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Nasdaq · USD

SONO

Sonos Inc

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Tapewire entity
1773
SEC CIK
0001314727
Parsed reports
419

Last 12 months

Inside the activity.

17 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202501
Jan 202600
Feb 202690
Mar 202660
Apr 202600
May 202610
Jun 202600
Jul 202602
Aug 202600
Sep 202603
Oct 202600

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 15, 2019 Filed Oct 1, 2019 20:35 UTC
Spence PatrickDirector · Chief Executive Officer
Tax withholdingCommon Stock 9,886 $10.59 $104,692.74
Disclosure

SEC source: 0001562180-19-004991 · primarydocument.xml · nonDerivative · entry 3

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,216

F1 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the restricted stock units ("RSUs") to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
August 15, 2019 Filed Oct 1, 2019 20:35 UTC
Spence PatrickDirector · Chief Executive Officer
Exercise / conversionCommon Stock 23,628 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-004991 · primarydocument.xml · nonDerivative · entry 2

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,102

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

F3 · kind: Vesting of RSUs granted to the Reporting Person on February 15, 2019.

F4 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
August 15, 2019 Filed Oct 1, 2019 20:35 UTC
Siegel Matthew O.Chief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 16,839 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-004993 · primarydocument.xml · derivative · entry 4

Siegel Matthew O. · CIK 0001744461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,744

Underlying: Common Stock · 16,839 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F3 · kind: Vesting of RSUs granted to the Reporting Person on February 15, 2019.

F5 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2018, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

F5 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2018, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

Read SEC document
August 15, 2019 Filed Oct 1, 2019 20:35 UTC
Siegel Matthew O.Chief Commercial Officer
Tax withholdingCommon Stock 5,823 $10.59 $61,665.57
Disclosure

SEC source: 0001562180-19-004993 · primarydocument.xml · nonDerivative · entry 3

Siegel Matthew O. · CIK 0001744461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,076

F1 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the restricted stock units ("RSUs") to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
August 15, 2019 Filed Oct 1, 2019 20:35 UTC
Siegel Matthew O.Chief Commercial Officer
Exercise / conversionCommon Stock 16,839 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-004993 · primarydocument.xml · nonDerivative · entry 2

Siegel Matthew O. · CIK 0001744461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,899

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

F3 · kind: Vesting of RSUs granted to the Reporting Person on February 15, 2019.

F4 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
August 15, 2019 Filed Oct 1, 2019 20:34 UTC
Millington NicholasChief Product Officer
Exercise / conversionRestricted Stock Units · Derivative 17,382 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-004989 · primarydocument.xml · derivative · entry 7

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,348

Underlying: Common Stock · 17,382 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F3 · kind: Vesting of RSUs granted to the Reporting Person on February 15, 2019.

F8 · derivative.exercise_date: 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary of the initial vesting date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F8 · derivative.expiration_date: 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary of the initial vesting date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
August 15, 2019 Filed Oct 1, 2019 20:34 UTC
Millington NicholasChief Product Officer
Tax withholdingCommon Stock 6,011 $11.91 $71,591.01
Disclosure

SEC source: 0001562180-19-004989 · primarydocument.xml · nonDerivative · entry 4

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,480

F1 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the restricted stock units ("RSUs") to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
August 15, 2019 Filed Oct 1, 2019 20:34 UTC
Millington NicholasChief Product Officer
Exercise / conversionCommon Stock 17,382 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-004989 · primarydocument.xml · nonDerivative · entry 3

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,491

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

F3 · kind: Vesting of RSUs granted to the Reporting Person on February 15, 2019.

