Last 12 months
Inside the activity.
0 purchase rows · 2 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 2 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 16, 2024 Filed Dec 18, 2024 23:11 UTC |
Kempton James MVP, CFO and Treasurer
|
SaleCommon Stock | 437 | $0.79 | $344.62 |
DisclosureSEC source: 0001628280-24-051922 · wk-form4_1734563468.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,329 F1 · price: Shares were sold for tax planning purposes at a price of $0.7886 per share. Read SEC document |
| December 03, 2024 Filed Dec 5, 2024 01:48 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
SaleCommon Stock | 7,066 | $0.78 | $5,512.19 |
DisclosureSEC source: 0001628280-24-049973 · wk-form4_1733363302.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Indirect · Smith Living Trust Disclosed balance after: 3,194,533 F1 · price: Shares were sold for tax planning purposes in a series of transactions at a range of prices with a weighted average of $0.7801 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. Read SEC document |
| November 19, 2024 Filed Dec 18, 2024 23:10 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 81 | $0.79 | $64.18 |
DisclosureSEC source: 0001628280-24-051919 · wk-form4_1734563408.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,623 F1 · price: Shares withheld, at an average vesting price of $0.7924 per share, for the payment of income taxes. Read SEC document |
| November 13, 2024 Filed Nov 14, 2024 22:15 UTC |
Kempton James MVP, CFO and Treasurer
|
Tax withholdingCommon Stock | 3,097 | $0.90 | $2,787.30 |
DisclosureSEC source: 0001628280-24-047966 · wk-form4_1731622528.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,767 F2 · price: Shares withheld, at an average vesting price of $0.90 per share, for the payment of income taxes. Read SEC document |
| November 13, 2024 Filed Nov 14, 2024 22:02 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 7,770 | $0.90 | $6,993.00 |
DisclosureSEC source: 0001628280-24-047952 · wk-form4_1731621725.xml · nonDerivative · entry 2 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,704 F2 · price: Shares withheld, at an average vesting price of $0.90 per share, for the payment of income taxes. Read SEC document |
| November 12, 2024 Filed Nov 14, 2024 22:15 UTC |
Kempton James MVP, CFO and Treasurer
|
Disposition to issuerCommon Stock | 322 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-047966 · wk-form4_1731622528.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 73,864 F1 · shares: Shares of restricted stock forfeited in accordance with the terms of grant Read SEC document |
| November 12, 2024 Filed Nov 14, 2024 22:02 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Disposition to issuerCommon Stock | 645 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-047952 · wk-form4_1731621725.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 128,474 F1 · shares: Shares of restricted stock forfeited in accordance with the terms of grant Read SEC document |
| October 17, 2024 Filed Oct 22, 2024 20:48 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 4,317 | $1.02 | $4,403.34 |
DisclosureSEC source: 0001628280-24-043295 · wk-form4_1729630082.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 129,119 F1 · price: Shares withheld, at an average vesting price of $1.02 per share, for the payment of income taxes. Read SEC document |
| October 17, 2024 Filed Oct 22, 2024 20:46 UTC |
Kempton James MVP, CFO and Treasurer
|
Tax withholdingCommon Stock | 1,386 | $1.02 | $1,413.72 |
DisclosureSEC source: 0001628280-24-043293 · wk-form4_1729630012.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 74,186 F1 · price: Shares withheld, at an average vesting price of $1.02 per share, for the payment of income taxes. F2 · balance_after: Includes 219 shares acquired on September 30, 2024, at a price of $0.867 per share, pursuant to the Smith Micro Software, Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| October 02, 2024 Filed Oct 3, 2024 20:45 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
GrantCommon Stock Purchase Warrant · Derivative | 2,575,107 | Not disclosed Strike: $1.04 | Not disclosed |
