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Nasdaq · USD

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Super League Enterprise, Inc.

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6409
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0001621672
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135

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0 purchase rows · 1 sale rows

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Dec 202500
Jan 202600
Feb 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
April 30, 2023 Filed May 3, 2023 01:17 UTC
Hand AnnDirector · CHIEF EXECUTIVE OFFICER
Disposition to issuerWarrants · Derivative 166,667 $0.00 Strike: $9.00 $0.00
Disclosure

SEC source: 0001415889-23-007157 · form4-05032023_010515.xml · derivative · entry 1

Hand Ann · CIK 0001769649 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 166,667 shares

Expires 2025-06-05

Read SEC document
April 17, 2023 Filed Apr 19, 2023 16:08 UTC
HAYNES CLAYTON JCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 15,547 $0.42 $6,529.74
Disclosure

SEC source: 0001415889-23-006693 · form4-04192023_080411.xml · nonDerivative · entry 1

HAYNES CLAYTON J · CIK 0001189618 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,267

F1 · price: Represents shares required to cover tax withholding obligations in connection with the vesting and settlement of previously reported Restricted Stock Units.

Read SEC document
April 17, 2023 Filed Apr 19, 2023 20:06 UTC
Steigelfest David J.Director · CHIEF PLATFORM OFFICER
Tax withholdingCommon Stock 17,817 $0.42 $7,483.14
Disclosure

SEC source: 0001415889-23-006689 · form4-04192023_080449.xml · nonDerivative · entry 1

Steigelfest David J. · CIK 0001768935 · Director · CHIEF PLATFORM OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 138,935

F1 · price: Represents shares required to cover tax withholding obligations in connection with the vesting and settlement of previously reported Restricted Stock Units.

Read SEC document
June 27, 2022 Filed Jun 27, 2022 19:41 UTC
Wann MichaelDirector · CHIEF STRATEGY OFFICER
Tax withholdingCommon Stock 2,882 $1.05 $3,026.10
Disclosure

SEC source: 0001415889-22-006987 · form4-06272022_040647.xml · nonDerivative · entry 1

Wann Michael · CIK 0001866259 · Director · CHIEF STRATEGY OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536,689

F1 · shares: Represents shares required to cover tax withholding obligations in connection with the vesting and settlement of previously reported Restricted Stock Units.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 06:00 UTC
JUNG MARKDirector
GrantCommon Stock 60,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-22-006793 · form4-06212022_060625.xml · nonDerivative · entry 1

JUNG MARK · CIK 0001134899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,604

F1 · shares: Represents grant of restricted stock units ("RSUs") issued in connection with the Reporting Person's service on the Issuer's Board of Directors. The RSUs will vest in full on the date of the Issuer's 2023 annual shareholders meeting.

F1 · price: Represents grant of restricted stock units ("RSUs") issued in connection with the Reporting Person's service on the Issuer's Board of Directors. The RSUs will vest in full on the date of the Issuer's 2023 annual shareholders meeting.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 06:00 UTC
Wann MichaelDirector · CHIEF STRATEGY OFFICER
GrantCommon Stock 65,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-22-006791 · form4-06212022_060614.xml · nonDerivative · entry 1

Wann Michael · CIK 0001866259 · Director · CHIEF STRATEGY OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 539,571

F1 · shares: Represents grant of restricted stock units ("RSUs"). The RSUs will vest in three equal annual installments beginning on February 1, 2023.

F1 · price: Represents grant of restricted stock units ("RSUs"). The RSUs will vest in three equal annual installments beginning on February 1, 2023.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 06:00 UTC
HAYNES CLAYTON JCHIEF FINANCIAL OFFICER
GrantCommon Stock 50,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-22-006792 · form4-06212022_060620.xml · nonDerivative · entry 1

HAYNES CLAYTON J · CIK 0001189618 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,814

F1 · shares: Represents grant of restricted stock units ("RSUs"). The RSUs will vest in three equal annual installments beginning on February 1, 2023.

