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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
December 18, 2020 Filed Dec 22, 2020 21:26 UTC
YOUNG CHARLES EDWINDirector · CEO · 10% owner
KEYSTONE CRANBERRY, LLCDirector · 10% owner
Tax withholdingCommon Stock 12,683 $1.91 $24,224.53
Disclosure

SEC source: 0001529628-20-000153 · wf-form4_160867236280298.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: 492,932

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
December 18, 2020 Filed Dec 22, 2020 21:21 UTC
KISZKA ROBERTExecutive VP of Operations
Tax withholdingCommon Stock 5,651 $1.91 $10,793.41
Disclosure

SEC source: 0001529628-20-000149 · wf-form4_160867205809153.xml · nonDerivative · entry 1

KISZKA ROBERT · CIK 0001687112 · Executive VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,412

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
December 18, 2020 Filed Dec 22, 2020 21:23 UTC
YOUNG WILLIAM JOHNChief Operating Officer
Tax withholdingCommon Stock 8,477 $1.91 $16,191.07
Disclosure

SEC source: 0001529628-20-000151 · wf-form4_160867218423547.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,565

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
December 18, 2020 Filed Dec 22, 2020 21:20 UTC
WHELAN RONALD PSEE REMARKS
Tax withholdingCommon Stock 5,750 $1.91 $10,982.50
Disclosure

SEC source: 0001529628-20-000148 · wf-form4_160867200148513.xml · nonDerivative · entry 1

WHELAN RONALD P · CIK 0001687143 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,949

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
December 18, 2020 Filed Dec 22, 2020 21:25 UTC
Beckelman Lee EChief Financial Officer
Tax withholdingCommon Stock 7,248 $1.91 $13,843.68
Disclosure

SEC source: 0001529628-20-000152 · wf-form4_160867230439765.xml · nonDerivative · entry 1

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 302,366

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
December 18, 2020 Filed Dec 22, 2020 21:27 UTC
SPEAKER ANDREW RDirector · SEE REMARKS
Tax withholdingCommon Stock 11,498 $1.91 $21,961.18
Disclosure

SEC source: 0001529628-20-000154 · wf-form4_160867243541788.xml · nonDerivative · entry 1

SPEAKER ANDREW R · CIK 0001241268 · Director · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,091,484

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
December 18, 2020 Filed Dec 22, 2020 21:22 UTC Tax withholdingCommon Stock 5,453 $1.91 $10,415.23
Disclosure

SEC source: 0001529628-20-000150 · wf-form4_160867212213777.xml · nonDerivative · entry 1

Young James Douglas · CIK 0001709934 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,694

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
December 14, 2020 Filed Dec 16, 2020 21:16 UTC
SPEAKER ANDREW RDirector · SEE REMARKS
SaleCommon Stock 50,000 $2.07 $103,500.00
Disclosure

SEC source: 0001529628-20-000136 · wf-form4_160815337799239.xml · nonDerivative · entry 1

SPEAKER ANDREW R · CIK 0001241268 · Director · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,102,982

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.01 to $2.13, 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
June 30, 2020 Filed Jul 2, 2020 06:46 UTC
NEUMANN SUSAN ESEE REMARKS
Tax withholdingCommon Stock 2,193 $1.05 $2,302.65
Disclosure

SEC source: 0001529628-20-000107 · wf-form4_159368673111822.xml · nonDerivative · entry 1

NEUMANN SUSAN E · CIK 0001687108 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,932

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, 2020 Filed Jun 23, 2020 10:26 UTC Tax withholdingCommon Stock 1,649 $1.20 $1,978.80
Disclosure

SEC source: 0001529628-20-000104 · wf-form4_159290799337936.xml · nonDerivative · entry 1

Young James Douglas · CIK 0001709934 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,147

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, 2020 Filed May 4, 2020 12:38 UTC
YOUNG WILLIAM JOHNChief Operating Officer
Tax withholdingCommon Stock 2,816 $0.83 $2,337.28
Disclosure

SEC source: 0001529628-20-000077 · wf-form4_158859587556053.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,042

