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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
December 31, 2019 Filed Jan 3, 2020 21:21 UTC
Rice CalvinController
Exercise / conversionRestricted Stock Units · Derivative 281 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000937 · doc4.xml · derivative · entry 3

Rice Calvin · CIK 0001757839 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 281 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.

F1 · derivative.exercise_price: Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock.

F2 · derivative.exercise_date: On December 31, 2019, 281 RSUs vested.

F2 · derivative.expiration_date: On December 31, 2019, 281 RSUs vested.

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:21 UTC
Rice CalvinController
Tax withholdingCommon Stock 528 $12.23 $6,457.44
Disclosure

SEC source: 0001209191-20-000937 · doc4.xml · nonDerivative · entry 2

Rice Calvin · CIK 0001757839 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,832

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:21 UTC
Rice CalvinController
Exercise / conversionCommon Stock 1,471 $12.23 $17,990.33
Disclosure

SEC source: 0001209191-20-000937 · doc4.xml · nonDerivative · entry 1

Rice Calvin · CIK 0001757839 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,360

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
December 31, 2019 Filed Jan 3, 2020 21:26 UTC
Woods-Keisling SharonCorporate Secretary, Treasurer
Exercise / conversionRestricted Stock Units · Derivative 1,649 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000962 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,300

Underlying: Common Stock · 1,649 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.

F1 · derivative.exercise_price: Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock.

F4 · derivative.exercise_date: On December 31, 2019, 1,649 RSUs vested. The remaining 3300 RSUs will vest on December 31, 2020 and December 31, 2021 (e.g. "three equal annual installments").

F4 · derivative.expiration_date: On December 31, 2019, 1,649 RSUs vested. The remaining 3300 RSUs will vest on December 31, 2020 and December 31, 2021 (e.g. "three equal annual installments").

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:26 UTC
Woods-Keisling SharonCorporate Secretary, Treasurer
Exercise / conversionRestricted Stock Units · Derivative 1,398 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000962 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,398

Underlying: Common Stock · 1,398 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.

F1 · derivative.exercise_price: Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock.

F3 · derivative.exercise_date: On December 31, 2019, 1,398 RSUs vested. The remaining 1,398 RSUs will vest on December 31, 2020 (e.g. "three equal annual installments").

F3 · derivative.expiration_date: On December 31, 2019, 1,398 RSUs vested. The remaining 1,398 RSUs will vest on December 31, 2020 (e.g. "three equal annual installments").

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:26 UTC
Woods-Keisling SharonCorporate Secretary, Treasurer
Exercise / conversionRestricted Stock Units · Derivative 994 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000962 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 994 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.

F1 · derivative.exercise_price: Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock.

F2 · derivative.exercise_date: On December 31, 2019, 994 RSUs vested.

F2 · derivative.expiration_date: On December 31, 2019, 994 RSUs vested.

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:26 UTC
Woods-Keisling SharonCorporate Secretary, Treasurer
Tax withholdingCommon Stock 1,431 $12.23 $17,501.13
Disclosure

SEC source: 0001209191-20-000962 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,514

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:26 UTC
Woods-Keisling SharonCorporate Secretary, Treasurer
Exercise / conversionCommon Stock 4,041 $12.23 $49,421.43
Disclosure

SEC source: 0001209191-20-000962 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,945

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
December 31, 2019 Filed Jan 3, 2020 16:18 UTC
Culp-Fingerhut BonnieEx. VP, HR & Adminstration
Exercise / conversionRestricted Stock Units · Derivative 2,121 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000916 · doc4.xml · derivative · entry 5

Culp-Fingerhut Bonnie · CIK 0001425517 · Ex. VP, HR & Adminstration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,242

Underlying: Common Stock · 2,121 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.

F1 · derivative.exercise_price: Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock.

F4 · derivative.exercise_date: On December 31, 2019, 2,121 RSUs vested. The remaining 4,242 RSUs will vest on December 31, 2020 and December 31, 2021 (e.g. "three equal annual installments").