F1 · price: Represents grant of restricted stock units ("RSUs"). The RSUs will vest in three equal annual installments beginning on February 1, 2023.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 10:00 UTC GrantCommon Stock 60,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-22-006794 · form4-06212022_060631.xml · nonDerivative · entry 1

Keller Michael R · CIK 0001768576 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,273

F1 · shares: Represents grant of restricted stock units ("RSUs") issued in connection with the Reporting Person's service on the Issuer's Board of Directors. The RSUs will vest in full on the date of the Issuer's 2023 annual shareholders meeting.

F1 · price: Represents grant of restricted stock units ("RSUs") issued in connection with the Reporting Person's service on the Issuer's Board of Directors. The RSUs will vest in full on the date of the Issuer's 2023 annual shareholders meeting.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 10:00 UTC GrantCommon Stock 60,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-22-006796 · form4-06212022_060641.xml · nonDerivative · entry 1

Gehl Jeff Patrick · CIK 0001705527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,940

F1 · shares: Represents grant of restricted stock units ("RSUs") issued in connection with the Reporting Person's service on the Issuer's Board of Directors. The RSUs will vest in full on the date of the Issuer's 2023 annual shareholders meeting.

F1 · price: Represents grant of restricted stock units ("RSUs") issued in connection with the Reporting Person's service on the Issuer's Board of Directors. The RSUs will vest in full on the date of the Issuer's 2023 annual shareholders meeting.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 10:00 UTC
Steigelfest David J.Director · CHIEF PLATFORM OFFICER
GrantCommon Stock 65,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-22-006789 · form4-06212022_060601.xml · nonDerivative · entry 1

Steigelfest David J. · CIK 0001768935 · Director · CHIEF PLATFORM OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,752

F1 · shares: Represents grant of restricted stock units ("RSUs"). The RSUs will vest in three equal annual installments beginning on February 1, 2023.

F1 · price: Represents grant of restricted stock units ("RSUs"). The RSUs will vest in three equal annual installments beginning on February 1, 2023.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 10:00 UTC GrantCommon Stock 60,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-22-006795 · form4-06212022_060636.xml · nonDerivative · entry 1

Patrick Kristin · CIK 0001769529 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,273

F1 · shares: Represents grant of restricted stock units ("RSUs") issued in connection with the Reporting Person's service on the Issuer's Board of Directors. The RSUs will vest in full on the date of the Issuer's 2023 annual shareholders meeting.

F1 · price: Represents grant of restricted stock units ("RSUs") issued in connection with the Reporting Person's service on the Issuer's Board of Directors. The RSUs will vest in full on the date of the Issuer's 2023 annual shareholders meeting.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 10:00 UTC
Edelman Matthew EvanCHIEF COMMERCIAL OFFICER
GrantCommon Stock 65,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-22-006790 · form4-06212022_060608.xml · nonDerivative · entry 1

Edelman Matthew Evan · CIK 0001768749 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,530

F1 · shares: Represents grant of restricted stock units ("RSUs"). The RSUs will vest in three equal annual installments beginning on February 1, 2023.

F1 · price: Represents grant of restricted stock units ("RSUs"). The RSUs will vest in three equal annual installments beginning on February 1, 2023.

Read SEC document
May 27, 2022 Filed May 27, 2022 21:47 UTC
HAYNES CLAYTON JCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 9,664 $2.15 $20,777.60
Disclosure

SEC source: 0001415889-22-005864 · form4-05272022_060502.xml · nonDerivative · entry 1

HAYNES CLAYTON J · CIK 0001189618 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,814

F1 · shares: Represents shares required to cover tax withholding obligations in connection with the vesting and settlement of previously reported Restricted Stock Units.

Read SEC document
May 27, 2022 Filed May 28, 2022 01:48 UTC
Steigelfest David J.Director · CHIEF PLATFORM OFFICER
Tax withholdingCommon Stock 9,636 $2.15 $20,717.40
Disclosure

SEC source: 0001415889-22-005865 · form4-05272022_060537.xml · nonDerivative · entry 1

Steigelfest David J. · CIK 0001768935 · Director · CHIEF PLATFORM OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,752

F1 · shares: Represents shares required to cover tax withholding obligations in connection with the vesting and settlement of previously reported Restricted Stock Units.

