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Smart Sand, Inc.

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6217
SEC CIK
0001529628
Parsed reports
477

Last 12 months

Inside the activity.

3 purchase rows · 15 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202520
Dec 202500
Jan 202600
Feb 202600
Mar 202605
Apr 202600
May 202611
Jun 202600
Jul 202600
Aug 202609
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
July 30, 2021 Filed Aug 3, 2021 12:53 UTC
WHELAN RONALD PSEE REMARKS
GrantCommon Stock 70,671 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000166 · wf-form4_162799516768880.xml · nonDerivative · entry 1

WHELAN RONALD P · CIK 0001687143 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,401

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on July 30, 2021 under the Issuer's 2016 Long Term Incentive Award Plan, which vest in four equal annual installments on each of the next four anniversaries of the grant date, subject to the Reporting Person's continued employment with or service to the Issuer through the applicable vesting date.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 12:59 UTC
Beckelman Lee EChief Financial Officer
GrantCommon Stock 106,007 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000171 · wf-form4_162799552751644.xml · nonDerivative · entry 1

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 420,808

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on July 30, 2021 under the Issuer's 2016 Long Term Incentive Award Plan, which vest in four equal annual installments on each of the next four anniversaries of the grant date, subject to the Reporting Person's continued employment with or service to the Issuer through the applicable vesting date.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 13:08 UTC
SPEAKER ANDREW RDirector · SEE REMARKS
GrantCommon Stock 47,703 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000176 · wf-form4_162799609697816.xml · nonDerivative · entry 1

SPEAKER ANDREW R · CIK 0001241268 · Director · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,139,187

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on July 30, 2021 under the Issuer's 2016 Omnibus Incentive Plan, which vest on the one year anniversary of the grant date, subject to the Reporting Person's continued employment with or service to the Issuer through the applicable vesting date.

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July 30, 2021 Filed Aug 3, 2021 13:07 UTC GrantCommon Stock 31,802 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000175 · wf-form4_162799601954174.xml · nonDerivative · entry 1

Porcelli Frank · CIK 0001319575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,810

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on July 30,2021 under the Issuer's 2016 Omnibus Incentive Plan, which vest on the one year anniversary of the grant date, subject to the Reporting Person's continued employment with or service to the Issuer through the applicable vesting date.

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July 30, 2021 Filed Aug 3, 2021 09:12 UTC
Feliciano Jose EnriqueDirector · 10% owner
GrantCommon Stock, par value $0.001 per share 47,703 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000177 · wf-form4_162799633745030.xml · nonDerivative · entry 1

Feliciano Jose Enrique · CIK 0001323912 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,703

F1 · shares: Represents shares of restricted stock granted pursuant to the Issuer's 2016 Omnibus Incentive Plan, which vest on the first anniversary of July 30, 2021, the date of grant.

F2 · shares: The shares are held of record by Mr. Feliciano for the benefit of Clearlake Capital Partners II (Master), L.P., a Delaware limited partnership ("CCPII").

F2 · balance_after: The shares are held of record by Mr. Feliciano for the benefit of Clearlake Capital Partners II (Master), L.P., a Delaware limited partnership ("CCPII").

F3 · balance_after: Mr. Feliciano expressly disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 13:02 UTC GrantCommon Stock 47,703 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000173 · wf-form4_162799571664661.xml · nonDerivative · entry 1

Pawlenty Timothy · CIK 0001536307 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,272

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on July 30,2021 under the Issuer's 2016 Omnibus Incentive Plan, which vest on the one year anniversary of the grant date, subject to the Reporting Person's continued employment with or service to the Issuer through the applicable vesting date.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 13:03 UTC GrantCommon Stock 47,703 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000174 · wf-form4_162799579914269.xml · nonDerivative · entry 1

Spurlin Sharon · CIK 0001545197 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,711

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on July 30, 2021 under the Issuer's 2016 Omnibus Incentive Plan, which vest on the one year anniversary of the grant date, subject to the Reporting Person's continued employment with or service to the Issuer through the applicable vesting date.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 12:57 UTC GrantCommon Stock 70,671 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000170 · wf-form4_162799545775676.xml · nonDerivative · entry 1

Young James Douglas · CIK 0001709934 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,918

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on July 30, 2021 under the Issuer's 2016 Long Term Incentive Award Plan, which vest in four equal annual installments on each of the next four anniversaries of the grant date, subject to the Reporting Person's continued employment with or service to the Issuer through the applicable vesting date.