DisclosureSEC source: 0001628280-24-042171 · wk-form4_1727988331.xml · derivative · entry 3 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Indirect · Smith Living Trust Disclosed balance after: 2,575,107 Underlying: Common Stock · 2,575,107 shares Expires 2030-04-02 F1 · price: Pursuant to a Securities Purchase Agreement dated October 1, 2024, between Smith Micro Software, Inc. (the "Company") and the Purchaser parties thereto, Smith Living Trust (for which William W. Smith, Jr. serves as co-trustee) agreed to purchase 2,575,107 shares of common stock, together with a warrant to purchase an equal number of shares of common stock, at a purchase price of $1.165 per share. The purchase was completed and the securities were issued on October 2, 2024. F2 · derivative.exercise_date: The warrant is exercisable beginning six (6) months following its original issuance; provided, that it will not be exercisable to the extent the exercise thereof would cause the holder's ownership of the Company's common stock to exceed 19.99%, unless and until such time as the Company has received stockholder approval in accordance with Nasdaq Listing Rule 5635(b). Read SEC document |
| October 01, 2024 Filed Oct 3, 2024 20:45 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
GrantCommon Stock | 2,575,107 | $1.17 | $2,999,999.66 |
DisclosureSEC source: 0001628280-24-042171 · wk-form4_1727988331.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Indirect · Smith Living Trust Disclosed balance after: 3,201,599 F1 · price: Pursuant to a Securities Purchase Agreement dated October 1, 2024, between Smith Micro Software, Inc. (the "Company") and the Purchaser parties thereto, Smith Living Trust (for which William W. Smith, Jr. serves as co-trustee) agreed to purchase 2,575,107 shares of common stock, together with a warrant to purchase an equal number of shares of common stock, at a purchase price of $1.165 per share. The purchase was completed and the securities were issued on October 2, 2024. Read SEC document |
| September 17, 2024 Filed Sep 19, 2024 23:18 UTC |
Kempton James MVP, CFO and Treasurer
|
Tax withholdingCommon Stock | 183 | $0.60 | $109.43 |
DisclosureSEC source: 0001628280-24-040969 · wk-form4_1726787930.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,353 F1 · price: Shares withheld, at an average vesting price of $0.598 per share, for the payment of income taxes. Read SEC document |
| September 17, 2024 Filed Sep 19, 2024 23:18 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 554 | $0.58 | $323.54 |
DisclosureSEC source: 0001628280-24-040967 · wk-form4_1726787878.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 133,436 F1 · price: Shares withheld, at an average vesting price of $0.584 per share, for the payment of income taxes. Read SEC document |
| August 19, 2024 Filed Aug 21, 2024 21:55 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 82 | $0.84 | $68.80 |
DisclosureSEC source: 0001628280-24-038058 · wk-form4_1724277313.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 133,990 F1 · price: Shares withheld, at an average vesting price of $0.839 per share, for the payment of income taxes. Read SEC document |
| August 13, 2024 Filed Aug 14, 2024 22:05 UTC |
Kempton James MVP, CFO and Treasurer
|
Tax withholdingCommon Stock | 1,202 | $0.85 | $1,021.70 |
DisclosureSEC source: 0001628280-24-037311 · wk-form4_1723673123.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,536 F2 · price: Shares withheld, at an average vesting price of $0.85 per share, for the payment of income taxes. Read SEC document |
| August 13, 2024 Filed Aug 14, 2024 22:04 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 3,125 | $0.85 | $2,656.25 |
DisclosureSEC source: 0001628280-24-037309 · wk-form4_1723673054.xml · nonDerivative · entry 2 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 134,072 F2 · price: Shares withheld, at an average vesting price of $0.85 per share, for the payment of income taxes. Read SEC document |
| August 12, 2024 Filed Aug 14, 2024 22:05 UTC |
Kempton James MVP, CFO and Treasurer
|
Disposition to issuerCommon Stock | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-037311 · wk-form4_1723673123.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,738 F1 · shares: Shares of restricted stock forfeited in accordance with the terms of grant Read SEC document |
| August 12, 2024 Filed Aug 14, 2024 22:04 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Disposition to issuerCommon Stock | 283 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-037309 · wk-form4_1723673054.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 137,197 F1 · shares: Shares of restricted stock forfeited in accordance with the terms of grant Read SEC document |
| July 22, 2024 Filed Jul 24, 2024 12:20 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 1,931 | $2.28 | $4,402.68 |
DisclosureSEC source: 0001628280-24-032728 · wk-form4_1721823630.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 137,480 F1 · price: Shares withheld, at an average vesting price of $2.28 per share, for the payment of income taxes. Read SEC document |
| July 22, 2024 Filed Jul 24, 2024 12:19 UTC |
Kempton James MVP, CFO and Treasurer
|
Tax withholdingCommon Stock | 602 | $2.28 | $1,372.56 |