F4 · derivative.expiration_date: On December 31, 2019, 2,121 RSUs vested. The remaining 4,242 RSUs will vest on December 31, 2020 and December 31, 2021 (e.g. "three equal annual installments").

Read SEC document
December 31, 2019 Filed Jan 3, 2020 16:18 UTC
Culp-Fingerhut BonnieEx. VP, HR & Adminstration
Exercise / conversionRestricted Stock Units · Derivative 1,797 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000916 · doc4.xml · derivative · entry 4

Culp-Fingerhut Bonnie · CIK 0001425517 · Ex. VP, HR & Adminstration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,797

Underlying: Common Stock · 1,797 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.

F1 · derivative.exercise_price: Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock.

F3 · derivative.exercise_date: On December 31, 2019, 1,797 RSUs vested. The remaining 1,797 RSUs will vest on December 31, 2020 (e.g. "three equal annual installments").

F3 · derivative.expiration_date: On December 31, 2019, 1,797 RSUs vested. The remaining 1,797 RSUs will vest on December 31, 2020 (e.g. "three equal annual installments").

Read SEC document
December 31, 2019 Filed Jan 3, 2020 16:18 UTC
Culp-Fingerhut BonnieEx. VP, HR & Adminstration
Exercise / conversionRestricted Stock Units · Derivative 1,356 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000916 · doc4.xml · derivative · entry 3

Culp-Fingerhut Bonnie · CIK 0001425517 · Ex. VP, HR & Adminstration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,356 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.

F1 · derivative.exercise_price: Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock.

F2 · derivative.exercise_date: On December 31, 2019, 1,356 RSUs vested.

F2 · derivative.expiration_date: On December 31, 2019, 1,356 RSUs vested.

Read SEC document
December 31, 2019 Filed Jan 3, 2020 16:18 UTC
Culp-Fingerhut BonnieEx. VP, HR & Adminstration
Tax withholdingCommon Stock 2,659 $12.23 $32,519.57
Disclosure

SEC source: 0001209191-20-000916 · doc4.xml · nonDerivative · entry 2

Culp-Fingerhut Bonnie · CIK 0001425517 · Ex. VP, HR & Adminstration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,152

Read SEC document
December 31, 2019 Filed Jan 3, 2020 16:18 UTC
Culp-Fingerhut BonnieEx. VP, HR & Adminstration
Exercise / conversionCommon Stock 5,274 $12.23 $64,501.02
Disclosure

SEC source: 0001209191-20-000916 · doc4.xml · nonDerivative · entry 1

Culp-Fingerhut Bonnie · CIK 0001425517 · Ex. VP, HR & Adminstration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,811

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
December 31, 2019 Filed Jan 3, 2020 21:19 UTC
KELLY VINCENT DDirector · President & CEO
Exercise / conversionRestricted Stock Units · Derivative 12,569 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000921 · doc4.xml · derivative · entry 5

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: 25,138

Underlying: Common Stock · 12,569 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.

F1 · derivative.exercise_price: Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock.

F4 · derivative.exercise_date: On December 31, 2019, 12,569 RSUs vested. The remaining 25,138 RSUs will vest on December 31, 2020 and December 31, 2021 (e.g. "three equal annual installments").

F4 · derivative.expiration_date: On December 31, 2019, 12,569 RSUs vested. The remaining 25,138 RSUs will vest on December 31, 2020 and December 31, 2021 (e.g. "three equal annual installments").

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:19 UTC
KELLY VINCENT DDirector · President & CEO
Exercise / conversionRestricted Stock Units · Derivative 17,039 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000921 · doc4.xml · derivative · entry 4

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: 17,040

Underlying: Common Stock · 17,039 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.

F1 · derivative.exercise_price: Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock.

