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Nasdaq · USD

SIRI

SIRIUS XM HOLDINGS INC.

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Tapewire entity
3564
SEC CIK
0000908937
Parsed reports
1,136

Last 12 months

Inside the activity.

0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202602
Jun 202600
Jul 202600
Aug 202601
Sep 202600
Oct 202600

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 06, 2018 Filed Aug 7, 2018 20:08 UTC
Witz Jennifer CEVP, Chief Marketing Officer
Tax withholdingCommon Stock 50,476 $6.87 $346,770.12
Disclosure

SEC source: 0001225208-18-012392 · doc4.xml · nonDerivative · entry 1

Witz Jennifer C · CIK 0001714891 · EVP, Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 648,885

F1 · shares: Represents the surrender of common stock to the Company to cover withholding taxes upon the vesting of restricted stock units.

Read SEC document
August 06, 2018 Filed Aug 7, 2018 20:08 UTC
BARRY THOMAS DSenior VP & Controller
Tax withholdingCommon Stock 38,023 $6.87 $261,218.01
Disclosure

SEC source: 0001225208-18-012390 · doc4.xml · nonDerivative · entry 1

BARRY THOMAS D · CIK 0001182130 · Senior VP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 398,467

F1 · shares: Represents the surrender of common stock to the Company to cover withholding taxes upon the vesting of restricted stock units.

Read SEC document
August 06, 2018 Filed Aug 7, 2018 20:08 UTC
Verbrugge Joseph AEVP, GM, Emerging Business
Tax withholdingCommon Stock 17,595 $6.87 $120,877.65
Disclosure

SEC source: 0001225208-18-012389 · doc4.xml · nonDerivative · entry 1

Verbrugge Joseph A · CIK 0001660799 · EVP, GM, Emerging Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,339

F1 · shares: Represents the surrender of common stock to the Company to cover withholding taxes upon the vesting of restricted stock units.

Read SEC document
July 30, 2018 Filed Jul 31, 2018 20:15 UTC
Cady James ArthurEVP, Product and Operations
Tax withholdingCommon Stock 20,829 $7.08 $147,469.32
Disclosure

SEC source: 0001225208-18-012047 · doc4.xml · nonDerivative · entry 1

Cady James Arthur · CIK 0001646942 · EVP, Product and Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,761

F1 · shares: Represents the surrender of common stock to the Company to cover withholding taxes upon the vesting of restricted stock units.

Read SEC document
July 26, 2018 Filed Jul 30, 2018 20:05 UTC
COOK STEPHENEVP, Sales and Automotive
Exercise / conversionStock Option (Right to Buy) · Derivative 750,000 $1.64 Strike: $1.64 $1,230,000.00
Disclosure

SEC source: 0001225208-18-012006 · doc4.xml · derivative · entry 7

COOK STEPHEN · CIK 0001268619 · EVP, Sales and Automotive

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 750,000 shares

Expires 2021-08-23

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.

Read SEC document
July 26, 2018 Filed Jul 30, 2018 20:05 UTC
COOK STEPHENEVP, Sales and Automotive
SaleCommon Stock 315,502 $7.18 $2,266,093.12
Disclosure

SEC source: 0001225208-18-012006 · doc4.xml · nonDerivative · entry 5

COOK STEPHEN · CIK 0001268619 · EVP, Sales and Automotive

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,138,300

F3 · price: Represents the weighted average sales price for the price increments ranging from $7.14 to $7.25. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
July 26, 2018 Filed Jul 30, 2018 20:05 UTC
COOK STEPHENEVP, Sales and Automotive
Tax withholdingCommon Stock 289,837 $7.19 $2,083,928.03
Disclosure

SEC source: 0001225208-18-012006 · doc4.xml · nonDerivative · entry 4

COOK STEPHEN · CIK 0001268619 · EVP, Sales and Automotive

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,453,802

F2 · price: Represents the exercise price of the stock option referenced in Table II and associated taxes which was paid by way of the withholding by the Company of shares with a value equal to the exercise price and such taxes.

