Tapewire

Nasdaq · USD

SPOK

Spok Holdings, Inc

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Tapewire entity
6239
SEC CIK
0001289945
Parsed reports
568

Last 12 months

Inside the activity.

5 purchase rows · 3 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202621
Jun 202630
Jul 202600
Aug 202602
Sep 202600
Oct 202600

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
July 01, 2021 Filed Jul 2, 2021 20:06 UTC GrantDeferred Stock Unit · Derivative 254 $9.62 $2,443.48
Disclosure

SEC source: 0001209191-21-044887 · doc4.xml · derivative · entry 2

OREILLY BRIAN · CIK 0001263733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,722

Underlying: Deferred Stock Unit · 254 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:06 UTC GrantCommon Stock 1,559 $9.62 $14,997.58
Disclosure

SEC source: 0001209191-21-044887 · doc4.xml · nonDerivative · entry 1

OREILLY BRIAN · CIK 0001263733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,172

Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:08 UTC
Stein Todd JDirector
GrantCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-044903 · doc4.xml · nonDerivative · entry 5

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Braeside Investments, LLC

Disclosed balance after: 15,108

F4 · shares: Shares beneficially owned directly by a proprietary account under Braeside Investments, LLC. Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital, L.P. and Braeside Capital II, L.P. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Investments. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F4 · price: Shares beneficially owned directly by a proprietary account under Braeside Investments, LLC. Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital, L.P. and Braeside Capital II, L.P. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Investments. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F4 · ownership.nature: Shares beneficially owned directly by a proprietary account under Braeside Investments, LLC. Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital, L.P. and Braeside Capital II, L.P. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Investments. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:08 UTC
Stein Todd JDirector
GrantCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-044903 · doc4.xml · nonDerivative · entry 4

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Braeside Capital II, L.P.

Disclosed balance after: 553,390

F3 · shares: Shares beneficially owned directly by Braeside Capital II, L.P. ("Braeside Capital II"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital II. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital II. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F3 · price: Shares beneficially owned directly by Braeside Capital II, L.P. ("Braeside Capital II"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital II. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital II. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F3 · ownership.nature: Shares beneficially owned directly by Braeside Capital II, L.P. ("Braeside Capital II"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital II. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital II. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:08 UTC
Stein Todd JDirector
GrantCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-044903 · doc4.xml · nonDerivative · entry 3

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Braeside Capital, L.P.

Disclosed balance after: 511,629

F2 · shares: Shares beneficially owned directly by Braeside Capital, L.P. ("Braeside Capital"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F2 · price: Shares beneficially owned directly by Braeside Capital, L.P. ("Braeside Capital"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: Shares beneficially owned directly by Braeside Capital, L.P. ("Braeside Capital"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:08 UTC
Stein Todd JDirector
GrantCommon Stock 1,169 $9.62 $11,245.78
Disclosure

SEC source: 0001209191-21-044903 · doc4.xml · nonDerivative · entry 2

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,010

F1 · shares: The common stock represents the election to receive common stock in lieu of cash for the Director's quarterly fee.

Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:08 UTC
Stein Todd JDirector
GrantCommon Stock 1,559 $9.62 $14,997.58
Disclosure

SEC source: 0001209191-21-044903 · doc4.xml · nonDerivative · entry 1

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,841

Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:05 UTC GrantDeferred Stock Unit · Derivative 1,169 $9.62 $11,245.78
Disclosure

SEC source: 0001209191-21-044879 · doc4.xml · derivative · entry 2

Hylton Stacia · CIK 0001650242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,251

Underlying: Deferred Stock Unit · 1,169 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:05 UTC GrantCommon Stock 1,559 $9.62 $14,997.58
Disclosure

SEC source: 0001209191-21-044879 · doc4.xml · nonDerivative · entry 1

Hylton Stacia · CIK 0001650242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,640

Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:03 UTC GrantDeferred Stock Unit · Derivative 1,169 $9.62 $11,245.78
Disclosure

SEC source: 0001209191-21-044870 · doc4.xml · derivative · entry 2

Byrne Barbara Peterson · CIK 0001800447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,637

