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NYSE · USD

SPRU

SPRUCE POWER HOLDING CORP

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Tapewire entity
7389
SEC CIK
0001772720
Parsed reports
179

Last 12 months

Inside the activity.

55 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025130
Dec 2025161
Jan 202640
Feb 202600
Mar 2026110
Apr 2026100
May 202600
Jun 202601
Jul 202600
Aug 202600
Sep 202610
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
April 12, 2024 Filed Apr 16, 2024 17:23 UTC
Hayes Christopher M.Director · President and CEO
GrantCommon Stock 88,636 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-016465 · wk-form4_1713302626.xml · nonDerivative · entry 1

Hayes Christopher M. · CIK 0001836797 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 142,730

F1 · shares: Securities awarded are in the form of restricted stock units (RSUs) that each represent a contingent right to receive one share of the issuer's common stock. Subject to the reporting person's continued service through the vesting dates, 25% of the RSUs will vest on each of April 12, 2025, April 12, 2026, April 12, 2027 and April 12, 2028.

Read SEC document
April 12, 2024 Filed Apr 16, 2024 17:20 UTC
Lee Ja-ChinDirector
GrantCommon Stock 67,164 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-016459 · wk-form4_1713302404.xml · nonDerivative · entry 1

Lee Ja-Chin · CIK 0001825753 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,164

F1 · balance_after: The securities awarded are in the form of restricted stock units (RSUs) that each represent a contingent right to receive one share of the issuer's common stock. Subject to the reporting person's continued service through the vesting dates, one-third of the RSUs will vest on each of April 12, 2025, April 12, 2026, and April 12, 2027.

Read SEC document
April 03, 2024 Filed Apr 5, 2024 23:16 UTC
Norling Jonathan McWhinnieChief Legal Officer
Tax withholdingCommon Stock 6,099 $3.64 $22,200.36
Disclosure

SEC source: 0001213900-24-030930 · ownership.xml · nonDerivative · entry 1

Norling Jonathan M · CIK 0001963500 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,588

F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on April 3, 2024. The applicable RSUs were reported on the Form 4 filed April 5, 2023.

F2 · balance_after: Effective on October 6, 2023, the issuer effected a 1 to 8 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
April 03, 2024 Filed Apr 5, 2024 19:33 UTC
Wells Sarah WeberChief Financial Officer
Tax withholdingCommon Stock 4,504 $3.64 $16,394.56
Disclosure

SEC source: 0001213900-24-030935 · ownership.xml · nonDerivative · entry 1

Wells Sarah Weber · CIK 0001963487 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,087

F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on April 3, 2024. The applicable RSUs were reported on the Form 4 filed April 5, 2023.

F2 · balance_after: Effective on October 6, 2023, the issuer effected a 1 to 8 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
April 01, 2024 Filed Apr 3, 2024 17:40 UTC
Fong Christian S.Director · President and CEO
Tax withholdingCommon Stock 2,419 $3.62 $8,756.78
Disclosure

SEC source: 0001213900-24-029946 · ownership.xml · nonDerivative · entry 1

Fong Christian S. · CIK 0001698985 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,600

F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on March 31, 2024. The applicable RSUs were reported on the Form 4 filed September 13, 2022.

Read SEC document
April 01, 2024 Filed Mar 21, 2025 23:20 UTC
Norling Jonathan McWhinnieChief Legal Officer
GrantCommon Stock 119,020 $0.00 $0.00
Disclosure

SEC source: 0001062993-25-006088 · form4.xml · nonDerivative · entry 1

Norling Jonathan M · CIK 0001963500 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,248

F1 · shares: The securities awarded are in the form of restricted stock units (RSUs) that each represent a contingent right to receive one share of the issuer's common stock. Subject to the reporting person's continued service through the vesting dates, 25% of the RSUs will vest on each of April 1, 2025, April 1, 2026, April 1, 2027 and April 1, 2028.

F2 · balance_after: Amount shown (i) reflects the amount of securities beneficially owned by the reporting person as of the date this Form 4 is filed and (ii) reflects an adjustment to correct a previously reported inadvertent overstatement of the number of securities beneficially owned.