Read SEC document
May 27, 2022 Filed Jun 3, 2022 06:00 UTC
Wann MichaelDirector · CHIEF STRATEGY OFFICER
SaleCommon Stock 83,509 $1.22 $101,705.61
Disclosure

SEC source: 0001415889-22-006052 · form4-06032022_060601.xml · nonDerivative · entry 3

Wann Michael · CIK 0001866259 · Director · CHIEF STRATEGY OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 474,571

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.14 to $1.30 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1), (2) and (3) to this Form 4.

Read SEC document
May 26, 2022 Filed Jun 3, 2022 06:00 UTC
Wann MichaelDirector · CHIEF STRATEGY OFFICER
SaleCommon Stock 49,745 $1.19 $58,987.62
Disclosure

SEC source: 0001415889-22-006052 · form4-06032022_060601.xml · nonDerivative · entry 2

Wann Michael · CIK 0001866259 · Director · CHIEF STRATEGY OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 558,080

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.14 to $1.21 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1), (2) and (3) to this Form 4.

Read SEC document
May 25, 2022 Filed Jun 3, 2022 06:00 UTC
Wann MichaelDirector · CHIEF STRATEGY OFFICER
SaleCommon Stock 42,836 $1.13 $48,584.59
Disclosure

SEC source: 0001415889-22-006052 · form4-06032022_060601.xml · nonDerivative · entry 1

Wann Michael · CIK 0001866259 · Director · CHIEF STRATEGY OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 607,825

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.10 to $1.21 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1), (2) and (3) to this Form 4.

Read SEC document
April 05, 2022 Filed Apr 6, 2022 20:41 UTC
HAYNES CLAYTON JCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 3,182 $2.16 $6,873.12
Disclosure

SEC source: 0001415889-22-003920 · form4-04062022_050403.xml · nonDerivative · entry 1

HAYNES CLAYTON J · CIK 0001189618 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,478

F1 · shares: Represents shares required to cover tax withholding obligations in connection with the vesting and settlement of previously reported Restricted Stock Units.

Read SEC document
April 05, 2022 Filed Apr 7, 2022 00:39 UTC
Steigelfest David J.Director · CHIEF PLATFORM OFFICER
Tax withholdingCommon Stock 2,672 $2.16 $5,771.52
Disclosure

SEC source: 0001415889-22-003917 · form4-04062022_050437.xml · nonDerivative · entry 1

Steigelfest David J. · CIK 0001768935 · Director · CHIEF PLATFORM OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,388

F1 · shares: Represents shares required to cover tax withholding obligations in connection with the vesting and settlement of previously reported Restricted Stock Units.

Read SEC document
January 07, 2022 Filed Jan 12, 2022 23:53 UTC PurchaseCommon Stock 44,000 $2.33 $102,520.00
Disclosure

SEC source: 0001415889-22-000511 · form4-01122022_030155.xml · nonDerivative · entry 1

Keller Michael R · CIK 0001768576 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Michael R. Keller Trust

Disclosed balance after: 181,301

Read SEC document
January 05, 2022 Filed Jan 7, 2022 17:06 UTC
HAYNES CLAYTON JCHIEF FINANCIAL OFFICER
GrantPerformance Stock Units · Derivative 150,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-000457 · form4-01072022_020124.xml · derivative · entry 1

HAYNES CLAYTON J · CIK 0001189618 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires not disclosed

F1 · security: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F2 · shares: The PSUs were awarded to the Reporting Person pursuant to the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan. Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.

F2 · derivative.exercise_date: The PSUs were awarded to the Reporting Person pursuant to the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan. Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.

F2 · derivative.expiration_date: The PSUs were awarded to the Reporting Person pursuant to the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan. Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.

Read SEC document
January 05, 2022 Filed Jan 7, 2022 22:08 UTC
Edelman Matthew EvanCHIEF COMMERCIAL OFFICER
GrantPerformance Stock Units · Derivative 150,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-000460 · form4-01072022_020117.xml · derivative · entry 1

Edelman Matthew Evan · CIK 0001768749 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires not disclosed

F1 · security: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F2 · shares: The PSUs were awarded to the Reporting Person pursuant to the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan. Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.