Read SEC document
July 26, 2018 Filed Jul 30, 2018 20:05 UTC
COOK STEPHENEVP, Sales and Automotive
Tax withholdingCommon Stock 144,661 $7.25 $1,048,792.25
Disclosure

SEC source: 0001225208-18-012006 · doc4.xml · nonDerivative · entry 3

COOK STEPHEN · CIK 0001268619 · EVP, Sales and Automotive

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,743,639

F2 · price: Represents the exercise price of the stock option referenced in Table II and associated taxes which was paid by way of the withholding by the Company of shares with a value equal to the exercise price and such taxes.

Read SEC document
July 26, 2018 Filed Jul 30, 2018 20:05 UTC
COOK STEPHENEVP, Sales and Automotive
SaleCommon Stock 100,000 $7.25 $725,440.00
Disclosure

SEC source: 0001225208-18-012006 · doc4.xml · nonDerivative · entry 2

COOK STEPHEN · CIK 0001268619 · EVP, Sales and Automotive

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,888,300

F1 · price: Represents the weighted average sales price for the price increments ranging from $7.25 to $7.26. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
July 26, 2018 Filed Jul 30, 2018 20:05 UTC
COOK STEPHENEVP, Sales and Automotive
Exercise / conversionCommon Stock 750,000 $1.64 $1,230,000.00
Disclosure

SEC source: 0001225208-18-012006 · doc4.xml · nonDerivative · entry 1

COOK STEPHEN · CIK 0001268619 · EVP, Sales and Automotive

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,988,300

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.

Read SEC document
July 25, 2018 Filed Jul 27, 2018 20:10 UTC GrantStock Option (Right to Buy) · Derivative 20,900 $7.14 Strike: $7.14 $149,226.00
Disclosure

SEC source: 0001225208-18-011978 · doc4.xml · derivative · entry 2

Salen Kristina · CIK 0001612127 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,900

Underlying: Common Stock · 20,900 shares

Expires 2028-07-25

F2 · shares: Approximately one-third of options will vest on each of 7/25/19, 7/25/20 and 7/25/21.

Read SEC document
July 25, 2018 Filed Jul 27, 2018 20:10 UTC GrantCommon Stock 8,123 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-011978 · doc4.xml · nonDerivative · entry 1

Salen Kristina · CIK 0001612127 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,123

F1 · shares: Approximately one-third of restricted stock units will vest on each of 7/25/19, 7/25/20 and 7/25/21.

Read SEC document
June 19, 2018 Filed Jun 20, 2018 20:12 UTC
Altman Dara FEVP & Chief Admin. Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 1,700,320 $3.87 Strike: $3.87 $6,580,238.40
Disclosure

SEC source: 0001225208-18-010800 · doc4.xml · derivative · entry 6

Altman Dara F · CIK 0001348133 · EVP & Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,700,320 shares

Expires 2025-06-19

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.

Read SEC document
June 19, 2018 Filed Jun 20, 2018 20:12 UTC
Altman Dara FEVP & Chief Admin. Officer
Tax withholdingCommon Stock 1,312,624 $7.55 $9,910,311.20
Disclosure

SEC source: 0001225208-18-010800 · doc4.xml · nonDerivative · entry 4

Altman Dara F · CIK 0001348133 · EVP & Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,320

F3 · price: Represents the exercise price of the stock option referenced in Table II and associated taxes which was paid by way of the withholding by the Company of shares with a value equal to the exercise price and such taxes.

Read SEC document
June 19, 2018 Filed Jun 20, 2018 20:12 UTC
Altman Dara FEVP & Chief Admin. Officer
SaleCommon Stock 387,696 $7.49 $2,904,424.58
Disclosure

SEC source: 0001225208-18-010800 · doc4.xml · nonDerivative · entry 3

Altman Dara F · CIK 0001348133 · EVP & Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,558,944

F2 · price: Represents the weighted average sales price for the price increments ranging from $7.45 to $7.5550. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
June 19, 2018 Filed Jun 20, 2018 20:12 UTC
Altman Dara FEVP & Chief Admin. Officer
Tax withholdingCommon Stock 63,916 $7.64 $488,318.24
Disclosure

SEC source: 0001225208-18-010800 · doc4.xml · nonDerivative · entry 2

Altman Dara F · CIK 0001348133 · EVP & Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,946,640

F1 · shares: Represents the surrender of common stock to the Company to cover withholding taxes upon the vesting of restricted stock units.