Read SEC document
April 01, 2024 Filed Mar 21, 2025 19:18 UTC
Wells Sarah WeberChief Financial Officer
GrantCommon Stock 119,020 $0.00 $0.00
Disclosure

SEC source: 0001062993-25-006086 · form4.xml · nonDerivative · entry 1

Wells Sarah Weber · CIK 0001963487 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211,683

F1 · shares: The securities awarded are in the form of restricted stock units (RSUs) that each represent a contingent right to receive one share of the issuer's common stock. Subject to the reporting person's continued service through the vesting dates, 25% of the RSUs will vest on each of April 1, 2025, April 1, 2026, April 1, 2027 and April 1, 2028.

F2 · balance_after: Amount shown (i) reflects the amount of securities beneficially owned by the reporting person as of the date this Form 4 is filed and (ii) reflects an adjustment to correct a previously reported inadvertent overstatement of the number of securities beneficially owned.

Read SEC document
April 01, 2024 Filed Mar 31, 2025 09:46 UTC Amendment
Fong Christian S.Director · President and CEO
GrantCommon Stock 278,340 $0.00 $0.00
Disclosure

SEC source: 0001213900-25-025850 · ownership.xml · nonDerivative · entry 1

Fong Christian S. · CIK 0001698985 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 454,340

F1 · shares: On April 3, 2024, the reporting person filed a Form 4 which inadvertently excluded the award of restricted stock units that each represented a contingent right to receive one share of the Issuer's common stock. This Form 4 amendment reflects this transaction and the reporting person's holdings immediately following such transaction.

Read SEC document
January 03, 2024 Filed Jan 8, 2024 16:58 UTC
Fong Christian S.Director · CEO
Tax withholdingCommon Stock 2,042 $4.42 $9,025.64
Disclosure

SEC source: 0001213900-24-001949 · ownership.xml · nonDerivative · entry 1

Fong Christian S. · CIK 0001698985 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 179,019

F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on January 3, 2024. The applicable RSUs were reported on the Form 4 filed September 13, 2022.

F2 · balance_after: Effective on October 6, 2023, the issuer effected a 1 to 8 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
September 30, 2023 Filed Oct 3, 2023 16:26 UTC
Fong Christian S.Director · President and CEO
Tax withholdingCommon Stock 12,500 $0.68 $8,500.00
Disclosure

SEC source: 0001013762-23-001146 · ownership.xml · nonDerivative · entry 1

Fong Christian S. · CIK 0001698985 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,448,495

F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on September 30, 2023. The applicable RSUs were reported on the Form 4 filed September 13, 2022.

Read SEC document
September 09, 2023 Filed Sep 13, 2023 00:58 UTC
Norling Jonathan McWhinnieChief Legal Officer
Tax withholdingCommon Stock 27,500 $0.79 $21,697.50
Disclosure

SEC source: 0001213900-23-076192 · ownership.xml · nonDerivative · entry 1

Norling Jonathan M · CIK 0001963500 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 989,500

F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on September 9, 2023. The applicable RSUs were reported on the Form 3 filed April 3, 2023.

Read SEC document
September 09, 2023 Filed Sep 12, 2023 21:00 UTC
Wells Sarah WeberChief Financial Officer
Tax withholdingCommon Stock 18,812 $0.79 $14,842.67
Disclosure

SEC source: 0001213900-23-076194 · ownership.xml · nonDerivative · entry 1

Wells Sarah Weber · CIK 0001963487 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 809,233

F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on September 9, 2023. The applicable RSUs were reported on the Form 3 filed April 3, 2023.

Read SEC document
September 09, 2023 Filed Oct 3, 2023 16:25 UTC
Fong Christian S.Director · President and CEO
Tax withholdingCommon Stock 75,867 $0.79 $59,859.06
Disclosure

SEC source: 0001013762-23-001144 · ownership.xml · nonDerivative · entry 1

Fong Christian S. · CIK 0001698985 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,460,995

F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on September 9, 2023. The applicable RSUs were reported on the Form 4 filed September 13, 2022.