Underlying: Deferred Stock Unit · 1,169 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:03 UTC GrantCommon Stock 1,559 $9.62 $14,997.58
Disclosure

SEC source: 0001209191-21-044870 · doc4.xml · nonDerivative · entry 1

Byrne Barbara Peterson · CIK 0001800447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,621

Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:02 UTC GrantDeferred Stock Unit · Derivative 1,169 $9.62 $11,245.78
Disclosure

SEC source: 0001209191-21-044865 · doc4.xml · derivative · entry 2

Butterfield Nathaniel Blair · CIK 0001582403 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · N. Blair Butterfield, Trustee of the Butterfield Joint Revocable Trust

Disclosed balance after: 5,637

Underlying: Deferred Stock Unit · 1,169 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:02 UTC GrantCommon Stock 1,559 $9.62 $14,997.58
Disclosure

SEC source: 0001209191-21-044865 · doc4.xml · nonDerivative · entry 1

Butterfield Nathaniel Blair · CIK 0001582403 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · N. Blair Butterfield, Trustee of the Butterfield Joint Revocable Trust

Disclosed balance after: 33,445

Read SEC document
April 02, 2021 Filed Apr 2, 2021 20:16 UTC Tax withholdingCommon Stock 210 $10.68 $2,242.80
Disclosure

SEC source: 0001209191-21-024572 · doc4.xml · nonDerivative · entry 2

WALLACE MICHAEL W · CIK 0001070123 · COO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,660

Read SEC document
April 02, 2021 Filed Apr 2, 2021 20:16 UTC GrantCommon Stock 466 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-024572 · doc4.xml · nonDerivative · entry 1

WALLACE MICHAEL W · CIK 0001070123 · COO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,870

F1 · shares: Represents an award of fully vested common stock issued in lieu of a portion of Mr. Wallace's annual base salary.

Read SEC document
April 02, 2021 Filed Apr 2, 2021 20:15 UTC
Rice CalvinChief Accounting Officer
Tax withholdingCommon Stock 63 $10.68 $672.84
Disclosure

SEC source: 0001209191-21-024569 · doc4.xml · nonDerivative · entry 2

Rice Calvin · CIK 0001757839 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,178

Read SEC document
April 02, 2021 Filed Apr 2, 2021 20:15 UTC
Rice CalvinChief Accounting Officer
GrantCommon Stock 233 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-024569 · doc4.xml · nonDerivative · entry 1

Rice Calvin · CIK 0001757839 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,241

F1 · shares: Represents an award of fully vested common stock issued in lieu of a portion of Mr. Rice's annual base salary.

Read SEC document
April 02, 2021 Filed Apr 2, 2021 20:18 UTC
Woods-Keisling SharonCorporate Secretary, Treasurer
Tax withholdingCommon Stock 62 $10.68 $662.16
Disclosure

SEC source: 0001209191-21-024577 · doc4.xml · nonDerivative · entry 2

Woods-Keisling Sharon · CIK 0001447706 · Corporate Secretary, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,664

Read SEC document
April 02, 2021 Filed Apr 2, 2021 20:18 UTC
Woods-Keisling SharonCorporate Secretary, Treasurer
GrantCommon Stock 204 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-024577 · doc4.xml · nonDerivative · entry 1

Woods-Keisling Sharon · CIK 0001447706 · Corporate Secretary, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,726

F1 · shares: Represents an award of fully vested common stock issued in lieu of a portion of Ms. Woods' annual base salary.

Read SEC document
April 02, 2021 Filed Apr 2, 2021 20:14 UTC
KELLY VINCENT DDirector · President & CEO
Tax withholdingCommon Stock 316 $10.68 $3,374.88
Disclosure

SEC source: 0001209191-21-024565 · doc4.xml · nonDerivative · entry 2

KELLY VINCENT D · CIK 0001253133 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Vincent DePaul Kelly, Trustee of the Vincent DePaul Kelly Third Amended and Restated Revocable Trust

Disclosed balance after: 220,642

Read SEC document
April 02, 2021 Filed Apr 2, 2021 20:14 UTC
KELLY VINCENT DDirector · President & CEO
GrantCommon Stock 700 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-024565 · doc4.xml · nonDerivative · entry 1

KELLY VINCENT D · CIK 0001253133 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Vincent DePaul Kelly, Trustee of the Vincent DePaul Kelly Third Amended and Restated Revocable Trust

Disclosed balance after: 220,958

F1 · shares: Represents an award of fully vested common stock issued in lieu of a portion of Mr. Kelly's annual base salary.