Read SEC document
June 19, 2018 Filed Jun 20, 2018 20:12 UTC
Altman Dara FEVP & Chief Admin. Officer
Exercise / conversionCommon Stock 1,700,320 $3.87 $6,580,238.40
Disclosure

SEC source: 0001225208-18-010800 · doc4.xml · nonDerivative · entry 1

Altman Dara F · CIK 0001348133 · EVP & Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,010,556

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.

Read SEC document
June 11, 2018 Filed Jun 12, 2018 22:35 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 35,000 $0.09 Strike: $0.09 $3,150.00
Disclosure

SEC source: 0001225208-18-010583 · doc4.xml · derivative · entry 4

AMBLE JOAN LORDI · CIK 0001274252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 35,000 shares

Expires 2018-12-18

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.

Read SEC document
June 11, 2018 Filed Jun 12, 2018 22:35 UTC SaleCommon Stock 34,565 $7.25 $250,596.25
Disclosure

SEC source: 0001225208-18-010583 · doc4.xml · nonDerivative · entry 3

AMBLE JOAN LORDI · CIK 0001274252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,404

Read SEC document
June 11, 2018 Filed Jun 12, 2018 22:35 UTC Tax withholdingCommon Stock 435 $7.25 $3,153.75
Disclosure

SEC source: 0001225208-18-010583 · doc4.xml · nonDerivative · entry 2

AMBLE JOAN LORDI · CIK 0001274252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,969

F1 · price: Represents the exercise price of the stock option referenced in Table II which was paid by way of the withholding by the Company of shares with a value equal to the exercise price.

Read SEC document
June 11, 2018 Filed Jun 12, 2018 22:35 UTC Exercise / conversionCommon Stock 35,000 $0.09 $3,150.00
Disclosure

SEC source: 0001225208-18-010583 · doc4.xml · nonDerivative · entry 1

AMBLE JOAN LORDI · CIK 0001274252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,404

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.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC GrantStock Option (Right to Buy) · Derivative 24,700 $7.06 Strike: $7.06 $174,382.00
Disclosure

SEC source: 0001225208-18-010340 · doc4.xml · derivative · entry 2

Carleton Mark D · CIK 0001434339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2028-06-05

F2 · shares: Approximately one-third of options will vest on each of 6/5/19; 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC GrantCommon Stock 9,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-010340 · doc4.xml · nonDerivative · entry 1

Carleton Mark D · CIK 0001434339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,404

F1 · shares: One-third of restricted stock units will vest on each of 6/5/19, 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC
Zaslav DavidDirector
GrantStock Option (Right to Buy) · Derivative 24,700 $7.06 Strike: $7.06 $174,382.00
Disclosure

SEC source: 0001225208-18-010339 · doc4.xml · derivative · entry 2

Zaslav David · CIK 0001318285 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2028-06-05

F2 · shares: Approximately one-third of options will vest on each of 6/5/19; 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC
Zaslav DavidDirector
GrantCommon Stock 9,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-010339 · doc4.xml · nonDerivative · entry 1

Zaslav David · CIK 0001318285 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,680

F1 · shares: One-third of restricted stock units will vest on each of 6/5/19, 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC
VOGEL CARL EDirector
GrantStock Option (Right to Buy) · Derivative 24,700 $7.06 Strike: $7.06 $174,382.00
Disclosure

SEC source: 0001225208-18-010338 · doc4.xml · derivative · entry 2

VOGEL CARL E · CIK 0001118042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2028-06-05

F2 · shares: Approximately one-third of options will vest on each of 6/5/19; 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC
VOGEL CARL EDirector
GrantCommon Stock 9,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-010338 · doc4.xml · nonDerivative · entry 1

VOGEL CARL E · CIK 0001118042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,404

F1 · shares: One-third of restricted stock units will vest on each of 6/5/19, 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC GrantStock Option (Right to Buy) · Derivative 24,700 $7.06 Strike: $7.06 $174,382.00
Disclosure