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, 2020 Filed May 4, 2020 12:37 UTC
Beckelman Lee EChief Financial Officer
Tax withholdingCommon Stock 2,495 $0.83 $2,070.85
Disclosure

SEC source: 0001529628-20-000076 · wf-form4_158859583028186.xml · nonDerivative · entry 1

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,614

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, 2020 Filed May 4, 2020 12:36 UTC Tax withholdingCommon Stock 1,877 $0.83 $1,557.91
Disclosure

SEC source: 0001529628-20-000075 · wf-form4_158859575684921.xml · nonDerivative · entry 1

Young James Douglas · CIK 0001709934 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,796

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, 2020 Filed Apr 1, 2020 06:23 UTC
NEUMANN SUSAN ESEE REMARKS
Tax withholdingCommon Stock 292 $0.93 $271.56
Disclosure

SEC source: 0001529628-20-000049 · wf-form4_158573656249669.xml · nonDerivative · entry 1

NEUMANN SUSAN E · CIK 0001687108 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,125

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, 2020 Filed Apr 1, 2020 10:21 UTC
YOUNG WILLIAM JOHNChief Operating Officer
Tax withholdingCommon Stock 842 $0.93 $783.06
Disclosure

SEC source: 0001529628-20-000048 · wf-form4_158573649262253.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,858

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, 2020 Filed Apr 1, 2020 10:24 UTC
Beckelman Lee EChief Financial Officer
Tax withholdingCommon Stock 999 $0.93 $929.07
Disclosure

SEC source: 0001529628-20-000050 · wf-form4_158573664570537.xml · nonDerivative · entry 1

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,109

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 16, 2020 Filed Mar 18, 2020 08:53 UTC
NEUMANN SUSAN ESEE REMARKS
Tax withholdingCommon Stock 566 $0.94 $532.04
Disclosure

SEC source: 0001529628-20-000042 · wf-form4_158453597549631.xml · nonDerivative · entry 2

NEUMANN SUSAN E · CIK 0001687108 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,179

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 March 30, 2017.

Read SEC document
March 16, 2020 Filed Mar 18, 2020 08:53 UTC
NEUMANN SUSAN ESEE REMARKS
GrantCommon Stock 1,726 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000042 · wf-form4_158453597549631.xml · nonDerivative · entry 1

NEUMANN SUSAN E · CIK 0001687108 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,745

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on March 30, 2017. On March 16, 2020, 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, 2017 and continuing through December 31, 2019. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 97.2%.

Read SEC document
March 16, 2020 Filed Mar 18, 2020 12:45 UTC
YOUNG CHARLES EDWINDirector · CEO · 10% owner
KEYSTONE CRANBERRY, LLCDirector · 10% owner
GrantCommon Stock 19,731 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000037 · wf-form4_158453552393795.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: 505,615

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on March 30, 2017. On March 16, 2020, 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, 2017 and continuing through December 31, 2019. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 97.2%.

Read SEC document
March 16, 2020 Filed Mar 18, 2020 12:48 UTC
KISZKA ROBERTExecutive VP of Operations
GrantCommon Stock 7,968 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000039 · wf-form4_158453571645740.xml · nonDerivative · entry 1

KISZKA ROBERT · CIK 0001687112 · Executive VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,063

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on March 30, 2017. On March 16, 2020, 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, 2017 and continuing through December 31, 2019. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 97.2%.

Read SEC document
March 16, 2020 Filed Mar 18, 2020 12:51 UTC
YOUNG WILLIAM JOHNChief Operating Officer
Tax withholdingCommon Stock 1,635 $0.94 $1,536.90
Disclosure

SEC source: 0001529628-20-000041 · wf-form4_158453586833132.xml · nonDerivative · entry 2

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,700

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 March 30, 2017.

Read SEC document
March 16, 2020 Filed Mar 18, 2020 12:51 UTC
YOUNG WILLIAM JOHNChief Operating Officer
GrantCommon Stock 5,949 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000041 · wf-form4_158453586833132.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,335

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on March 30, 2017. On March 16, 2020, 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, 2017 and continuing through December 31, 2019. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 97.2%.