DisclosureSEC source: 0001628280-24-032725 · wk-form4_1721823564.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,879 F1 · price: Shares withheld, at an average vesting price of $2.28 per share, for the payment of income taxes. Read SEC document |
| July 08, 2024 Filed Jul 10, 2024 20:50 UTC |
Kempton James MVP, CFO and Treasurer
|
GrantCommon Stock | 29,538 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-031607 · wk-form4_1720644601.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,481 F1 · shares: Restricted stock subject to performance-based vesting. Shares will vest in installments subject to satisfaction of performance criteria for the third and fourth quarters of 2024. Read SEC document |
| July 08, 2024 Filed Jul 10, 2024 20:47 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
GrantCommon Stock | 63,294 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-031603 · wk-form4_1720644445.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 139,411 F1 · shares: Restricted stock subject to performance-based vesting. Shares will vest in installments subject to satisfaction of performance criteria for the third and fourth quarters of 2024. Read SEC document |
| June 20, 2024 Filed Jun 25, 2024 10:09 UTC |
Kempton James MVP, CFO and Treasurer
|
Tax withholdingCommon Stock | 214 | $2.22 | $475.08 |
DisclosureSEC source: 0001628280-24-029691 · wk-form4_1719310136.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,943 F1 · price: Shares withheld, at an average vesting price of $2.22 per share, for the payment of income taxes. Read SEC document |
| June 20, 2024 Filed Jun 25, 2024 10:07 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 541 | $2.22 | $1,201.02 |
DisclosureSEC source: 0001628280-24-029689 · wk-form4_1719310043.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,117 F1 · price: Shares withheld, at an average vesting price of $2.22 per share, for the payment of income taxes. Read SEC document |
| May 21, 2024 Filed May 22, 2024 21:40 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 4,745 | $2.47 | $11,720.15 |
DisclosureSEC source: 0001628280-24-024777 · wk-form4_1716414005.xml · nonDerivative · entry 2 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,658 F3 · price: Shares withheld, at an average vesting price of $2.47 per share, for the payment of income taxes. F2 · balance_after: Effective at 11:59pm ET on April 10, 2024, Smith Micro Software, Inc. effected a 1:8 reverse stock split. Shareholdings reported herein reflect the effects of the reverse stock split. Read SEC document |
| May 21, 2024 Filed May 22, 2024 21:36 UTC |
Kempton James MVP, CFO and Treasurer
|
Tax withholdingCommon Stock | 1,826 | $2.51 | $4,583.26 |
DisclosureSEC source: 0001628280-24-024774 · wk-form4_1716413763.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 48,157 F3 · price: Shares withheld, at an average vesting price of $2.51 per share, for the payment of income taxes. F2 · balance_after: Effective at 11:59pm ET on April 10, 2024, Smith Micro Software, Inc. effected a 1:8 reverse stock split. Shareholdings reported herein reflect the effects of the reverse stock split. Read SEC document |
| May 20, 2024 Filed May 22, 2024 21:40 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 1,271 | $2.43 | $3,088.53 |
DisclosureSEC source: 0001628280-24-024777 · wk-form4_1716414005.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,403 F1 · price: Shares withheld, at an average vesting price of $2.43 per share, for the payment of income taxes. F2 · balance_after: Effective at 11:59pm ET on April 10, 2024, Smith Micro Software, Inc. effected a 1:8 reverse stock split. Shareholdings reported herein reflect the effects of the reverse stock split. Read SEC document |
| May 20, 2024 Filed May 22, 2024 21:36 UTC |
Kempton James MVP, CFO and Treasurer
|
Tax withholdingCommon Stock | 432 | $2.43 | $1,049.76 |
DisclosureSEC source: 0001628280-24-024774 · wk-form4_1716413763.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,983 F1 · price: Shares withheld, at an average vesting price of $2.43 per share, for the payment of income taxes. F2 · balance_after: Effective at 11:59pm ET on April 10, 2024, Smith Micro Software, Inc. effected a 1:8 reverse stock split. Shareholdings reported herein reflect the effects of the reverse stock split. Read SEC document |
| April 01, 2024 Filed Apr 1, 2024 20:39 UTC |
Kempton James MVP, CFO and Treasurer
|
GrantCommon Stock | 250 | $0.29 | $72.25 |
DisclosureSEC source: 0001628280-24-014068 · wk-form4_1712003977.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 403,317 F1 · shares: Voluntary disclosure with respect to shares acquired under the Smith Micro Software, Inc. Employee Stock Purchase Plan in a transaction exempt under both Rule 16b-3(d) and Rule 16b-3(c) Read SEC document |