SEC source: 0001225208-18-010337 · doc4.xml · derivative · entry 2

Rapino Michael · CIK 0001337041 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2028-06-05

F2 · shares: Approximately one-third of options will vest on each of 6/5/19; 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC GrantCommon Stock 9,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-010337 · doc4.xml · nonDerivative · entry 1

Rapino Michael · CIK 0001337041 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,150

F1 · shares: One-third of restricted stock units will vest on each of 6/5/19, 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC
MOONEY JAMESDirector
GrantStock Option (Right to Buy) · Derivative 24,700 $7.06 Strike: $7.06 $174,382.00
Disclosure

SEC source: 0001225208-18-010336 · doc4.xml · derivative · entry 3

MOONEY JAMES · CIK 0001240253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2028-06-05

F2 · shares: Approximately one-third of options will vest on each of 6/5/19; 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC
MOONEY JAMESDirector
GrantCommon Stock 9,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-010336 · doc4.xml · nonDerivative · entry 1

MOONEY JAMES · CIK 0001240253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,470

F1 · shares: One-third of restricted stock units will vest on each of 6/5/19, 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC GrantStock Option (Right to Buy) · Derivative 24,700 $7.06 Strike: $7.06 $174,382.00
Disclosure

SEC source: 0001225208-18-010335 · doc4.xml · derivative · entry 2

MALONE EVAN DANIEL · CIK 0001442645 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2028-06-05

F2 · shares: Approximately one-third of options will vest on each of 6/5/19; 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC GrantCommon Stock 9,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-010335 · doc4.xml · nonDerivative · entry 1

MALONE EVAN DANIEL · CIK 0001442645 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,404

F1 · shares: One-third of restricted stock units will vest on each of 6/5/19, 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC GrantStock Option (Right to Buy) · Derivative 24,700 $7.06 Strike: $7.06 $174,382.00
Disclosure

SEC source: 0001225208-18-010334 · doc4.xml · derivative · entry 2

MAFFEI GREGORY B · CIK 0001099636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2028-06-05

F2 · shares: Approximately one-third of options will vest on each of 6/5/19; 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC GrantCommon Stock 9,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-010334 · doc4.xml · nonDerivative · entry 1

MAFFEI GREGORY B · CIK 0001099636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,404

F1 · shares: One-third of restricted stock units will vest on each of 6/5/19, 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC GrantStock Option (Right to Buy) · Derivative 24,700 $7.06 Strike: $7.06 $174,382.00
Disclosure

SEC source: 0001225208-18-010333 · doc4.xml · derivative · entry 2

HOLDEN JAMES P · CIK 0001233398 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2028-06-05

F2 · shares: Approximately one-third of options will vest on each of 6/5/19; 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:07 UTC GrantCommon Stock 9,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-010333 · doc4.xml · nonDerivative · entry 1

HOLDEN JAMES P · CIK 0001233398 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,653

F1 · shares: One-third of restricted stock units will vest on each of 6/5/19, 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:06 UTC GrantStock Option (Right to Buy) · Derivative 24,700 $7.06 Strike: $7.06 $174,382.00
Disclosure

SEC source: 0001225208-18-010332 · doc4.xml · derivative · entry 2

HARTENSTEIN EDDY W · CIK 0001142524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2028-06-05

F2 · shares: Approximately one-third of options will vest on each of 6/5/19; 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:06 UTC GrantCommon Stock 9,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-010332 · doc4.xml · nonDerivative · entry 1

HARTENSTEIN EDDY W · CIK 0001142524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,404

F1 · shares: One-third of restricted stock units will vest on each of 6/5/19, 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:06 UTC GrantStock Option (Right to Buy) · Derivative 24,700 $7.06 Strike: $7.06 $174,382.00
Disclosure

SEC source: 0001225208-18-010331 · doc4.xml · derivative · entry 2

Bodenheimer George Ward · CIK 0001580358 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2028-06-05

F2 · shares: Approximately one-third of options will vest on each of 6/5/19; 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:06 UTC GrantCommon Stock 9,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-010331 · doc4.xml · nonDerivative · entry 1

Bodenheimer George Ward · CIK 0001580358 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,404