Read SEC document
June 30, 2021 Filed Jul 1, 2021 19:37 UTC
NEUMANN SUSAN ESEE REMARKS
Tax withholdingCommon Stock 2,787 $3.33 $9,280.71
Disclosure

SEC source: 0001529628-21-000151 · wf-form4_162518258916314.xml · nonDerivative · entry 1

NEUMANN SUSAN E · CIK 0001687108 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,845

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person in 2018 and 2019, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
June 19, 2021 Filed Jun 22, 2021 10:39 UTC Tax withholdingCommon Stock 1,649 $2.80 $4,617.20
Disclosure

SEC source: 0001529628-21-000146 · wf-form4_162435838096695.xml · nonDerivative · entry 1

Young James Douglas · CIK 0001709934 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,247

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
June 14, 2021 Filed Jun 16, 2021 20:08 UTC
YOUNG WILLIAM JOHNChief Operating Officer
SaleCommon Stock 47,558 $2.88 $136,967.04
Disclosure

SEC source: 0001529628-21-000143 · wf-form4_162387409356171.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,257

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.80 to $2.995, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

Read SEC document
April 30, 2021 Filed May 4, 2021 12:25 UTC
YOUNG CHARLES EDWINDirector · CEO · 10% owner
KEYSTONE CRANBERRY, LLCDirector · 10% owner
Tax withholdingCommon Stock 4,159 $2.42 $10,064.78
Disclosure

SEC source: 0001529628-21-000128 · wf-form4_162013109843984.xml · nonDerivative · entry 1

YOUNG CHARLES EDWIN · CIK 0001687132 · Director · CEO · 10% owner

KEYSTONE CRANBERRY, LLC · CIK 0001688727 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 514,013

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
April 30, 2021 Filed May 4, 2021 12:20 UTC
KISZKA ROBERTExecutive VP of Operations
Tax withholdingCommon Stock 1,884 $2.42 $4,559.28
Disclosure

SEC source: 0001529628-21-000124 · wf-form4_162013083429609.xml · nonDerivative · entry 1

KISZKA ROBERT · CIK 0001687112 · Executive VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,110

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
April 30, 2021 Filed May 4, 2021 12:23 UTC
YOUNG WILLIAM JOHNChief Operating Officer
Tax withholdingCommon Stock 2,858 $2.42 $6,916.36
Disclosure

SEC source: 0001529628-21-000126 · wf-form4_162013096566664.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,815

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
April 30, 2021 Filed May 4, 2021 12:19 UTC
WHELAN RONALD PSEE REMARKS
Tax withholdingCommon Stock 1,892 $2.42 $4,578.64
Disclosure

SEC source: 0001529628-21-000123 · wf-form4_162013076111334.xml · nonDerivative · entry 1

WHELAN RONALD P · CIK 0001687143 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,730

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
April 30, 2021 Filed May 4, 2021 12:24 UTC
Beckelman Lee EChief Financial Officer
Tax withholdingCommon Stock 2,490 $2.42 $6,025.80
Disclosure

SEC source: 0001529628-21-000127 · wf-form4_162013103204096.xml · nonDerivative · entry 1

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,801

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
April 30, 2021 Filed May 4, 2021 12:21 UTC Tax withholdingCommon Stock 1,816 $2.42 $4,394.72
Disclosure

SEC source: 0001529628-21-000125 · wf-form4_162013089467999.xml · nonDerivative · entry 1

Young James Douglas · CIK 0001709934 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,896

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
March 30, 2021 Filed Mar 31, 2021 20:14 UTC
NEUMANN SUSAN ESEE REMARKS
Tax withholdingCommon Stock 300 $2.51 $753.00
Disclosure