F2 · derivative.exercise_date: The PSUs were awarded to the Reporting Person pursuant to the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan. Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.

F2 · derivative.expiration_date: The PSUs were awarded to the Reporting Person pursuant to the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan. Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.

Read SEC document
January 05, 2022 Filed Jan 7, 2022 22:07 UTC
Steigelfest David J.Director · CHIEF PLATFORM OFFICER
GrantPerformance Stock Units · Derivative 150,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-000458 · form4-01072022_020126.xml · derivative · entry 1

Steigelfest David J. · CIK 0001768935 · Director · CHIEF PLATFORM OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires not disclosed

F1 · security: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F2 · shares: The PSUs were awarded to the Reporting Person pursuant to the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan. Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.

F2 · derivative.exercise_date: The PSUs were awarded to the Reporting Person pursuant to the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan. Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.

F2 · derivative.expiration_date: The PSUs were awarded to the Reporting Person pursuant to the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan. Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.

Read SEC document
January 05, 2022 Filed Jan 7, 2022 22:05 UTC
Hand AnnDirector · CEO AND PRESIDENT
GrantPerformance Stock Units · Derivative 900,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-000455 · form4-01072022_020106.xml · derivative · entry 1

Hand Ann · CIK 0001769649 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900,000

Underlying: Common Stock · 900,000 shares

Expires not disclosed

F1 · security: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F2 · shares: The PSUs were awarded to the Reporting Person pursuant to the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan, and pursuant to that certain Executive Employment Agreement by and between the Reporting Person and Issuer, whereby the Reporting Person received the PSUs in lieu of participation in the equity component of the Issuer's annual executive compensation plan for the three (3) calendar year term commencing January 1, 2022. Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.

F2 · derivative.exercise_date: The PSUs were awarded to the Reporting Person pursuant to the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan, and pursuant to that certain Executive Employment Agreement by and between the Reporting Person and Issuer, whereby the Reporting Person received the PSUs in lieu of participation in the equity component of the Issuer's annual executive compensation plan for the three (3) calendar year term commencing January 1, 2022. Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.

F2 · derivative.expiration_date: The PSUs were awarded to the Reporting Person pursuant to the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan, and pursuant to that certain Executive Employment Agreement by and between the Reporting Person and Issuer, whereby the Reporting Person received the PSUs in lieu of participation in the equity component of the Issuer's annual executive compensation plan for the three (3) calendar year term commencing January 1, 2022. Subject to continued employment and to accelerated vesting in certain circumstances, the PSUs shall vest: (i) 20% upon the Issuer's common stock achieving a 60-day volume-weighted average price ("60-day VWAP") of $4.75 per share, (ii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $6.00 per share; (iii) 20% upon the Issuer's common stock achieving a 60-day VWAP of $7.00 per share; (iv) 20% upon the Issuer's common stock achieving a 60-day VWAP of $8.00 per share; and (v) 20% upon the Issuer's common stock achieving a 60-day VWAP of $9.00 per share.

Read SEC document
December 29, 2021 Filed Dec 29, 2021 20:07 UTC
JUNG MARKDirector
PurchaseCommon Stock 22,614 $2.28 $51,559.92
Disclosure

SEC source: 0001415889-21-006286 · form4-12292021_051257.xml · nonDerivative · entry 2

JUNG MARK · CIK 0001134899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Mark Jung SEP IRA

Disclosed balance after: 119,602

F2 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.265 to $2.320 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2) to this Form 4.