Read SEC document
March 16, 2020 Filed Mar 18, 2020 12:50 UTC
WHELAN RONALD PSEE REMARKS
GrantCommon Stock 2,120 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000040 · wf-form4_158453579814174.xml · nonDerivative · entry 1

WHELAN RONALD P · CIK 0001687143 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,699

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on March 30, 2017. On March 16, 2020, 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, 2017 and continuing through December 31, 2019. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 97.2%.

Read SEC document
March 16, 2020 Filed Mar 18, 2020 12:47 UTC
Beckelman Lee EChief Financial Officer
GrantCommon Stock 7,968 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000038 · wf-form4_158453560976649.xml · nonDerivative · entry 1

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,108

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on March 30, 2017. On March 16, 2020, 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, 2017 and continuing through December 31, 2019. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 97.2%.

Read SEC document
March 16, 2020 Filed Apr 1, 2020 10:20 UTC Amendment
KISZKA ROBERTExecutive VP of Operations
GrantCommon Stock 7,968 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000047 · wf-form4a_158573639197970.xml · nonDerivative · entry 1

KISZKA ROBERT · CIK 0001687112 · Executive VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,063

F1 · shares: Reflects the number of shares earned in respect of ROIC-based performance award shares originally granted on March 30, 2017. On March 16, 2020, 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, 2017 and continuing through December 31, 2019. Following the conclusion of the three year performance period, the Compensation Committee confirmed the performance of the Company relative to these goals at 97.2%.

Read SEC document
March 15, 2020 Filed Mar 18, 2020 08:41 UTC
NEUMANN SUSAN ESEE REMARKS
Tax withholdingCommon Stock 722 $1.03 $743.66
Disclosure

SEC source: 0001529628-20-000034 · wf-form4_158453526678230.xml · nonDerivative · entry 1

NEUMANN SUSAN E · CIK 0001687108 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,257

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 15, 2020 Filed Mar 18, 2020 12:39 UTC
YOUNG WILLIAM JOHNChief Operating Officer
Tax withholdingCommon Stock 1,814 $1.03 $1,868.42
Disclosure

SEC source: 0001529628-20-000033 · wf-form4_158453517830341.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,700

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
February 14, 2020 Filed Feb 18, 2020 09:00 UTC
NEUMANN SUSAN ESEE REMARKS
Tax withholdingCommon Stock 292 $2.52 $735.84
Disclosure

SEC source: 0001529628-20-000004 · wf-form4_158203444149430.xml · nonDerivative · entry 2

NEUMANN SUSAN E · CIK 0001687108 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,741

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 March 30, 2017.

Read SEC document
February 14, 2020 Filed Feb 18, 2020 09:00 UTC
NEUMANN SUSAN ESEE REMARKS
GrantCommon Stock 888 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000004 · wf-form4_158203444149430.xml · nonDerivative · entry 1

NEUMANN SUSAN E · CIK 0001687108 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,033

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on March 30, 2017. On February 14, 2020, 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, 2017 through December 31, 2019 relative to the TSR of each of a peer group of companies.

Read SEC document
February 14, 2020 Filed Feb 18, 2020 14:15 UTC
YOUNG CHARLES EDWINDirector · CEO · 10% owner
KEYSTONE CRANBERRY, LLCDirector · 10% owner
GrantCommon Stock 10,150 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000008 · wf-form4_158203530548332.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: 485,884

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on March 30, 2017. On February 14, 2020, 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, 2017 through December 31, 2019 relative to the TSR of each of a peer group of companies.

Read SEC document
February 14, 2020 Filed Feb 18, 2020 13:58 UTC
KISZKA ROBERTExecutive VP of Operations
GrantCommon Stock 4,099 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000002 · wf-form4_158203430775920.xml · nonDerivative · entry 1

KISZKA ROBERT · CIK 0001687112 · Executive VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,095

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on March 30, 2017. On February 14, 2020, 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, 2017 through December 31, 2019 relative to the TSR of each of a peer group of companies.