| March 19, 2024 Filed Mar 21, 2024 20:56 UTC |
Kempton James MVP, CFO and Treasurer
|
Tax withholdingCommon Stock | 4,906 | $0.34 | $1,668.04 |
DisclosureSEC source: 0001628280-24-012566 · wk-form4_1711054584.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 403,067 F1 · price: Shares withheld, at an average vesting price of $0.34 per share, for the payment of income taxes. Read SEC document |
| March 19, 2024 Filed Mar 21, 2024 20:55 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 11,866 | $0.34 | $4,034.44 |
DisclosureSEC source: 0001628280-24-012563 · wk-form4_1711054508.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 661,396 F1 · price: Shares withheld, at an average vesting price of $0.34 per share, for the payment of income taxes. Read SEC document |
| March 13, 2024 Filed Mar 15, 2024 20:34 UTC |
Kempton James MVP, CFO and Treasurer
|
SaleCommon Stock | 4,804 | $0.35 | $1,681.40 |
DisclosureSEC source: 0001628280-24-011493 · wk-form4_1710534867.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 407,973 F1 · shares: Sell-to-cover transaction to satisfy withholding tax obligation in connection with the vesting of a restricted stock award Read SEC document |
| March 13, 2024 Filed Mar 15, 2024 20:33 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
SaleCommon Stock | 11,651 | $0.35 | $4,077.85 |
DisclosureSEC source: 0001628280-24-011489 · wk-form4_1710534772.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 673,262 F1 · shares: Sell-to-cover transaction to satisfy withholding tax obligation in connection with the vesting of a restricted stock award Read SEC document |
| February 22, 2024 Filed Feb 23, 2024 11:49 UTC |
Kempton James MVP, CFO and Treasurer
|
Disposition to issuerCommon Stock | 7,291 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-006506 · wk-form4_1708688966.xml · nonDerivative · entry 4 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 412,777 F4 · shares: Shares of restricted stock forfeited in accordance with the terms of grant. Read SEC document |
| February 22, 2024 Filed Feb 23, 2024 11:49 UTC |
Kempton James MVP, CFO and Treasurer
|
Tax withholdingCommon Stock | 1,018 | $0.77 | $783.86 |
DisclosureSEC source: 0001628280-24-006506 · wk-form4_1708688966.xml · nonDerivative · entry 3 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 420,068 F3 · shares: Shares withheld, at an average vesting price of $0.77 per share, for the payment of income taxes. Read SEC document |
| February 22, 2024 Filed Feb 23, 2024 11:47 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Disposition to issuerCommon Stock | 13,586 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-006504 · wk-form4_1708688849.xml · nonDerivative · entry 4 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 684,913 F4 · shares: Shares of restricted stock forfeited in accordance with the terms of grant. Read SEC document |
| February 22, 2024 Filed Feb 23, 2024 11:47 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 5,060 | $0.78 | $3,946.80 |
DisclosureSEC source: 0001628280-24-006504 · wk-form4_1708688849.xml · nonDerivative · entry 3 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 698,499 F3 · shares: Shares withheld, at an average vesting price of $0.78 per share, for the payment of income taxes. Read SEC document |
| February 21, 2024 Filed Feb 23, 2024 11:49 UTC |
Kempton James MVP, CFO and Treasurer
|
GrantCommon Stock | 86,422 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-006506 · wk-form4_1708688966.xml · nonDerivative · entry 2 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 421,086 F2 · shares: Restricted stock subject to performance-based vesting. Shares will vest in installments subject to satisfaction of performance criteria for the first and second quarters of 2024. Read SEC document |
| February 21, 2024 Filed Feb 23, 2024 11:49 UTC |
Kempton James MVP, CFO and Treasurer
|
GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-006506 · wk-form4_1708688966.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 334,664 F1 · shares: Restricted stock subject to time-based and performance-based vesting. 50% of shares vest in equal monthly installments over 48 months, subject to continuing employment. 50% of shares vest subject to satisfaction of 2024 financial performance criteria, with 25% of such amount to vest approximately March 2025 and the remainder in equal monthly installments over the next 36 months. Read SEC document |
| February 21, 2024 Filed Feb 23, 2024 11:47 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