Read SEC document
June 12, 2023 Filed Jun 30, 2023 16:01 UTC
Constas StaceyGeneral Counsel
Tax withholdingCommon Stock 89,242 $0.83 $74,070.86
Disclosure

SEC source: 0001213900-23-053492 · ownership.xml · nonDerivative · entry 1

Constas Stacey · CIK 0001929151 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,186

F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on June 12, 2023. The applicable RSUs were reported on the Form 3 filed May 20, 2022 and the Form 4 filed May 23, 2022.

Read SEC document
June 07, 2023 Filed Jun 8, 2023 10:59 UTC PurchaseCommon Stock 39,689 $0.80 $31,854.39
Disclosure

SEC source: 0001213900-23-047340 · ownership.xml · nonDerivative · entry 1

LEDECKY JONATHAN J · CIK 0001008382 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 363,710

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $0.79 to $0.81. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares purchased at each separate price.

Read SEC document
June 06, 2023 Filed Jun 7, 2023 18:26 UTC PurchaseCommon Stock 10,025 $0.84 $8,421.00
Disclosure

SEC source: 0001213900-23-047252 · ownership.xml · nonDerivative · entry 2

LEDECKY JONATHAN J · CIK 0001008382 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 324,021

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $0.83 to $0.84. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares purchased at each separate price.

Read SEC document
June 05, 2023 Filed Jun 7, 2023 18:26 UTC PurchaseCommon Stock 1,192 $0.81 $965.52
Disclosure

SEC source: 0001213900-23-047252 · ownership.xml · nonDerivative · entry 1

LEDECKY JONATHAN J · CIK 0001008382 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 313,996

Read SEC document
June 01, 2023 Filed Jun 5, 2023 15:42 UTC
Tech Eric M.Director
PurchaseCommon Stock 10,000 $0.81 $8,100.00
Disclosure

SEC source: 0001213900-23-046160 · ownership.xml · nonDerivative · entry 2

Tech Eric M. · CIK 0001552112 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 25,000

F1 · kind: This reported transaction may constitute short-swing profits under Section 16(b) of the Exchange Act in relation to certain previously reported transactions. The reporting person has calculated profit realized from the transaction and has disgorged to the Issuer the full amount of any recoverable profits.

F2 · ownership.nature: The shares were purchased and are held by the reporting person's daughter, who may be deemed to share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his daughter, and this report should not be deemed an admission that the reporting person is the beneficial owner of his daughter's shares for purposes of Section 16 or for any other purpose.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 15:42 UTC
Tech Eric M.Director
PurchaseCommon Stock 10,000 $0.81 $8,100.00
Disclosure

SEC source: 0001213900-23-046160 · ownership.xml · nonDerivative · entry 1

Tech Eric M. · CIK 0001552112 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 891,444

F1 · kind: This reported transaction may constitute short-swing profits under Section 16(b) of the Exchange Act in relation to certain previously reported transactions. The reporting person has calculated profit realized from the transaction and has disgorged to the Issuer the full amount of any recoverable profits.

Read SEC document
May 31, 2023 Filed Jun 1, 2023 12:53 UTC PurchaseCommon Stock 15,386 $0.72 $11,040.99
Disclosure

SEC source: 0001213900-23-044827 · ownership.xml · nonDerivative · entry 1

Hayes Christopher M. · CIK 0001836797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 432,755

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $0.6985 to $0.742. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares purchased at each separate price.

Read SEC document
May 25, 2023 Filed May 30, 2023 15:02 UTC GrantCommon Stock 202,812 $0.00 $0.00
Disclosure

SEC source: 0001213900-23-043934 · ownership.xml · nonDerivative · entry 1

LEDECKY JONATHAN J · CIK 0001008382 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 312,804

F1 · shares: The securities awarded are in the form of restricted stock units issued pursuant to the issuer's 2020 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of issuer common stock. Subject to the reporting person's continued service through the vesting date, the restricted stock units shall become fully vested on the first anniversary of May 25, 2024.