Read SEC document
April 01, 2021 Filed Apr 2, 2021 16:11 UTC GrantDeferred Stock Unit · Derivative 1,311 $10.49 $13,752.39
Disclosure

SEC source: 0001209191-21-024547 · doc4.xml · derivative · entry 2

ORISTANO MATTHEW · CIK 0000938257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,463

Underlying: Deferred Stock Unit · 1,311 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
April 01, 2021 Filed Apr 2, 2021 16:11 UTC GrantCommon Stock 1,668 $10.49 $17,497.32
Disclosure

SEC source: 0001209191-21-024547 · doc4.xml · nonDerivative · entry 1

ORISTANO MATTHEW · CIK 0000938257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,917

Read SEC document
April 01, 2021 Filed Apr 2, 2021 20:12 UTC GrantCommon Stock 1,072 $10.49 $11,245.28
Disclosure

SEC source: 0001209191-21-024555 · doc4.xml · nonDerivative · entry 2

SHOCKLEY BRETT A · CIK 0001108720 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,052

F1 · shares: The common stock represents the election to receive common stock in lieu of cash for the Director's fee.

Read SEC document
April 01, 2021 Filed Apr 2, 2021 20:12 UTC GrantCommon Stock 1,430 $10.49 $15,000.70
Disclosure

SEC source: 0001209191-21-024555 · doc4.xml · nonDerivative · entry 1

SHOCKLEY BRETT A · CIK 0001108720 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,980

Read SEC document
April 01, 2021 Filed Apr 2, 2021 20:06 UTC GrantDeferred Stock Unit · Derivative 1,072 $10.49 $11,245.28
Disclosure

SEC source: 0001209191-21-024531 · doc4.xml · derivative · entry 2

COURNOYER CHRISTINE · CIK 0001180466 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,468

Underlying: Deferred Stock Unit · 1,072 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
April 01, 2021 Filed Apr 2, 2021 20:06 UTC GrantCommon Stock 1,430 $10.49 $15,000.70
Disclosure

SEC source: 0001209191-21-024531 · doc4.xml · nonDerivative · entry 1

COURNOYER CHRISTINE · CIK 0001180466 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,295

Read SEC document
April 01, 2021 Filed Apr 2, 2021 21:12 UTC GrantDeferred Stock Unit · Derivative 1,072 $10.49 $11,245.28
Disclosure

SEC source: 0001209191-21-024689 · doc4.xml · derivative · entry 2

OREILLY BRIAN · CIK 0001263733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,468

Underlying: Deferred Stock Unit · 1,072 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
April 01, 2021 Filed Apr 2, 2021 21:12 UTC GrantCommon Stock 1,430 $10.49 $15,000.70
Disclosure

SEC source: 0001209191-21-024689 · doc4.xml · nonDerivative · entry 1

OREILLY BRIAN · CIK 0001263733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,613

Read SEC document
April 01, 2021 Filed Apr 2, 2021 21:00 UTC
Stein Todd JDirector
GrantCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-024665 · doc4.xml · nonDerivative · entry 5

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Braeside Investments, LLC

Disclosed balance after: 15,108

F4 · shares: Shares beneficially owned directly by a proprietary account under Braeside Investments, LLC. Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital, L.P. and Braeside Capital II, L.P. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Investments. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F4 · price: Shares beneficially owned directly by a proprietary account under Braeside Investments, LLC. Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital, L.P. and Braeside Capital II, L.P. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Investments. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F4 · ownership.nature: Shares beneficially owned directly by a proprietary account under Braeside Investments, LLC. Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital, L.P. and Braeside Capital II, L.P. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Investments. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Read SEC document
April 01, 2021 Filed Apr 2, 2021 21:00 UTC
Stein Todd JDirector
GrantCommon Stock 1,072 $10.49 $11,245.28
Disclosure

SEC source: 0001209191-21-024665 · doc4.xml · nonDerivative · entry 4

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,282

F3 · shares: The common stock represents the election to receive common stock in lieu of cash for the Director's quarterly fee.