F3 · derivative.exercise_date: On December 31, 2019, 17,039 RSUs vested. The remaining 17,040 RSUs will vest on December 31, 2020 (e.g. "three equal annual installments").

F3 · derivative.expiration_date: On December 31, 2019, 17,039 RSUs vested. The remaining 17,040 RSUs will vest on December 31, 2020 (e.g. "three equal annual installments").

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:19 UTC
KELLY VINCENT DDirector · President & CEO
Exercise / conversionRestricted Stock Units · Derivative 12,852 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-000921 · doc4.xml · derivative · entry 3

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: 0

Underlying: Common Stock · 12,852 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.

F1 · derivative.exercise_price: Each Restricted Stock Units ("RSUs") represents a contingent right to receive one share of the issuer's Common Stock.

F2 · derivative.exercise_date: On December 31, 2019, 12,852 RSUs vested.

F2 · derivative.expiration_date: On December 31, 2019, 12,852 RSUs vested.

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:19 UTC
KELLY VINCENT DDirector · President & CEO
Tax withholdingCommon Stock 19,603 $12.23 $239,744.69
Disclosure

SEC source: 0001209191-20-000921 · 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: 97,603

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:19 UTC
KELLY VINCENT DDirector · President & CEO
Exercise / conversionCommon Stock 42,460 $12.23 $519,285.80
Disclosure

SEC source: 0001209191-20-000921 · 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: 117,206

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
December 03, 2019 Filed Dec 4, 2019 21:03 UTC
KELLY VINCENT DDirector · President & CEO
SaleCommon Stock 5,000 $11.78 $58,893.50
Disclosure

SEC source: 0001209191-19-059029 · 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 Fifth Amended and Restated Revocable Trust

Disclosed balance after: 286,763

F1 · kind: The sale reported in this transaction was effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 23, 2013.

Read SEC document
December 02, 2019 Filed Dec 4, 2019 21:03 UTC
KELLY VINCENT DDirector · President & CEO
SaleCommon Stock 5,000 $11.80 $58,999.50
Disclosure

SEC source: 0001209191-19-059029 · 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 Fifth Amended and Restated Revocable Trust

Disclosed balance after: 291,763

F1 · kind: The sale reported in this transaction was effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 23, 2013.

Read SEC document
November 22, 2019 Filed Nov 25, 2019 21:03 UTC
Stein Todd JDirector
PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-057917 · doc4.xml · nonDerivative · entry 3

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,226

Read SEC document
November 22, 2019 Filed Nov 25, 2019 21:03 UTC
Stein Todd JDirector
PurchaseCommon Stock 14,222 $11.93 $169,671.30
Disclosure

SEC source: 0001209191-19-057917 · doc4.xml · nonDerivative · entry 2

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 479,816

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
November 22, 2019 Filed Nov 25, 2019 21:03 UTC
Stein Todd JDirector
PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-057917 · doc4.xml · nonDerivative · entry 1

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Braeside Capital, L.P.

Disclosed balance after: 508,001

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
November 20, 2019 Filed Nov 21, 2019 21:09 UTC PurchaseCommon Stock 5,000 $11.42 $57,100.00
Disclosure

SEC source: 0001209191-19-057602 · doc4.xml · nonDerivative · entry 1

OREILLY BRIAN · CIK 0001263733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,025

Read SEC document
November 20, 2019 Filed Nov 21, 2019 21:08 UTC PurchaseCommon Stock 430 $11.63 $5,002.49
Disclosure

SEC source: 0001209191-19-057599 · doc4.xml · nonDerivative · entry 1

Hylton Stacia · CIK 0001650242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,107

Read SEC document
October 29, 2019 Filed Oct 29, 2019 16:03 UTC GrantCommon Stock 3,000 $11.84 $35,520.00
Disclosure

SEC source: 0001209191-19-054326 · doc4.xml · nonDerivative · entry 1

ORISTANO MATTHEW · CIK 0000938257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,897