GrantCommon Stock | 175,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-006504 · wk-form4_1708688849.xml · nonDerivative · entry 2 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 703,559 F2 · shares: Restricted stock subject to performance-based vesting. Shares will vest in installments subject to satisfaction of performance criteria for the first and second quarters of 2024. Read SEC document |
| February 21, 2024 Filed Feb 23, 2024 11:47 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
GrantCommon Stock | 175,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-006504 · wk-form4_1708688849.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 528,559 F1 · shares: Restricted stock subject to time-based and performance-based vesting. 50% of shares vest in equal monthly installments over 48 months, subject to continuing employment. 50% of shares vest subject to satisfaction of 2024 financial performance criteria, with 25% of such amount to vest approximately March 2025 and the remainder in equal monthly installments over the next 36 months. Read SEC document |
| January 23, 2024 Filed Jan 24, 2024 21:36 UTC |
Kempton James MVP, CFO and Treasurer
|
SaleCommon Stock | 2,293 | $0.77 | $1,754.37 |
DisclosureSEC source: 0001628280-24-002068 · wk-form4_1706132210.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 234,664 F1 · shares: Sell-to-cover transaction to satisfy withholding tax obligation in connection with the vesting of a restricted stock award Read SEC document |
| January 23, 2024 Filed Jan 24, 2024 21:34 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
SaleCommon Stock | 6,952 | $0.77 | $5,318.98 |
DisclosureSEC source: 0001628280-24-002066 · wk-form4_1706132078.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 353,559 F1 · shares: Sell-to-cover transaction to satisfy withholding tax obligation in connection with the vesting of a restricted stock award Read SEC document |
| January 18, 2024 Filed Jan 22, 2024 21:32 UTC |
Kempton James MVP, CFO and Treasurer
|
Tax withholdingCommon Stock | 1,016 | $0.77 | $782.32 |
DisclosureSEC source: 0001628280-24-001858 · wk-form4_1705959143.xml · nonDerivative · entry 1 Kempton James M · CIK 0001456883 · VP, CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 236,957 F1 · price: Shares withheld, at an average vesting price of $0.77 per share, for the payment of income taxes. Read SEC document |
| January 18, 2024 Filed Jan 22, 2024 21:31 UTC |
SMITH WILLIAM W JRDirector · President & CEO
|
Tax withholdingCommon Stock | 5,059 | $0.78 | $3,946.02 |
DisclosureSEC source: 0001628280-24-001856 · wk-form4_1705959066.xml · nonDerivative · entry 1 SMITH WILLIAM W JR · CIK 0001251368 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 360,511 F1 · price: Shares withheld, at an average vesting price of $0.78 per share, for the payment of income taxes. Read SEC document |
| January 16, 2024 Filed Jan 17, 2024 22:17 UTC |
SZABO GREGORY JDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-001538 · wk-form4_1705529858.xml · nonDerivative · entry 1 SZABO GREGORY J · CIK 0001255114 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 224,000 F1 · shares: Restricted stock grant vesting in 12 equal monthly installments Read SEC document |
| January 16, 2024 Filed Jan 17, 2024 22:16 UTC |
Sharma ChetanDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-001536 · wk-form4_1705529792.xml · nonDerivative · entry 1 Sharma Chetan · CIK 0001922870 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 69,082 F1 · shares: Restricted stock grant vesting in 12 equal monthly installments Read SEC document |
| January 16, 2024 Filed Jan 17, 2024 22:15 UTC |
Keddy AshaDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-001534 · wk-form4_1705529732.xml · nonDerivative · entry 1 Keddy Asha · CIK 0001922655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 73,082 F1 · shares: Restricted stock grant vesting in 12 equal monthly installments Read SEC document |
| January 16, 2024 Filed Jan 17, 2024 22:14 UTC |
gulko samuelDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-001532 · wk-form4_1705529662.xml · nonDerivative · entry 1 gulko samuel · CIK 0001308199 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 198,250 F1 · shares: Restricted stock grant vesting in 12 equal monthly installments Read SEC document |
| January 16, 2024 Filed Jan 17, 2024 22:13 UTC |
Elfman Steven LawrenceDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-001530 · wk-form4_1705529585.xml · nonDerivative · entry 1 Elfman Steven Lawrence · CIK 0001334805 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 188,750 F1 · shares: Restricted stock grant vesting in 12 equal monthly installments Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.