 1

Fields Venita Elaine · CIK 0001768341 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750

Underlying: Common Stock · 2,750 shares

Expires 2029-05-03

F1 · security: To list options granted 05/03/2019.

SEC source: 0001437749-19-008920 · rdgdoc.xml · derivative · entry 1

SIEGEL TODD E · CIK 0001031593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750

Underlying: Common Stock · 2,750 shares

Expires 2029-05-03

F1 · security: To list options granted 05/03/2019.

SEC source: 0001437749-19-008917 · rdgdoc.xml · derivative · entry 1

Mellini Paul V · CIK 0001291276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750

Underlying: Common Stock · 2,750 shares

Expires 2029-05-03

F1 · security: To list options granted 05/03/2019.

SEC source: 0001437749-19-008912 · rdgdoc.xml · derivative · entry 1

HENSLEY ROBIN · CIK 0001204632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750

Underlying: Common Stock · 2,750 shares

Expires 2029-05-03

F1 · security: To list options granted 05/03/2019.

SEC source: 0001437749-19-008903 · rdgdoc.xml · derivative · entry 1

KIRSCHNER SIDNEY · CIK 0001204634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750

Underlying: Common Stock · 2,750 shares

Expires 2029-05-03

F1 · security: To list options granted 5/3/2019.

SEC source: 0001437749-19-008144 · rdgdoc.xml · derivative · entry 3

HENSLEY ROBIN · CIK 0001204632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2019-05-01

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.

SEC source: 0001437749-19-008144 · rdgdoc.xml · nonDerivative · entry 2

HENSLEY ROBIN · CIK 0001204632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,844

F1 · shares: These shares were delivered to the issuer to satisfy the exercise price of 6,000 stock options.

F3 · balance_after: Certain of these shares were granted under restricted stock awards and are subject to forfeiture. Of such shares, 5,202 continue to be subject to forfeiture as of the date of this filing.

SEC source: 0001437749-19-008144 · rdgdoc.xml · nonDerivative · entry 1

HENSLEY ROBIN · CIK 0001204632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,111

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 · shares: Shares acquired upon exercise of stock options.

F3 · balance_after: Certain of these shares were granted under restricted stock awards and are subject to forfeiture. Of such shares, 5,202 continue to be subject to forfeiture as of the date of this filing.

SEC source: 0001437749-19-006734 · rdgdoc.xml · nonDerivative · entry 1

KIRSCHNER SIDNEY · CIK 0001204634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,884

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.