F4 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
August 09, 2019 Filed Aug 13, 2019 20:33 UTC
Millington NicholasChief Product Officer
SaleCommon Stock 8,107 $11.47 $92,950.00
Disclosure

SEC source: 0001562180-19-004252 · primarydocument.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,493

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $11.45 to $11.485 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 18:39 UTC
Millington NicholasChief Product Officer
SaleCommon Stock 16,893 $11.48 $193,938.40
Disclosure

SEC source: 0001562180-19-003856 · primarydocument.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,600

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $11.45 to $11.58 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

Read SEC document
May 16, 2019 Filed May 20, 2019 20:05 UTC SaleCommon Stock 517,992 $10.51 $5,446,271.49
Disclosure

SEC source: 0000899243-19-014128 · doc4.xml · nonDerivative · entry 1

Volpi Michelangelo · CIK 0001626464 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

F1 · kind: Represents shares sold by Index Venture Growth Associates I Limited ("IVGA I"), the general partner of Index Ventures Growth I (Jersey) L.P. ("Index I"). The shares were received by IVGA I in a previously reported distribution-in-kind made by Index I in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.50 - $10.8093. 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 sold at each separate price within the range set forth in this footnote.

F1 · ownership.nature: Represents shares sold by Index Venture Growth Associates I Limited ("IVGA I"), the general partner of Index Ventures Growth I (Jersey) L.P. ("Index I"). The shares were received by IVGA I in a previously reported distribution-in-kind made by Index I in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F3 · ownership.nature: Michelangelo Volpi, a member of the Issuer's Board of Directors, is a partner with the Index Ventures group. Advisors within the Index Ventures group provide advice to Index I, Index Ventures Growth I Parallel Entrepreneur Fund (Jersey), L.P. ("Index I Parallel") and Yucca (Jersey) SLP ("Yucca" and, together with Index I and Index I Parallel, the "Index Funds"). IVGA I is the general partner of Index I and Index I Parallel. Yucca is a co-investment vehicle that is contractually required to mirror the investment of Index I and Index I Parallel. Mr. Volpi is involved in making recommendations to the Index Funds, but does not hold voting or dispositive power over the shares held by the Index Funds. Mr. Volpi disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

Read SEC document
May 15, 2019 Filed May 17, 2019 16:12 UTC
Fraser AnnaChief People Officer
Exercise / conversionRestricted Stock Units · Derivative 11,678 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-002955 · primarydocument.xml · derivative · entry 3

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,178

Underlying: Common Stock · 11,678 shares

Expires 2029-02-14

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F3 · derivative.exercise_date: 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary of the initial vesting date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
May 15, 2019 Filed May 17, 2019 16:12 UTC
Fraser AnnaChief People Officer
Tax withholdingCommon Stock 3,841 $10.59 $40,676.19
Disclosure

SEC source: 0001562180-19-002955 · primarydocument.xml · nonDerivative · entry 2

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,837

F2 · kind: Represents the number of shares withheld upon the vesting of RSUs to cover tax withholding obligations, based on the closing price of the Issuer's Common Stock on May 14, 2019.

Read SEC document
May 15, 2019 Filed May 17, 2019 16:12 UTC
Fraser AnnaChief People Officer
Exercise / conversionCommon Stock 11,678 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002955 · primarydocument.xml · nonDerivative · entry 1

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,678

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

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 16:13 UTC
Maeda JohnDirector
GrantCommon Stock 6,859 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002962 · primarydocument.xml · nonDerivative · entry 2

Maeda John · CIK 0001743480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,425

F1 · shares: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on May 15, 2019.

F4 · shares: 100% of the RSUs were fully vested on the date of grant.

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 16:13 UTC
Maeda JohnDirector
GrantCommon Stock 15,864 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002962 · primarydocument.xml · nonDerivative · entry 1

Maeda John · CIK 0001743480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,566

F1 · shares: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on May 15, 2019.

F2 · shares: 1/4th of the RSUs were fully vested on the date of grant, and the remainder will vest in three equal installments on each subsequent quarterly anniversary date of the date of grant, subject to the continuing service of the Reporting Person on each vesting date. The RSUs will vest in full upon the closing of a Corporate Transaction (as defined in the Issuer's 2018 Equity Incentive Plan).