Read SEC document
October 29, 2019 Filed Oct 30, 2019 20:03 UTC
WALLACE MICHAEL WChief Financial Officer & CAO
GrantCommon Stock 3,000 $11.95 $35,850.00
Disclosure

SEC source: 0001209191-19-054499 · doc4.xml · nonDerivative · entry 1

WALLACE MICHAEL W · CIK 0001070123 · Chief Financial Officer & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,155

Read SEC document
October 29, 2019 Filed Nov 1, 2019 16:11 UTC Amendment PurchaseCommon Stock 3,000 $11.84 $35,520.00
Disclosure

SEC source: 0001209191-19-054715 · doc4a.xml · nonDerivative · entry 1

ORISTANO MATTHEW · CIK 0000938257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,897

F1 · kind: This amendment is being filed solely to correct the transaction code used in Column 3 of Table I of the Form 4 filed by Matthew Oristano on October 29, 2019.

Read SEC document
October 29, 2019 Filed Nov 1, 2019 20:06 UTC Amendment
WALLACE MICHAEL WChief Financial Officer & CAO
PurchaseCommon Stock 3,000 $11.95 $35,850.00
Disclosure

SEC source: 0001209191-19-054710 · doc4a.xml · nonDerivative · entry 1

WALLACE MICHAEL W · CIK 0001070123 · Chief Financial Officer & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,155

F1 · kind: This amendment is being filed solely to correct the transaction code used in Column 3 of Table I of the Form 4 filed by Michael Wallace on October 29, 2019.

Read SEC document
October 28, 2019 Filed Oct 28, 2019 20:05 UTC GrantCommon Stock 9,000 $11.52 $103,680.00
Disclosure

SEC source: 0001209191-19-054231 · doc4.xml · nonDerivative · entry 1

OREILLY BRIAN · CIK 0001263733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,025

Read SEC document
October 28, 2019 Filed Nov 1, 2019 20:08 UTC Amendment PurchaseCommon Stock 9,000 $11.52 $103,680.00
Disclosure

SEC source: 0001209191-19-054713 · doc4a.xml · nonDerivative · entry 1

OREILLY BRIAN · CIK 0001263733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,025

F1 · kind: This amendment is being filed solely to correct the transaction code used in Column 3 of Table I of the Form 4 filed by Brian O'Reilly on October 28, 2019.

Read SEC document
October 01, 2019 Filed Oct 2, 2019 16:06 UTC GrantCommon Stock 1,466 $11.94 $17,504.04
Disclosure

SEC source: 0001209191-19-051610 · doc4.xml · nonDerivative · entry 1

ORISTANO MATTHEW · CIK 0000938257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,897

Read SEC document
October 01, 2019 Filed Oct 2, 2019 20:05 UTC GrantCommon Stock 1,256 $11.94 $14,996.64
Disclosure

SEC source: 0001209191-19-051603 · doc4.xml · nonDerivative · entry 1

OREILLY BRIAN · CIK 0001263733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,025

Read SEC document
October 01, 2019 Filed Oct 2, 2019 20:13 UTC GrantCommon Stock 1,256 $11.94 $14,996.64
Disclosure

SEC source: 0001209191-19-051643 · doc4.xml · nonDerivative · entry 1

YUDKOFF ROYCE · CIK 0001263584 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,873

Read SEC document
October 01, 2019 Filed Oct 2, 2019 20:10 UTC GrantCommon Stock 1,256 $11.94 $14,996.64
Disclosure

SEC source: 0001209191-19-051633 · doc4.xml · nonDerivative · entry 1

THOMPSON SAMME L · CIK 0001197598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,854

Read SEC document
October 01, 2019 Filed Oct 2, 2019 20:08 UTC
Stein Todd JDirector
GrantCommon Stock 0 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-051624 · 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: 465,594

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.