Read SEC document
April 01, 2021 Filed Apr 2, 2021 21:00 UTC
Stein Todd JDirector
GrantCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-024665 · doc4.xml · nonDerivative · entry 3

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Braeside Capital II, L.P.

Disclosed balance after: 553,390

F2 · shares: Shares beneficially owned directly by Braeside Capital II, L.P. ("Braeside Capital II"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital II. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital II. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F2 · price: Shares beneficially owned directly by Braeside Capital II, L.P. ("Braeside Capital II"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital II. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital II. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: Shares beneficially owned directly by Braeside Capital II, L.P. ("Braeside Capital II"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital II. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital II. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Read SEC document
April 01, 2021 Filed Apr 2, 2021 21:00 UTC
Stein Todd JDirector
GrantCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-024665 · doc4.xml · nonDerivative · entry 2

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Braeside Capital, L.P.

Disclosed balance after: 511,629

F1 · shares: Shares beneficially owned directly by Braeside Capital, L.P. ("Braeside Capital"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F1 · price: Shares beneficially owned directly by Braeside Capital, L.P. ("Braeside Capital"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F1 · ownership.nature: Shares beneficially owned directly by Braeside Capital, L.P. ("Braeside Capital"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Read SEC document
April 01, 2021 Filed Apr 2, 2021 21:00 UTC
Stein Todd JDirector
GrantCommon Stock 1,430 $10.49 $15,000.70
Disclosure

SEC source: 0001209191-21-024665 · doc4.xml · nonDerivative · entry 1

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,210

Read SEC document
April 01, 2021 Filed Apr 2, 2021 20:13 UTC GrantDeferred Stock Unit · Derivative 1,072 $10.49 $11,245.28
Disclosure

SEC source: 0001209191-21-024560 · doc4.xml · derivative · entry 2

YUDKOFF ROYCE · CIK 0001263584 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,468

Underlying: Deferred Stock Unit · 1,072 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

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April 01, 2021 Filed Apr 2, 2021 20:13 UTC GrantCommon Stock 1,430 $10.49 $15,000.70
Disclosure

SEC source: 0001209191-21-024560 · doc4.xml · nonDerivative · entry 1

YUDKOFF ROYCE · CIK 0001263584 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,461

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April 01, 2021 Filed Apr 2, 2021 20:09 UTC GrantDeferred Stock Unit · Derivative 1,072 $10.49 $11,245.28
Disclosure

SEC source: 0001209191-21-024541 · doc4.xml · derivative · entry 2

Hylton Stacia · CIK 0001650242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,082

Underlying: Deferred Stock Unit · 1,072 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
April 01, 2021 Filed Apr 2, 2021 20:09 UTC GrantCommon Stock 1,430 $10.49 $15,000.70
Disclosure

SEC source: 0001209191-21-024541 · doc4.xml · nonDerivative · entry 1

Hylton Stacia · CIK 0001650242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,081

Read SEC document
April 01, 2021 Filed Apr 2, 2021 20:05 UTC GrantDeferred Stock Unit · Derivative 1,072 $10.49 $11,245.28
Disclosure

SEC source: 0001209191-21-024528 · doc4.xml · derivative · entry 2

Byrne Barbara Peterson · CIK 0001800447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,468

Underlying: Deferred Stock Unit · 1,072 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
April 01, 2021 Filed Apr 2, 2021 20:05 UTC GrantCommon Stock 1,430 $10.49 $15,000.70
Disclosure

SEC source: 0001209191-21-024528 · doc4.xml · nonDerivative · entry 1

Byrne Barbara Peterson · CIK 0001800447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,062