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:12 UTC
Bagley BrittanyChief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 500,000 $0.00 Strike: $10.59 $0.00
Disclosure

SEC source: 0001562180-19-002954 · primarydocument.xml · derivative · entry 2

Bagley Brittany · CIK 0001743490 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2029-05-14

F3 · derivative.exercise_date: The stock option will vest as to 1/4 of the total number of shares subject to the stock option on May 15, 2020, and thereafter will vest as to 1/16 of the total number of shares subject to the stock option in equal quarterly installments beginning on August 15, 2020, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The stock option is subject to double-trigger acceleration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:12 UTC
Bagley BrittanyChief Financial Officer
GrantRestricted Stock Units · Derivative 543,901 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-002954 · primarydocument.xml · derivative · entry 1

Bagley Brittany · CIK 0001743490 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 543,901

Underlying: Common Stock · 543,901 shares

Expires 2029-05-14

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F2 · derivative.exercise_date: 1/4 of the RSUs will vest on May 15, 2020, and 1/16 of the RSUs will vest on each quarterly anniversary thereafter beginning on August 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:12 UTC
Lazarus Edward PChief Legal Officer & Secty.
Exercise / conversionRestricted Stock Units · Derivative 3,259 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-002956 · primarydocument.xml · derivative · entry 3

Lazarus Edward P · CIK 0001610766 · Chief Legal Officer & Secty.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,887

Underlying: Common Stock · 3,259 shares

Expires 2029-02-14

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F3 · derivative.exercise_date: 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary of the initial vesting date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F3 · derivative.expiration_date: 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary of the initial vesting date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:12 UTC
Lazarus Edward PChief Legal Officer & Secty.
Tax withholdingCommon Stock 1,051 $10.59 $11,130.09
Disclosure

SEC source: 0001562180-19-002956 · primarydocument.xml · nonDerivative · entry 2

Lazarus Edward P · CIK 0001610766 · Chief Legal Officer & Secty.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,208

F2 · kind: Represents the number of shares withheld upon the vesting of RSUs to cover tax withholding obligations, based on the closing price of the Issuer's Common Stock on May 14, 2019.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:12 UTC
Lazarus Edward PChief Legal Officer & Secty.
Exercise / conversionCommon Stock 3,259 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002956 · primarydocument.xml · nonDerivative · entry 1

Lazarus Edward P · CIK 0001610766 · Chief Legal Officer & Secty.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,259

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

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:13 UTC GrantCommon Stock 3,966 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002965 · primarydocument.xml · nonDerivative · entry 2

GENACHOWSKI JULIUS · CIK 0001184231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,830

F1 · shares: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on May 15, 2019.

F4 · shares: 100% of the RSUs were fully vested on the date of grant.

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:13 UTC GrantCommon Stock 15,864 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002965 · primarydocument.xml · nonDerivative · entry 1

GENACHOWSKI JULIUS · CIK 0001184231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,864

F1 · shares: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on May 15, 2019.

F2 · shares: 1/4th of the RSUs were fully vested on the date of grant, and the remainder will vest in three equal installments on each subsequent quarterly anniversary date of the date of grant, subject to the continuing service of the Reporting Person on each vesting date. The RSUs will vest in full upon the closing of a Corporate Transaction (as defined in the Issuer's 2018 Equity Incentive Plan).

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:13 UTC GrantCommon Stock 6,859 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002961 · primarydocument.xml · nonDerivative · entry 2

BACH ROBERT J · CIK 0001193099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,257

F1 · shares: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on May 15, 2019.

F4 · shares: 100% of the RSUs were fully vested on the date of grant.

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:13 UTC GrantCommon Stock 15,864 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002961 · primarydocument.xml · nonDerivative · entry 1

BACH ROBERT J · CIK 0001193099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,398

F1 · shares: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on May 15, 2019.