F1 · shares: One-third of restricted stock units will vest on each of 6/5/19, 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:06 UTC GrantStock Option (Right to Buy) · Derivative 24,700 $7.06 Strike: $7.06 $174,382.00
Disclosure

SEC source: 0001225208-18-010330 · doc4.xml · derivative · entry 2

AMBLE JOAN LORDI · CIK 0001274252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2028-06-05

F2 · shares: Approximately one-third of options will vest on each of 6/5/19; 6/5/20 and 6/5/21.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 20:06 UTC GrantCommon Stock 9,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-010330 · doc4.xml · nonDerivative · entry 1

AMBLE JOAN LORDI · CIK 0001274252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,404

F1 · shares: One-third of restricted stock units will vest on each of 6/5/19, 6/5/20 and 6/5/21.

Read SEC document
June 01, 2018 Filed Jun 4, 2018 20:17 UTC
FREAR DAVID JSenior EVP and CFO
GrantStock Option (Right to Buy) · Derivative 2,238,802 $7.07 Strike: $7.07 $15,828,330.14
Disclosure

SEC source: 0001225208-18-010108 · doc4.xml · derivative · entry 4

FREAR DAVID J · CIK 0001207459 · Senior EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,238,802

Underlying: Common Stock · 2,238,802 shares

Expires 2028-06-01

F2 · shares: Approximately one-third of options will vest on each of 6/1/19; 6/1/20 and 5/31/21.

Read SEC document
June 01, 2018 Filed Jun 4, 2018 20:17 UTC
FREAR DAVID JSenior EVP and CFO
GrantCommon Stock 424,328 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-010108 · doc4.xml · nonDerivative · entry 1

FREAR DAVID J · CIK 0001207459 · Senior EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 432,699

F1 · shares: Approximately one-third of restricted stock units will vest on each of 6/1/19, 6/1/20 and 5/31/21.

Read SEC document
June 01, 2018 Filed Jun 4, 2018 20:17 UTC
VOGEL CARL EDirector
SaleCommon Stock 120,516 $7.11 $856,266.18
Disclosure

SEC source: 0001225208-18-010107 · doc4.xml · nonDerivative · entry 1

VOGEL CARL E · CIK 0001118042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,197

F1 · price: Represents the average sales price for the price increments ranging from $7.10 to $7.11. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

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June 01, 2018 Filed Jun 5, 2018 20:10 UTC
MEYER JAMES EDirector · Chief Executive Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 3,000,000 $3.30 Strike: $3.30 $9,900,000.00
Disclosure

SEC source: 0001225208-18-010173 · doc4.xml · derivative · entry 7

MEYER JAMES E · CIK 0001247499 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,128,894

Underlying: Common Stock · 3,000,000 shares

Expires 2023-05-02

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

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June 01, 2018 Filed Jun 5, 2018 20:10 UTC
MEYER JAMES EDirector · Chief Executive Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 830,500 $0.62 Strike: $0.62 $517,816.75
Disclosure

SEC source: 0001225208-18-010173 · doc4.xml · derivative · entry 6

MEYER JAMES E · CIK 0001247499 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 830,500 shares

Expires 2019-08-31

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.

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June 01, 2018 Filed Jun 5, 2018 20:10 UTC
MEYER JAMES EDirector · Chief Executive Officer
Tax withholdingCommon Stock 2,621,410 $7.13 $18,690,653.30
Disclosure

SEC source: 0001225208-18-010173 · doc4.xml · nonDerivative · entry 4

MEYER JAMES E · CIK 0001247499 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,807,422

F2 · price: Represents the exercise price of the stock options referenced in Table II and associated taxes which was paid by way of the withholding by the Company of shares with a value equal to the exercise price and such taxes.

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June 01, 2018 Filed Jun 5, 2018 20:10 UTC
MEYER JAMES EDirector · Chief Executive Officer
SaleCommon Stock 1,209,090 $7.09 $8,577,647.19
Disclosure

SEC source: 0001225208-18-010173 · doc4.xml · nonDerivative · entry 3

MEYER JAMES E · CIK 0001247499 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,428,832

F1 · price: Represents the weighted average sales price for the price increments ranging from $7.05 to $7.13. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

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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.