Read SEC document
February 14, 2020 Filed Feb 18, 2020 14:26 UTC
YOUNG WILLIAM JOHNChief Operating Officer
Tax withholdingCommon Stock 1,004 $2.52 $2,530.08
Disclosure

SEC source: 0001529628-20-000012 · wf-form4_158203600103560.xml · nonDerivative · entry 2

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,200

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 March 30, 2017.

Read SEC document
February 14, 2020 Filed Feb 18, 2020 14:26 UTC
YOUNG WILLIAM JOHNChief Operating Officer
GrantCommon Stock 3,060 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000012 · wf-form4_158203600103560.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,204

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on March 30, 2017. On February 14, 2020, 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, 2017 through December 31, 2019 relative to the TSR of each of a peer group of companies.

Read SEC document
February 14, 2020 Filed Feb 18, 2020 14:17 UTC
WHELAN RONALD PSEE REMARKS
GrantCommon Stock 1,091 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000010 · wf-form4_158203543855239.xml · nonDerivative · entry 1

WHELAN RONALD P · CIK 0001687143 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,579

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on March 30, 2017. On February 14, 2020, 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, 2017 through December 31, 2019 relative to the TSR of each of a peer group of companies.

Read SEC document
February 14, 2020 Filed Feb 18, 2020 14:03 UTC
Beckelman Lee EChief Financial Officer
GrantCommon Stock 4,099 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000006 · wf-form4_158203457876984.xml · nonDerivative · entry 1

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,140

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on March 30, 2017. On February 14, 2020, 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, 2017 through December 31, 2019 relative to the TSR of each of a peer group of companies.

Read SEC document
February 14, 2020 Filed Mar 18, 2020 08:43 UTC Amendment
NEUMANN SUSAN ESEE REMARKS
Tax withholdingCommon Stock 292 $1.82 $531.44
Disclosure

SEC source: 0001529628-20-000036 · wf-form4a_158453541693685.xml · nonDerivative · entry 2

NEUMANN SUSAN E · CIK 0001687108 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,979

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 March 30, 2017.

F3 · price: The Form 4, as originally filed, incorrectly reported a price of $2.52 per share. The Form 4, as amended by this Form 4/A, currently reports the corrected price per share.

Read SEC document
February 14, 2020 Filed Mar 18, 2020 08:43 UTC Amendment
NEUMANN SUSAN ESEE REMARKS
GrantCommon Stock 888 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000036 · wf-form4a_158453541693685.xml · nonDerivative · entry 1

NEUMANN SUSAN E · CIK 0001687108 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,271

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on March 30, 2017. On February 14, 2020, 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, 2017 through December 31, 2019 relative to the TSR of each of a peer group of companies.

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February 14, 2020 Filed Mar 18, 2020 12:42 UTC Amendment
YOUNG WILLIAM JOHNChief Operating Officer
Tax withholdingCommon Stock 1,004 $1.82 $1,827.28
Disclosure

SEC source: 0001529628-20-000035 · wf-form4a_158453534122363.xml · nonDerivative · entry 2

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,200

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 March 30, 2017.

F3 · price: The Form 4, as originally filed, incorrectly reported a price of $2.52 per share. The Form 4, as amended by this Form 4/A, currently reports the corrected price per share.

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February 14, 2020 Filed Mar 18, 2020 12:42 UTC Amendment
YOUNG WILLIAM JOHNChief Operating Officer
GrantCommon Stock 3,060 $0.00 $0.00
Disclosure

SEC source: 0001529628-20-000035 · wf-form4a_158453534122363.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,204

F1 · shares: Reflects the number of shares earned in respect of TSR-based performance shares originally granted on March 30, 2017. On February 14, 2020, 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, 2017 through December 31, 2019 relative to the TSR of each of a peer group of companies.