Read SEC document
April 01, 2021 Filed Apr 2, 2021 20:05 UTC GrantDeferred Stock Unit · Derivative 1,072 $10.49 $11,245.28
Disclosure

SEC source: 0001209191-21-024521 · doc4.xml · derivative · entry 2

Butterfield Nathaniel Blair · CIK 0001582403 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · N. Blair Butterfield, Trustee of the Butterfield Joint Revocable Trust

Disclosed balance after: 4,468

Underlying: Deferred Stock Unit · 1,072 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
April 01, 2021 Filed Apr 2, 2021 20:05 UTC GrantCommon Stock 1,430 $10.49 $15,000.70
Disclosure

SEC source: 0001209191-21-024521 · doc4.xml · nonDerivative · entry 1

Butterfield Nathaniel Blair · CIK 0001582403 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · N. Blair Butterfield, Trustee of the Butterfield Joint Revocable Trust

Disclosed balance after: 31,886

Read SEC document
March 19, 2021 Filed Mar 19, 2021 20:10 UTC GrantDeferred Stock Unit · Derivative 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-022065 · doc4.xml · derivative · entry 2

OREILLY BRIAN · CIK 0001263733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,396

Underlying: Deferred Stock Unit · 0 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock upon the Reporting Person's separation from service with the Issuer or as otherwise provided by the Issuer's Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 19, 2021 Filed Mar 19, 2021 20:10 UTC PurchaseCommon Stock 1,000 $10.88 $10,880.00
Disclosure

SEC source: 0001209191-21-022065 · doc4.xml · nonDerivative · entry 1

OREILLY BRIAN · CIK 0001263733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,183

Read SEC document
March 19, 2021 Filed Mar 22, 2021 20:08 UTC
Stein Todd JDirector
PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-022318 · doc4.xml · nonDerivative · entry 4

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Braeside Investments, LLC

Disclosed balance after: 15,108

F3 · ownership.nature: Shares beneficially owned directly by a proprietary account under Braeside Investments, LLC. Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital, L.P. and Braeside Capital II, L.P. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Investments. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

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March 19, 2021 Filed Mar 22, 2021 20:08 UTC
Stein Todd JDirector
PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-022318 · doc4.xml · nonDerivative · entry 3

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,780

Read SEC document
March 19, 2021 Filed Mar 22, 2021 20:08 UTC
Stein Todd JDirector
PurchaseCommon Stock 1,028 $10.90 $11,203.56
Disclosure

SEC source: 0001209191-21-022318 · doc4.xml · nonDerivative · entry 2

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Braeside Capital, L.P.

Disclosed balance after: 511,629

F2 · ownership.nature: Shares beneficially owned directly by Braeside Capital, L.P. ("Braeside Capital"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Read SEC document
March 19, 2021 Filed Mar 22, 2021 20:08 UTC
Stein Todd JDirector
PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-022318 · doc4.xml · nonDerivative · entry 1

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Braeside Capital II, L.P.

Disclosed balance after: 553,390

F1 · ownership.nature: Shares beneficially owned directly by Braeside Capital II, L.P. ("Braeside Capital II"). Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital II. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Capital II. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Read SEC document
March 04, 2021 Filed Mar 8, 2021 21:05 UTC
Stein Todd JDirector
PurchaseCommon Stock 2,609 $10.50 $27,406.24
Disclosure

SEC source: 0001209191-21-018516 · doc4.xml · nonDerivative · entry 4

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Braeside Investments, LLC

Disclosed balance after: 15,108

F3 · ownership.nature: Shares beneficially owned directly by a proprietary account under Braeside Investments, LLC. Braeside Investments, LLC ("Braeside Investments") serves as the investment manager of Braeside Capital, L.P. and Braeside Capital II, L.P. As a co-manager of Braeside Investments, Mr. Stein may be deemed to beneficially own the shares beneficially owned directly by Braeside Investments. Mr. Stein disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Read SEC document
March 04, 2021 Filed Mar 8, 2021 21:05 UTC
Stein Todd JDirector
PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-018516 · doc4.xml · nonDerivative · entry 3

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,780

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.