SEC source: 0001529628-21-000101 · wf-form4_161723601765898.xml · nonDerivative · entry 1

NEUMANN SUSAN E · CIK 0001687108 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,632

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 00:40 UTC
YOUNG CHARLES EDWINDirector · CEO · 10% owner
KEYSTONE CRANBERRY, LLCDirector · 10% owner
Tax withholdingCommon Stock 2,472 $2.51 $6,204.72
Disclosure

SEC source: 0001529628-21-000105 · wf-form4_161723761214053.xml · nonDerivative · entry 1

YOUNG CHARLES EDWIN · CIK 0001687132 · Director · CEO · 10% owner

KEYSTONE CRANBERRY, LLC · CIK 0001688727 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 518,172

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 00:12 UTC
KISZKA ROBERTExecutive VP of Operations
Tax withholdingCommon Stock 1,385 $2.51 $3,476.35
Disclosure

SEC source: 0001529628-21-000100 · wf-form4_161723593433420.xml · nonDerivative · entry 1

KISZKA ROBERT · CIK 0001687112 · Executive VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,994

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 00:27 UTC
YOUNG WILLIAM JOHNChief Operating Officer
Tax withholdingCommon Stock 844 $2.51 $2,118.44
Disclosure

SEC source: 0001529628-21-000102 · wf-form4_161723679964110.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,673

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 00:28 UTC
WHELAN RONALD PSEE REMARKS
Tax withholdingCommon Stock 374 $2.51 $938.74
Disclosure

SEC source: 0001529628-21-000103 · wf-form4_161723689830566.xml · nonDerivative · entry 1

WHELAN RONALD P · CIK 0001687143 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,622

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 00:38 UTC
Beckelman Lee EChief Financial Officer
Tax withholdingCommon Stock 962 $2.51 $2,414.62
Disclosure

SEC source: 0001529628-21-000104 · wf-form4_161723743863217.xml · nonDerivative · entry 1

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,291

F1 · shares: Represents shares withheld for tax purposes upon the vesting of restricted stock granted to the Reporting Person, the vesting of which is based on the Reporting Person's continued employment with or service to the Issuer on the applicable vesting date.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 00:30 UTC
YOUNG CHARLES EDWINDirector · CEO · 10% owner
KEYSTONE CRANBERRY, LLCDirector · 10% owner
Tax withholdingCommon Stock 4,860 $2.75 $13,365.00
Disclosure

SEC source: 0001529628-21-000092 · wf-form4_161645941833914.xml · nonDerivative · entry 2

YOUNG CHARLES EDWIN · CIK 0001687132 · Director · CEO · 10% owner

KEYSTONE CRANBERRY, LLC · CIK 0001688727 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 520,644

F2 · shares: Represents the number of shares withheld for tax purposes upon the vesting of ROIC-based performance shares originally granted to the Reporting Person on April 30, 2018.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 00:30 UTC
YOUNG CHARLES EDWINDirector · CEO · 10% owner
KEYSTONE CRANBERRY, LLCDirector · 10% owner
GrantCommon Stock 20,560 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000092 · wf-form4_161645941833914.xml · nonDerivative · entry 1

YOUNG CHARLES EDWIN · CIK 0001687132 · Director · CEO · 10% owner

KEYSTONE CRANBERRY, LLC · CIK 0001688727 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 525,504

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on April 30, 2018. On March 19, 2021, the Issuer confirmed the achievement of the applicable performance metric, which was based on a relative Return on Invested Capital (ROIC) goal for the performance period commencing on January 1, 2018 and continuing through December 31, 2020. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 60.2%.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 00:15 UTC
KISZKA ROBERTExecutive VP of Operations
Tax withholdingCommon Stock 2,778 $2.75 $7,639.50
Disclosure

SEC source: 0001529628-21-000087 · wf-form4_161645851164194.xml · nonDerivative · entry 2

KISZKA ROBERT · CIK 0001687112 · Executive VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,379