Read SEC document
October 01, 2019 Filed Oct 2, 2019 20:08 UTC
Stein Todd JDirector
GrantCommon Stock 0 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-051624 · 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: 508,001

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.

Read SEC document
October 01, 2019 Filed Oct 2, 2019 20:08 UTC
Stein Todd JDirector
GrantCommon Stock 1,256 $11.94 $14,996.64
Disclosure

SEC source: 0001209191-19-051624 · doc4.xml · nonDerivative · entry 1

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,226

Read SEC document
October 01, 2019 Filed Oct 2, 2019 20:02 UTC GrantCommon Stock 1,256 $11.94 $14,996.64
Disclosure

SEC source: 0001209191-19-051591 · 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: 23,298

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October 01, 2019 Filed Oct 2, 2019 20:04 UTC GrantCommon Stock 1,256 $11.94 $14,996.64
Disclosure

SEC source: 0001209191-19-051598 · doc4.xml · nonDerivative · entry 1

Hylton Stacia · CIK 0001650242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,677

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September 04, 2019 Filed Sep 5, 2019 21:05 UTC
KELLY VINCENT DDirector · President & CEO
SaleCommon Stock 5,000 $11.43 $57,150.00
Disclosure

SEC source: 0001209191-19-048580 · 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 Fifth Amended and Restated Revocable Trust

Disclosed balance after: 296,763

F1 · kind: The sale reported in this transaction was effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 23, 2013.

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September 03, 2019 Filed Sep 5, 2019 21:05 UTC
KELLY VINCENT DDirector · President & CEO
SaleCommon Stock 5,000 $11.57 $57,850.00
Disclosure

SEC source: 0001209191-19-048580 · 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 Fifth Amended and Restated Revocable Trust

Disclosed balance after: 301,763

F1 · kind: The sale reported in this transaction was effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 23, 2013.

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July 01, 2019 Filed Jul 1, 2019 16:23 UTC GrantCommon Stock 1,164 $15.04 $17,506.56
Disclosure

SEC source: 0001209191-19-039712 · doc4.xml · nonDerivative · entry 1

ORISTANO MATTHEW · CIK 0000938257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,431

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July 01, 2019 Filed Jul 1, 2019 20:25 UTC GrantCommon Stock 997 $15.04 $14,994.88
Disclosure

SEC source: 0001209191-19-039719 · doc4.xml · nonDerivative · entry 1

YUDKOFF ROYCE · CIK 0001263584 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,617

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July 01, 2019 Filed Jul 1, 2019 20:30 UTC GrantCommon Stock 997 $1,504.00 $1,499,488.00
Disclosure

SEC source: 0001209191-19-039724 · doc4.xml · nonDerivative · entry 1

OREILLY BRIAN · CIK 0001263733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,769

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July 01, 2019 Filed Jul 1, 2019 20:24 UTC GrantCommon Stock 997 $15.04 $14,994.88
Disclosure

SEC source: 0001209191-19-039715 · 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: 22,042

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July 01, 2019 Filed Jul 1, 2019 20:21 UTC GrantCommon Stock 997 $15.04 $14,994.88
Disclosure

SEC source: 0001209191-19-039709 · doc4.xml · nonDerivative · entry 1

Hylton Stacia · CIK 0001650242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,421

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July 01, 2019 Filed Jul 1, 2019 20:20 UTC
Stein Todd JDirector
GrantCommon Stock 0 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-039707 · 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: 465,594

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.

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July 01, 2019 Filed Jul 1, 2019 20:20 UTC
Stein Todd JDirector
GrantCommon Stock 0 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-039707 · 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: 508,001

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.

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July 01, 2019 Filed Jul 1, 2019 20:20 UTC
Stein Todd JDirector
GrantCommon Stock 997 $15.04 $14,994.88
Disclosure

SEC source: 0001209191-19-039707 · doc4.xml · nonDerivative · entry 1

Stein Todd J · CIK 0001747745 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,970

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.