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December 28, 2021 Filed Dec 29, 2021 20:07 UTC
JUNG MARKDirector
PurchaseCommon Stock 2,386 $2.36 $5,630.96
Disclosure

SEC source: 0001415889-21-006286 · form4-12292021_051257.xml · nonDerivative · entry 1

JUNG MARK · CIK 0001134899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Mark Jung SEP IRA

Disclosed balance after: 96,988

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.340 to $2.370 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

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December 15, 2021 Filed Dec 16, 2021 20:54 UTC
Hand AnnDirector · CEO AND PRESIDENT
PurchaseCommon Stock 5,000 $2.41 $12,050.00
Disclosure

SEC source: 0001415889-21-006019 · form4-12162021_121255.xml · nonDerivative · entry 1

Hand Ann · CIK 0001769649 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,214

Read SEC document
December 13, 2021 Filed Dec 14, 2021 15:49 UTC
JUNG MARKDirector
PurchaseCommon Stock 10,000 $2.69 $26,909.00
Disclosure

SEC source: 0001415889-21-005859 · form4-12142021_121226.xml · nonDerivative · entry 1

JUNG MARK · CIK 0001134899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Mark Jung SEP IRA

Disclosed balance after: 94,602

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.68 to $2.72 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

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December 07, 2021 Filed Dec 8, 2021 19:00 UTC
Wann MichaelDirector · CHIEF STRATEGY OFFICER
SaleCommon Stock 110,928 $3.00 $333,028.04
Disclosure

SEC source: 0001415889-21-005796 · form4-12082021_041222.xml · nonDerivative · entry 2

Wann Michael · CIK 0001866259 · Director · CHIEF STRATEGY OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650,661

F3 · price: (1) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.92 to $3.14 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) and (3) to this Form 4.

F2 · balance_after: Includes 14,926 restricted stock units ("RSUs") which have not yet vested as of the date of this Form 4.

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December 06, 2021 Filed Dec 8, 2021 19:00 UTC
Wann MichaelDirector · CHIEF STRATEGY OFFICER
SaleCommon Stock 100,000 $2.82 $282,360.00
Disclosure

SEC source: 0001415889-21-005796 · form4-12082021_041222.xml · nonDerivative · entry 1

Wann Michael · CIK 0001866259 · Director · CHIEF STRATEGY OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 761,589

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.78 to $2.92 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) and (3) to this Form 4.

F2 · balance_after: Includes 14,926 restricted stock units ("RSUs") which have not yet vested as of the date of this Form 4.

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December 03, 2021 Filed Dec 3, 2021 17:55 UTC
JUNG MARKDirector
PurchaseCommon Stock 2,651 $2.82 $7,487.22
Disclosure

SEC source: 0001415889-21-005699 · form4-12032021_021206.xml · nonDerivative · entry 2

JUNG MARK · CIK 0001134899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Mark Jung SEP IRA

Disclosed balance after: 84,602

F2 · price: These shares were sold in multiple transactions at prices ranging from $2.77 to $2.85 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased in each transaction at the price set forth in this Form 4.

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December 02, 2021 Filed Dec 3, 2021 17:55 UTC
JUNG MARKDirector
PurchaseCommon Stock 7,349 $2.94 $21,594.30
Disclosure

SEC source: 0001415889-21-005699 · form4-12032021_021206.xml · nonDerivative · entry 1

JUNG MARK · CIK 0001134899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Mark Jung SEP IRA

Disclosed balance after: 81,951

F1 · price: These shares were sold in multiple transactions at prices ranging from $2.91 to $2.965 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased in each transaction at the price set forth in this Form 4.

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October 13, 2021 Filed Oct 15, 2021 21:55 UTC
Edelman Matthew EvanCHIEF COMMERCIAL OFFICER
PurchaseCommon Stock 10,000 $3.20 $31,983.00
Disclosure

SEC source: 0001415889-21-004883 · form4-10152021_021053.xml · nonDerivative · entry 1

Edelman Matthew Evan · CIK 0001768749 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Indirect · By 3MB Associates, LLC

Disclosed balance after: 12,500

Read SEC document
October 12, 2021 Filed Oct 13, 2021 16:05 UTC
JUNG MARKDirector
PurchaseCommon Stock 16,010 $3.12 $49,898.37
Disclosure

SEC source: 0001415889-21-004865 · form4-10132021_011017.xml · nonDerivative · entry 1

JUNG MARK · CIK 0001134899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Mark Jung SEP IRA

Disclosed balance after: 74,602

Read SEC document
August 19, 2021 Filed Aug 19, 2021 23:36 UTC
Hand AnnDirector · CEO AND PRESIDENT
PurchaseCommon Stock 750 $3.81 $2,857.50
Disclosure