F2 · shares: Represents the number of shares withheld for tax purposes upon the vesting of ROIC-based performance shares originally granted to the Reporting Person on April 30, 2018.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 00:15 UTC
KISZKA ROBERTExecutive VP of Operations
GrantCommon Stock 8,223 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000087 · wf-form4_161645851164194.xml · nonDerivative · entry 1

KISZKA ROBERT · CIK 0001687112 · Executive VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,157

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on April 30, 2018. On March 19, 2021, the Issuer confirmed the achievement of the applicable performance metric, which was based on a relative Return on Invested Capital (ROIC) goal for the performance period commencing on January 1, 2018 and continuing through December 31, 2020. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 60.2%.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 00:20 UTC
YOUNG WILLIAM JOHNChief Operating Officer
Tax withholdingCommon Stock 4,168 $2.75 $11,462.00
Disclosure

SEC source: 0001529628-21-000090 · wf-form4_161645884117422.xml · nonDerivative · entry 2

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,517

F2 · shares: Represents the number of shares withheld for tax purposes upon the vesting of ROIC-based performance shares originally granted to the Reporting Person on April 30, 2018.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 00:20 UTC
YOUNG WILLIAM JOHNChief Operating Officer
GrantCommon Stock 12,336 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000090 · wf-form4_161645884117422.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,685

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on April 30, 2018. On March 19, 2021, the Issuer confirmed the achievement of the applicable performance metric, which was based on a relative Return on Invested Capital (ROIC) goal for the performance period commencing on January 1, 2018 and continuing through December 31, 2020. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 60.2%.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 00:17 UTC
WHELAN RONALD PSEE REMARKS
Tax withholdingCommon Stock 2,286 $2.75 $6,286.50
Disclosure

SEC source: 0001529628-21-000088 · wf-form4_161645861321925.xml · nonDerivative · entry 2

WHELAN RONALD P · CIK 0001687143 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,996

F2 · shares: Represents the number of shares withheld for tax purposes upon the vesting of ROIC-based performance shares originally granted to the Reporting Person on April 30, 2018.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 00:17 UTC
WHELAN RONALD PSEE REMARKS
GrantCommon Stock 6,682 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000088 · wf-form4_161645861321925.xml · nonDerivative · entry 1

WHELAN RONALD P · CIK 0001687143 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,282

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on April 30, 2018. On March 19, 2021, the Issuer confirmed the achievement of the applicable performance metric, which was based on a relative Return on Invested Capital (ROIC) goal for the performance period commencing on January 1, 2018 and continuing through December 31, 2020. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 60.2%.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 00:27 UTC
Beckelman Lee EChief Financial Officer
Tax withholdingCommon Stock 3,656 $2.75 $10,054.00
Disclosure

SEC source: 0001529628-21-000091 · wf-form4_161645923096529.xml · nonDerivative · entry 2

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,253

F2 · shares: Represents the number of shares withheld for tax purposes upon the vesting of ROIC-based performance shares originally granted to the Reporting Person on April 30, 2018.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 00:27 UTC
Beckelman Lee EChief Financial Officer
GrantCommon Stock 12,336 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000091 · wf-form4_161645923096529.xml · nonDerivative · entry 1

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,909

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on April 30, 2018. On March 19, 2021, the Issuer confirmed the achievement of the applicable performance metric, which was based on a relative Return on Invested Capital (ROIC) goal for the performance period commencing on January 1, 2018 and continuing through December 31, 2020. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 60.2%.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 00:18 UTC Tax withholdingCommon Stock 2,696 $2.75 $7,414.00
Disclosure

SEC source: 0001529628-21-000089 · wf-form4_161645869525384.xml · nonDerivative · entry 2

Young James Douglas · CIK 0001709934 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,712

F2 · shares: Represents the number of shares withheld for tax purposes upon the vesting of ROIC-based performance shares originally granted to the Reporting Person on April 30, 2018.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 00:18 UTC GrantCommon Stock 8,223 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000089 · wf-form4_161645869525384.xml · nonDerivative · entry 1

Young James Douglas · CIK 0001709934 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,408