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December 18, 2019 Filed Dec 20, 2019 18:03 UTC
YOUNG CHARLES EDWINDirector · CEO · 10% owner
KEYSTONE CRANBERRY, LLCDirector · 10% owner
GrantCommon Stock 208,333 $0.00 $0.00
Disclosure

SEC source: 0001529628-19-000114 · wf-form4_157686501096184.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: 475,734

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on December 18, 2019 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.

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December 18, 2019 Filed Dec 20, 2019 17:56 UTC
KISZKA ROBERTExecutive VP of Operations
GrantCommon Stock 79,365 $0.00 $0.00
Disclosure

SEC source: 0001529628-19-000109 · wf-form4_157686458347546.xml · nonDerivative · entry 1

KISZKA ROBERT · CIK 0001687112 · Executive VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,996

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on December 18, 2019 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.

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December 18, 2019 Filed Dec 20, 2019 17:59 UTC
YOUNG WILLIAM JOHNChief Operating Officer
GrantCommon Stock 119,047 $0.00 $0.00
Disclosure

SEC source: 0001529628-19-000111 · wf-form4_157686473459923.xml · nonDerivative · entry 1

YOUNG WILLIAM JOHN · CIK 0001687130 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,144

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on December 18, 2019 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.

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December 18, 2019 Filed Dec 20, 2019 17:57 UTC
WHELAN RONALD PSEE REMARKS
GrantCommon Stock 79,365 $0.00 $0.00
Disclosure

SEC source: 0001529628-19-000110 · wf-form4_157686465225317.xml · nonDerivative · entry 1

WHELAN RONALD P · CIK 0001687143 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,488

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on December 18, 2019 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.

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December 18, 2019 Filed Dec 20, 2019 18:02 UTC
Beckelman Lee EChief Financial Officer
GrantCommon Stock 119,047 $0.00 $0.00
Disclosure

SEC source: 0001529628-19-000113 · wf-form4_157686492203691.xml · nonDerivative · entry 1

Beckelman Lee E · CIK 0001315758 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,041

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on December 18, 2019 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.

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December 18, 2019 Filed Dec 20, 2019 14:58 UTC
Clearlake Capital Partners, LLCDirector · 10% owner
CCG Operations, LLCDirector · 10% owner
Eghbali BehdadDirector · 10% owner
GrantCommon Stock, par value $0.001 per share 71,430 $0.00 $0.00
Disclosure

SEC source: 0001529628-19-000118 · wf-form4_157687188356630.xml · nonDerivative · entry 1

Clearlake Capital Partners, LLC · CIK 0001409591 · Director · 10% owner

Clearlake Capital Partners II GP, L.P. · CIK 0001540841 · Director · 10% owner

CLEARLAKE CAPITAL PARTNERS II (MASTER), L.P. · CIK 0001539291 · Director · 10% owner

CCG Operations, LLC · CIK 0001409590 · Director · 10% owner

Eghbali Behdad · CIK 0001409564 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 10,920,445

F1 · shares: The shares are held of record by Colin Leonard and Jose E. Feliciano for the benefit of Clearlake Capital Partners II (Master), L.P. ("CCPII").

F2 · shares: Represents shares of restricted stock granted pursuant to the Issuer's 2016 Omnibus Incentive Plan, which vest on the first anniversary of December 18, 2019, the date of grant.

F3 · ownership.nature: The shares are owned of record as follows: (i) 10,849,015 shares by CCPII, (ii) 35,715 shares by Mr. Feliciano for the benefit of CCPII, and (iii) 35,715 shares by Mr. Leonard for the benefit of CCPII. CCPII's general partner is Clearlake Capital Partners II GP, L.P. ("CCPII GP"). CCPII GP's general partner is Clearlake Capital Partners, LLC ("CCP"). CCP's managing member is CCP MM, LLC ("CCP MM") and CCP MM's managing member is CCG Operations, LLC ("CCG Ops"). Mr. Feliciano and Behdad Eghbali are managers of CCG Ops. As a result, each of Mr. Feliciano, Mr. Eghbali, CCG Ops, CCP MM, CCPII GP and CCP may be deemed to share beneficial ownership of the reported shares.