SEC source: 0001415889-21-004021 · form4-08192021_040811.xml · nonDerivative · entry 1

Hand Ann · CIK 0001769649 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,214

Read SEC document
August 19, 2021 Filed Aug 23, 2021 06:00 UTC
JUNG MARKDirector
GrantCommon Stock 15,000 $3.81 $57,084.00
Disclosure

SEC source: 0001415889-21-004030 · form4-08232021_060801.xml · nonDerivative · entry 1

JUNG MARK · CIK 0001134899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Mark Jung SEP IRA

Disclosed balance after: 58,592

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.72 to $3.89 per share, inclusive.

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July 12, 2021 Filed Jul 12, 2021 23:11 UTC PurchaseCommon Stock 20,000 $4.87 $97,400.00
Disclosure

SEC source: 0001415889-21-003592 · form4-07122021_040735.xml · nonDerivative · entry 1

Keller Michael R · CIK 0001768576 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Michael R. Keller Trust

Disclosed balance after: 137,301

Read SEC document
May 27, 2021 Filed Jun 2, 2021 15:44 UTC
JUNG MARKDirector
GrantCommon Stock 12,474 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-21-002761 · form4-06022021_120613.xml · nonDerivative · entry 1

JUNG MARK · CIK 0001134899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,604

F1 · price: Represents grant of restricted stock units ("RSUs") issued in connection with the Reporting Person's service on the Issuer's Board of Directors. The RSUs will vest in full on the date of the Issuer's 2022 annual shareholders meeting.

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May 27, 2021 Filed Jun 2, 2021 15:35 UTC
HAYNES CLAYTON JCHIEF FINANCIAL OFFICER
GrantEmployee Stock Option · Derivative 34,510 $0.00 Strike: $4.81 $0.00
Disclosure

SEC source: 0001415889-21-002749 · form4-06022021_120615.xml · derivative · entry 3

HAYNES CLAYTON J · CIK 0001189618 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,510

Underlying: Common Stock · 34,510 shares

Expires 2031-05-27

F3 · derivative.exercise_date: Options vest in equal monthly installments over a 48 month period beginning on February 1, 2021, and will vest in full on January 31, 2025.

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May 27, 2021 Filed Jun 2, 2021 15:35 UTC
HAYNES CLAYTON JCHIEF FINANCIAL OFFICER
GrantEmployee Stock Option · Derivative 25,000 $0.00 Strike: $4.81 $0.00
Disclosure

SEC source: 0001415889-21-002749 · form4-06022021_120615.xml · derivative · entry 2

HAYNES CLAYTON J · CIK 0001189618 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-05-27

F2 · derivative.exercise_date: Options vest in equal monthly installments over a 24 month period beginning on the grant date, and will vest in full on May 27, 2023.

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May 27, 2021 Filed Jun 2, 2021 15:35 UTC
HAYNES CLAYTON JCHIEF FINANCIAL OFFICER
GrantCommon Stock 26,160 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002749 · form4-06022021_120615.xml · nonDerivative · entry 1

HAYNES CLAYTON J · CIK 0001189618 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,660

F1 · price: Represents grant of restricted stock units ("RSUs"). The RSUs will vest in three equal annual installments beginning February 1, 2021.

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May 27, 2021 Filed Jun 2, 2021 19:42 UTC GrantCommon Stock 12,474 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002759 · form4-06022021_120609.xml · nonDerivative · entry 1

Patrick Kristin · CIK 0001769529 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,273

F1 · price: Represents grant of restricted stock units ("RSUs") issued in connection with the Reporting Person's service on the Issuer's Board of Directors. The RSUs will vest in full on the date of the Issuer's 2022 annual shareholders meeting.

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May 27, 2021 Filed Jun 2, 2021 19:41 UTC GrantCommon Stock 12,474 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002757 · form4-06022021_120651.xml · nonDerivative · entry 1

Gehl Jeff Patrick · CIK 0001705527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,940

F1 · price: Represents grant of restricted stock units ("RSUs") issued in connection with the Reporting Person's service on the Issuer's Board of Directors. The RSUs will vest in full on the date of the Issuer's 2022 annual shareholders meeting.