F2 · shares: 1/4th of the RSUs were fully vested on the date of grant, and the remainder will vest in three equal installments on each subsequent quarterly anniversary date of the date of grant, subject to the continuing service of the Reporting Person on each vesting date. The RSUs will vest in full upon the closing of a Corporate Transaction (as defined in the Issuer's 2018 Equity Incentive Plan).

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:13 UTC GrantCommon Stock 3,966 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002964 · primarydocument.xml · nonDerivative · entry 2

Conrad Thomas · CIK 0001522484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,830

F1 · shares: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on May 15, 2019.

F4 · shares: 100% of the RSUs were fully vested on the date of grant.

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:13 UTC GrantCommon Stock 15,864 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002964 · primarydocument.xml · nonDerivative · entry 1

Conrad Thomas · CIK 0001522484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,864

F1 · shares: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on May 15, 2019.

F2 · shares: 1/4th of the RSUs were fully vested on the date of grant, and the remainder will vest in three equal installments on each subsequent quarterly anniversary date of the date of grant, subject to the continuing service of the Reporting Person on each vesting date. The RSUs will vest in full upon the closing of a Corporate Transaction (as defined in the Issuer's 2018 Equity Incentive Plan).

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:13 UTC
Boone KarenDirector
GrantCommon Stock 3,966 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002963 · primarydocument.xml · nonDerivative · entry 2

Boone Karen · CIK 0001561290 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,830

F1 · shares: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on May 15, 2019.

F4 · shares: 100% of the RSUs were fully vested on the date of grant.

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:13 UTC
Boone KarenDirector
GrantCommon Stock 15,864 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002963 · primarydocument.xml · nonDerivative · entry 1

Boone Karen · CIK 0001561290 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,864

F1 · shares: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on May 15, 2019.

F2 · shares: 1/4th of the RSUs were fully vested on the date of grant, and the remainder will vest in three equal installments on each subsequent quarterly anniversary date of the date of grant, subject to the continuing service of the Reporting Person on each vesting date. The RSUs will vest in full upon the closing of a Corporate Transaction (as defined in the Issuer's 2018 Equity Incentive Plan).

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:13 UTC
Spence PatrickDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 23,628 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-002960 · primarydocument.xml · derivative · entry 3

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,789

Underlying: Common Stock · 23,628 shares

Expires 2028-11-18

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F3 · derivative.exercise_date: 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary of the initial vesting date of November 15, 2018, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

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May 15, 2019 Filed May 17, 2019 20:13 UTC
Spence PatrickDirector · Chief Executive Officer
Tax withholdingCommon Stock 7,616 $10.59 $80,653.44
Disclosure

SEC source: 0001562180-19-002960 · primarydocument.xml · nonDerivative · entry 2

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,029

F2 · kind: Represents the number of shares withheld upon the vesting of RSUs to cover tax withholding obligations, based on the closing price of the Issuer's Common Stock on May 14, 2019.

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May 15, 2019 Filed May 17, 2019 20:13 UTC
Spence PatrickDirector · Chief Executive Officer
Exercise / conversionCommon Stock 23,628 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002960 · primarydocument.xml · nonDerivative · entry 1

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,645

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

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:12 UTC
Siegel Matthew O.Chief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 16,838 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-002958 · primarydocument.xml · derivative · entry 3

Siegel Matthew O. · CIK 0001744461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,583

Underlying: Common Stock · 16,838 shares

Expires 2029-02-14

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F3 · derivative.exercise_date: 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary of the initial vesting date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

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May 15, 2019 Filed May 17, 2019 20:12 UTC
Siegel Matthew O.Chief Commercial Officer
Tax withholdingCommon Stock 5,427 $10.59 $57,471.93
Disclosure

SEC source: 0001562180-19-002958 · primarydocument.xml · nonDerivative · entry 2

Siegel Matthew O. · CIK 0001744461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,411

F2 · kind: Represents the number of shares withheld upon the vesting of RSUs to cover tax withholding obligations, based on the closing price of the Issuer's Common Stock on May 14, 2019.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:12 UTC
Siegel Matthew O.Chief Commercial Officer
Exercise / conversionCommon Stock 16,838 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002958 · primarydocument.xml · nonDerivative · entry 1