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on April 30, 2018. On March 19, 2021, the Issuer confirmed the achievement of the applicable performance metric, which was based on a relative Return on Invested Capital (ROIC) goal for the performance period commencing on January 1, 2018 and continuing through December 31, 2020. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 60.2%.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 17:26 UTC
NEUMANN SUSAN ESEE REMARKS
SaleCommon Stock 4,000 $3.06 $12,240.00
Disclosure

SEC source: 0001529628-21-000078 · wf-form4_161558795380042.xml · nonDerivative · entry 1

NEUMANN SUSAN E · CIK 0001687108 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,932

Read SEC document
March 08, 2021 Filed Mar 10, 2021 11:53 UTC SaleCommon Stock 42,100 $2.96 $124,616.00
Disclosure

SEC source: 0001529628-21-000076 · wf-form4_161537717730036.xml · nonDerivative · entry 1

Young James Douglas · CIK 0001709934 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,185

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.86 to $3.08, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

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February 16, 2021 Filed Feb 18, 2021 12:11 UTC
YOUNG CHARLES EDWINDirector · CEO · 10% owner
KEYSTONE CRANBERRY, LLCDirector · 10% owner
Tax withholdingCommon Stock 5,064 $3.24 $16,407.36
Disclosure

SEC source: 0001529628-21-000043 · wf-form4_161365030367683.xml · nonDerivative · entry 2

YOUNG CHARLES EDWIN · CIK 0001687132 · Director · CEO · 10% owner

KEYSTONE CRANBERRY, LLC · CIK 0001688727 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,944

F2 · shares: Represents the number of shares withheld for tax purposes upon the vesting of TSR-based performance shares originally granted to the Reporting Person on April 30, 2018.

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February 16, 2021 Filed Feb 18, 2021 12:11 UTC
YOUNG CHARLES EDWINDirector · CEO · 10% owner
KEYSTONE CRANBERRY, LLCDirector · 10% owner
GrantCommon Stock 17,076 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000043 · wf-form4_161365030367683.xml · nonDerivative · entry 1

YOUNG CHARLES EDWIN · CIK 0001687132 · Director · CEO · 10% owner

KEYSTONE CRANBERRY, LLC · CIK 0001688727 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,008

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on April 30, 2018. On February 16, 2021, the Issuer confirmed the achievement of the applicable performance metric, which measured total shareholder return (TSR) of the Issuer over the three year period from January 1, 2018 through December 31, 2020 relative to the TSR of each of a peer group of companies.

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February 16, 2021 Filed Feb 18, 2021 12:05 UTC
KISZKA ROBERTExecutive VP of Operations
Tax withholdingCommon Stock 2,308 $3.24 $7,477.92
Disclosure

SEC source: 0001529628-21-000038 · wf-form4_161364993029538.xml · nonDerivative · entry 2

KISZKA ROBERT · CIK 0001687112 · Executive VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,934

F2 · shares: Represents the number of shares withheld for tax purposes upon the vesting of TSR-based performance shares originally granted to the Reporting Person on April 30, 2018.

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February 16, 2021 Filed Feb 18, 2021 12:05 UTC
KISZKA ROBERTExecutive VP of Operations
GrantCommon Stock 6,830 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000038 · wf-form4_161364993029538.xml · nonDerivative · entry 1

KISZKA ROBERT · CIK 0001687112 · Executive VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,242

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on April 30, 2018. On February 16, 2021, the Issuer confirmed the achievement of the applicable performance metric, which measured total shareholder return (TSR) of the Issuer over the three year period from January 1, 2018 through December 31, 2020 relative to the TSR of each of a peer group of companies.

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February 16, 2021 Filed Feb 18, 2021 12:06 UTC
WHELAN RONALD PSEE REMARKS
Tax withholdingCommon Stock 1,898 $3.24 $6,149.52
Disclosure

SEC source: 0001529628-21-000039 · wf-form4_161364997115801.xml · nonDerivative · entry 2

WHELAN RONALD P · CIK 0001687143 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,600

F2 · shares: Represents the number of shares withheld for tax purposes upon the vesting of TSR-based performance shares originally granted to the Reporting Person on April 30, 2018.