F4 · ownership.nature: CCPII expressly disclaims beneficial ownership of the reported shares except to the extent of its pecuniary interest therein.

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December 18, 2019 Filed Dec 20, 2019 18:04 UTC
SPEAKER ANDREW RDirector · SEE REMARKS
GrantCommon Stock 35,715 $0.00 $0.00
Disclosure

SEC source: 0001529628-19-000115 · wf-form4_157686508042845.xml · nonDerivative · entry 1

SPEAKER ANDREW R · CIK 0001241268 · Director · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,152,982

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on December 18, 2019 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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December 18, 2019 Filed Dec 20, 2019 15:01 UTC
Feliciano Jose EnriqueDirector · 10% owner
GrantCommon Stock, par value $0.001 per share 35,715 $0.00 $0.00
Disclosure

SEC source: 0001529628-19-000119 · wf-form4_157687207662009.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,715

F2 · shares: Represents shares of restricted stock granted pursuant to the Issuer's 2016 Omnibus Incentive Plan, which vest on the first anniversary of December 18, 2019, the date of grant.

F5 · shares: The shares are held of record by Mr. Feliciano for the benefit of CCPII.

F4 · balance_after: Mr. Feliciano expressly disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.

F5 · balance_after: The shares are held of record by Mr. Feliciano for the benefit of CCPII.

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December 18, 2019 Filed Dec 20, 2019 15:01 UTC
Feliciano Jose EnriqueDirector · 10% owner
GrantCommon Stock, par value $0.001 per share 35,715 $0.00 $0.00
Disclosure

SEC source: 0001529628-19-000119 · wf-form4_157687207662009.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 10,884,730

F1 · shares: The shares are held of record by Colin Leonard for the benefit of Clearlake Capital Partners II (Master), L.P. ("CCPII"), of which Mr. Feliciano is co-manager of the ultimate managing member of the general partner.

F2 · shares: Represents shares of restricted stock granted pursuant to the Issuer's 2016 Omnibus Incentive Plan, which vest on the first anniversary of December 18, 2019, the date of grant.

F3 · ownership.nature: The shares are owned of record as follows: (i) 10,849,015 shares by CCPII and (ii) 35,715 shares by Mr. Leonard for the benefit of CCPII. CCPII's general partner is Clearlake Capital Partners II GP, L.P. ("CCPII GP"). CCPII GP's general partner is Clearlake Capital Partners, LLC ("CCP"). CCP's managing member is CCP MM, LLC ("CCP MM") and CCP MM's managing member is CCG Operations, LLC ("CCG Ops"). Mr. Feliciano and Behdad Eghbali are managers of CCG Ops. As a result, each of Mr. Feliciano, Mr. Eghbali, CCG Ops, CCP MM, CCPII GP and CCP may be deemed to share beneficial ownership of the reported shares.

F4 · ownership.nature: Mr. Feliciano expressly disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.

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December 18, 2019 Filed Dec 20, 2019 20:03 UTC GrantCommon Stock, par value $0.001 per share 35,715 $0.00 $0.00
Disclosure

SEC source: 0001529628-19-000120 · wf-form4_157687216357382.xml · nonDerivative · entry 1

Leonard Colin · CIK 0001539165 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,715

F1 · shares: The shares are held of record by Mr. Leonard for the benefit of Clearlake Capital Partners II (Master), L.P.

F2 · shares: Represents shares of restricted stock granted pursuant to the Issuer's 2016 Omnibus Incentive Plan, which vest on the first anniversary of December 18, 2019, the date of grant.

F3 · balance_after: Mr. Leonard expressly disclaims beneficial ownership of the reported shares.

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December 18, 2019 Filed Dec 20, 2019 18:07 UTC GrantCommon Stock 35,715 $0.00 $0.00
Disclosure

SEC source: 0001529628-19-000117 · wf-form4_157686525210426.xml · nonDerivative · entry 1

Pawlenty Timothy · CIK 0001536307 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,569

F1 · shares: Represents shares of Restricted Stock granted to the Reporting Person on December 18, 2019 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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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.