Siegel Matthew O. · CIK 0001744461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,838

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

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:12 UTC
Millington NicholasChief Product Officer
Exercise / conversionRestricted Stock Units · Derivative 17,382 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-002957 · primarydocument.xml · derivative · entry 3

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,730

Underlying: Common Stock · 17,382 shares

Expires 2029-02-14

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F3 · derivative.exercise_date: 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary of the initial vesting date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:12 UTC
Millington NicholasChief Product Officer
Tax withholdingCommon Stock 5,603 $10.59 $59,335.77
Disclosure

SEC source: 0001562180-19-002957 · primarydocument.xml · nonDerivative · entry 2

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,493

F2 · kind: Represents the number of shares withheld upon the vesting of RSUs to cover tax withholding obligations, based on the closing price of the Issuer's Common Stock on May 14, 2019.

Read SEC document
May 15, 2019 Filed May 17, 2019 20:12 UTC
Millington NicholasChief Product Officer
Exercise / conversionCommon Stock 17,382 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-19-002957 · primarydocument.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,096

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

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 15, 2019 Filed Oct 1, 2019 16:36 UTC
Fraser AnnaChief People Officer
Tax withholdingCommon Stock 206 $10.59 $2,181.54
Disclosure

SEC source: 0001562180-19-005001 · primarydocument.xml · nonDerivative · entry 1

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,631

F1 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the restricted stock units ("RSUs") to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

F2 · shares: As the result of an administrative error, the number of shares that were withheld on May 15, 2019 to cover taxes due upon the release and settlement of the RSUs was under-reported in the Form 4 that was filed by the Reporting Person with the U.S. Securities and Exchange Commission on May 17, 2019. This amendment corrects such error.

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May 15, 2019 Filed Oct 1, 2019 20:36 UTC
Lazarus Edward PChief Legal Officer & Secty.
Tax withholdingCommon Stock 75 $10.59 $794.25
Disclosure

SEC source: 0001562180-19-004997 · primarydocument.xml · nonDerivative · entry 1

Lazarus Edward P · CIK 0001610766 · Chief Legal Officer & Secty.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,133

F1 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the restricted stock units ("RSUs") to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

F2 · shares: Due to an administrative error, the number of shares that were withheld on May 15, 2019 to cover taxes due upon the release and settlement of the RSUs was under-reported in the Form 4 that was filed by the Reporting Person with the U.S. Securities and Exchange Commission on May 17, 2019. This amendment corrects such error.

Read SEC document
May 15, 2019 Filed Oct 1, 2019 20:35 UTC
Spence PatrickDirector · Chief Executive Officer
Tax withholdingCommon Stock 555 $10.59 $5,877.45
Disclosure

SEC source: 0001562180-19-004991 · primarydocument.xml · nonDerivative · entry 1

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,474

F1 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the restricted stock units ("RSUs") to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

F2 · shares: Due to an administrative error, the number of shares that were withheld on May 15, 2019 to cover taxes due upon the release and settlement of the RSUs was under-reported in the Form 4 that was filed by the Reporting Person with the U.S. Securities and Exchange Commission on May 17, 2019. This number reflects the additional shares that were withheld.

Read SEC document
May 15, 2019 Filed Oct 1, 2019 20:35 UTC
Siegel Matthew O.Chief Commercial Officer
Tax withholdingCommon Stock 351 $10.59 $3,717.09
Disclosure

SEC source: 0001562180-19-004993 · primarydocument.xml · nonDerivative · entry 1

Siegel Matthew O. · CIK 0001744461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,060

F1 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the restricted stock units ("RSUs") to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

F2 · shares: Due to an administrative error, the number of shares that were withheld on May 15, 2019 to cover taxes due upon the release and settlement of the RSUs was under-reported in the Form 4 that was filed by the Reporting Person with the U.S. Securities and Exchange Commission on May 17, 2019. This amendment corrects such error.