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February 16, 2021 Filed Feb 18, 2021 12:06 UTC
WHELAN RONALD PSEE REMARKS
GrantCommon Stock 5,549 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000039 · wf-form4_161364997115801.xml · nonDerivative · entry 1

WHELAN RONALD P · CIK 0001687143 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,498

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on April 30, 2018. On February 16, 2021, the Issuer confirmed the achievement of the applicable performance metric, which measured total shareholder return (TSR) of the Issuer over the three year period from January 1, 2018 through December 31, 2020 relative to the TSR of each of a peer group of companies.

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February 16, 2021 Filed Feb 18, 2021 12:08 UTC
YOUNG WILLIAM JOHNChief Operating Officer
Tax withholdingCommon Stock 3,461 $3.24 $11,213.64
Disclosure

SEC source: 0001529628-21-000040 · wf-form4_161365006734518.xml · nonDerivative · entry 2

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,349

F2 · shares: Represents the number of shares withheld for tax purposes upon the vesting of TSR-based performance shares originally granted to the Reporting Person on April 30, 2018.

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February 16, 2021 Filed Feb 18, 2021 12:08 UTC
YOUNG WILLIAM JOHNChief Operating Officer
GrantCommon Stock 10,245 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000040 · wf-form4_161365006734518.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,810

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on April 30, 2018. On February 16, 2021, the Issuer confirmed the achievement of the applicable performance metric, which measured total shareholder return (TSR) of the Issuer over the three year period from January 1, 2018 through December 31, 2020 relative to the TSR of each of a peer group of companies.

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February 16, 2021 Filed Feb 18, 2021 12:10 UTC
Beckelman Lee EChief Financial Officer
Tax withholdingCommon Stock 3,038 $3.24 $9,843.12
Disclosure

SEC source: 0001529628-21-000042 · wf-form4_161365019612295.xml · nonDerivative · entry 2

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,573

F2 · shares: Represents the number of shares withheld for tax purposes upon the vesting of TSR-based performance shares originally granted to the Reporting Person on April 30, 2018.

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February 16, 2021 Filed Feb 18, 2021 12:10 UTC
Beckelman Lee EChief Financial Officer
GrantCommon Stock 10,245 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000042 · wf-form4_161365019612295.xml · nonDerivative · entry 1

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,611

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on April 30, 2018. On February 16, 2021, the Issuer confirmed the achievement of the applicable performance metric, which measured total shareholder return (TSR) of the Issuer over the three year period from January 1, 2018 through December 31, 2020 relative to the TSR of each of a peer group of companies.

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February 16, 2021 Filed Feb 18, 2021 12:04 UTC Tax withholdingCommon Stock 2,239 $3.24 $7,254.36
Disclosure

SEC source: 0001529628-21-000036 · wf-form4_161364983584992.xml · nonDerivative · entry 2

Young James Douglas · CIK 0001709934 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,285

F2 · shares: Represents the number of shares withheld for tax purposes upon the vesting of TSR-based performance shares originally granted to the Reporting Person on April 30, 2018.

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February 16, 2021 Filed Feb 18, 2021 12:04 UTC GrantCommon Stock 6,830 $0.00 $0.00
Disclosure

SEC source: 0001529628-21-000036 · wf-form4_161364983584992.xml · nonDerivative · entry 1

Young James Douglas · CIK 0001709934 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,524

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on April 30, 2018. On February 16, 2021, the Issuer confirmed the achievement of the applicable performance metric, which measured total shareholder return (TSR) of the Issuer over the three year period from January 1, 2018 through December 31, 2020 relative to the TSR of each of a peer group of companies.

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December 21, 2020 Filed Dec 22, 2020 21:19 UTC OtherCommon Stock, par value $0.001 per share 35,715 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000147 · wf-form4_160867192943099.xml · nonDerivative · entry 1

Leonard Colin · CIK 0001539165 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Represents shares of restricted stock previously issued to Mr. Leonard for the benefit of Clearlake Capital Partners II (Master), L.P. (CCPII), which vested on December 18, 2020, and were transferred to CCPII on December 21, 2020.

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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.