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May 27, 2021 Filed Jun 2, 2021 19:40 UTC GrantCommon Stock 12,474 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002755 · form4-06022021_120653.xml · nonDerivative · entry 1

Keller Michael R · CIK 0001768576 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,273

F1 · kind: Represents grant of restricted stock units ("RSUs") issued in connection with the Reporting Person's service on the Issuer's Board of Directors. The RSUs will vest in full on the date of the Issuer's 2022 annual shareholders meeting.

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May 27, 2021 Filed Jun 2, 2021 19:36 UTC
Edelman Matthew EvanCHIEF COMMERCIAL OFFICER
GrantEmployee Stock Option · Derivative 28,400 $0.00 Strike: $4.81 $0.00
Disclosure

SEC source: 0001415889-21-002751 · form4-06022021_120639.xml · derivative · entry 3

Edelman Matthew Evan · CIK 0001768749 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,400

Underlying: Common Stock · 28,400 shares

Expires 2031-05-27

F2 · derivative.exercise_date: Options vest in equal monthly installments over a 48 month period beginning on February 1, 2021, and will vest in full on January 31, 2025.

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May 27, 2021 Filed Jun 2, 2021 19:36 UTC
Edelman Matthew EvanCHIEF COMMERCIAL OFFICER
GrantCommon Stock 21,530 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002751 · form4-06022021_120639.xml · nonDerivative · entry 1

Edelman Matthew Evan · CIK 0001768749 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,530

F1 · price: Represents grant of restricted stock units ("RSUs"). The RSUs will vest in three equal annual installments beginning February 1, 2021.

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May 27, 2021 Filed Jun 2, 2021 19:38 UTC
Steigelfest David J.Director · CHIEF PRODUCT OFFICER
GrantEmployee Stock Option · Derivative 29,760 $0.00 Strike: $4.81 $0.00
Disclosure

SEC source: 0001415889-21-002753 · form4-06022021_120636.xml · derivative · entry 2

Steigelfest David J. · CIK 0001768935 · Director · CHIEF PRODUCT OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,760

Underlying: Common Stock · 29,760 shares

Expires 2031-05-27

F2 · derivative.exercise_date: Options vest in equal monthly installments over a 48 month period beginning on February 1, 2021, and will vest in full on January 31, 2025.

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May 27, 2021 Filed Jun 2, 2021 19:38 UTC
Steigelfest David J.Director · CHIEF PRODUCT OFFICER
GrantCommon Stock 22,560 $0.00 $0.00
Disclosure

SEC source: 0001415889-21-002753 · form4-06022021_120636.xml · nonDerivative · entry 1

Steigelfest David J. · CIK 0001768935 · Director · CHIEF PRODUCT OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,060

F1 · price: Represents grant of restricted stock units ("RSUs"). The RSUs will vest in three equal annual installments beginning February 1, 2021.

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May 27, 2021 Filed Jun 2, 2021 19:33 UTC
Hand AnnDirector · CEO AND PRESIDENT
GrantEmployee Stock Option · Derivative 93,110 $0.00 Strike: $4.81 $0.00
Disclosure

SEC source: 0001415889-21-002747 · form4-06022021_120645.xml · derivative · entry 3

Hand Ann · CIK 0001769649 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,110

Underlying: Common Stock · 93,110 shares

Expires 2031-05-27

F3 · derivative.exercise_date: Options vest in equal monthly installments over a 48 month period beginning on February 1, 2021, and will vest in full on January 31, 2025.

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May 27, 2021 Filed Jun 2, 2021 19:33 UTC
Hand AnnDirector · CEO AND PRESIDENT
GrantEmployee Stock Option · Derivative 40,000 $0.00 Strike: $4.81 $0.00
Disclosure

SEC source: 0001415889-21-002747 · form4-06022021_120645.xml · derivative · entry 2

Hand Ann · CIK 0001769649 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-05-27

F2 · derivative.exercise_date: Options vest in equal monthly installments over a 24 month period beginning on the grant date, and will vest in full on May 27, 2023.

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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.