Read SEC document
May 15, 2019 Filed Oct 1, 2019 20:34 UTC
Millington NicholasChief Product Officer
Tax withholdingCommon Stock 384 $10.59 $4,066.56
Disclosure

SEC source: 0001562180-19-004989 · primarydocument.xml · nonDerivative · entry 2

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,109

F1 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the restricted stock units ("RSUs") to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

F2 · shares: Due to an administrative error, the number of shares that were withheld on May 15, 2019 to cover taxes due upon the release and settlement of the RSUs was under-reported in the Form 4 that was filed by the Reporting Person with the U.S. Securities and Exchange Commission on May 17, 2019. This number reflects the additional shares that were withheld.

Read SEC document
April 12, 2019 Filed Apr 16, 2019 17:28 UTC
Millington NicholasChief Product Officer
SaleCommon Stock 25,000 $11.95 $298,792.50
Disclosure

SEC source: 0001562180-19-002286 · primarydocument.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,714

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $11.95 to $11.98 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

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April 11, 2019 Filed Apr 15, 2019 16:39 UTC
GIANNETTO MICHAELChief Financial Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 27,180 $0.00 Strike: $1.93 $0.00
Disclosure

SEC source: 0001562180-19-002282 · primarydocument.xml · derivative · entry 5

GIANNETTO MICHAEL · CIK 0001229872 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,486

Underlying: Common Stock · 27,180 shares

Expires 2022-02-02

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

F4 · derivative.exercise_date: The stock option is fully vested and immediately exercisable.

Read SEC document
April 11, 2019 Filed Apr 15, 2019 16:39 UTC
GIANNETTO MICHAELChief Financial Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 2,820 $0.00 Strike: $5.00 $0.00
Disclosure

SEC source: 0001562180-19-002282 · primarydocument.xml · derivative · entry 4

GIANNETTO MICHAEL · CIK 0001229872 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,410

Underlying: Common Stock · 2,820 shares

Expires 2023-06-30

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

F4 · derivative.exercise_date: The stock option is fully vested and immediately exercisable.

Read SEC document
April 11, 2019 Filed Apr 15, 2019 16:39 UTC
GIANNETTO MICHAELChief Financial Officer
SaleCommon Stock 30,000 $11.67 $349,968.00
Disclosure

SEC source: 0001562180-19-002282 · primarydocument.xml · nonDerivative · entry 3

GIANNETTO MICHAEL · CIK 0001229872 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Represents the aggregate of sales effected on the same day at different prices.

F2 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $11.565 to $11.74 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

Read SEC document
April 11, 2019 Filed Apr 15, 2019 16:39 UTC
GIANNETTO MICHAELChief Financial Officer
Exercise / conversionCommon Stock 27,180 $1.93 $52,321.50
Disclosure

SEC source: 0001562180-19-002282 · primarydocument.xml · nonDerivative · entry 2

GIANNETTO MICHAEL · CIK 0001229872 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

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

Read SEC document
April 11, 2019 Filed Apr 15, 2019 16:39 UTC
GIANNETTO MICHAELChief Financial Officer
Exercise / conversionCommon Stock 2,820 $5.00 $14,100.00
Disclosure

SEC source: 0001562180-19-002282 · primarydocument.xml · nonDerivative · entry 1

GIANNETTO MICHAEL · CIK 0001229872 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,820

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

Read SEC document
March 11, 2019 Filed Mar 13, 2019 17:45 UTC
GIANNETTO MICHAELChief Financial Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 30,000 $0.00 Strike: $5.00 $0.00
Disclosure

SEC source: 0001567619-19-006792 · doc1.xml · derivative · entry 4

GIANNETTO MICHAEL · CIK 0001229872 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,230

Underlying: Common Stock · 30,000 shares

Expires 2023-06-30

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

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F4 · derivative.exercise_date: The stock option is fully vested and immediately exercisable.

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.