Read SEC document
May 25, 2023 Filed May 30, 2023 16:46 UTC
Tech Eric M.Director
GrantCommon Stock 202,812 $0.00 $0.00
Disclosure

SEC source: 0001213900-23-044049 · ownership.xml · nonDerivative · entry 1

Tech Eric M. · CIK 0001552112 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 881,444

F1 · shares: The securities awarded are in the form of restricted stock units issued pursuant to the issuer's 2020 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of issuer common stock. Subject to the reporting person's continued service through the vesting date, the restricted stock units shall become fully vested on the first anniversary of May 25, 2024.

Read SEC document
May 25, 2023 Filed May 30, 2023 16:46 UTC
Fong Christian S.Director · President and CEO
PurchaseCommon Stock 10,000 $0.74 $7,400.00
Disclosure

SEC source: 0001213900-23-044051 · ownership.xml · nonDerivative · entry 2

Fong Christian S. · CIK 0001698985 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · Note

Disclosed balance after: 160,000

F2 · ownership.nature: The shares are held by a revocable family trust. The reporting person disclaims beneficial ownership of the shares held by this trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of this trust's shares for purposes of Section 16 or for any other purpose.

Read SEC document
May 25, 2023 Filed May 30, 2023 15:03 UTC GrantCommon Stock 202,812 $0.00 $0.00
Disclosure

SEC source: 0001213900-23-043935 · ownership.xml · nonDerivative · entry 1

Miller John P. · CIK 0001709137 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 484,747

F1 · shares: The securities awarded are in the form of restricted stock units issued pursuant to the issuer's 2020 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of issuer common stock. Subject to the reporting person's continued service through the vesting date, the restricted stock units shall become fully vested on the first anniversary of May 25, 2024.

Read SEC document
May 25, 2023 Filed May 30, 2023 14:59 UTC GrantCommon Stock 202,812 $0.00 $0.00
Disclosure

SEC source: 0001213900-23-043930 · ownership.xml · nonDerivative · entry 1

Griffin Kevin · CIK 0001766124 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 312,804

F1 · shares: The securities awarded are in the form of restricted stock units issued pursuant to the issuer's 2020 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of issuer common stock. Subject to the reporting person's continued service through the vesting date, the restricted stock units shall become fully vested on the first anniversary of May 25, 2024.

Read SEC document
May 25, 2023 Filed May 30, 2023 15:00 UTC GrantCommon Stock 229,854 $0.00 $0.00
Disclosure

SEC source: 0001213900-23-043932 · ownership.xml · nonDerivative · entry 1

Hayes Christopher M. · CIK 0001836797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 417,369

F1 · shares: The securities awarded are in the form of restricted stock units issued pursuant to the issuer's 2020 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of issuer common stock. Subject to the reporting person's continued service through the vesting date, the restricted stock units shall become fully vested on the first anniversary of May 25, 2024.

Read SEC document
May 24, 2023 Filed May 30, 2023 16:46 UTC
Fong Christian S.Director · President and CEO
PurchaseCommon Stock 150 $0.74 $111.00
Disclosure

SEC source: 0001213900-23-044051 · ownership.xml · nonDerivative · entry 1

Fong Christian S. · CIK 0001698985 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · Note

Disclosed balance after: 600

F1 · ownership.nature: The shares are held by the reporting person's sons, who may be deemed to share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his sons, and this report should not be deemed an admission that the reporting person is the beneficial owner of his sons' shares for purposes of Section 16 or for any other purpose.

Read SEC document
May 20, 2023 Filed May 22, 2023 10:12 UTC
Constas StaceyGeneral Counsel
Tax withholdingCommon Stock 16,341 $0.84 $13,693.76
Disclosure

SEC source: 0001213900-23-041768 · ownership.xml · nonDerivative · entry 1

Constas Stacey · CIK 0001929151 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 192,428

F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on May 20, 2023. The applicable RSUs were reported on the Form 4 filed May 23, 2022.

Read SEC document
May 18, 2023 Filed May 19, 2023 12:55 UTC PurchaseCommon Stock 20,000 $0.83 $16,596.00
Disclosure

SEC source: 0001213900-23-041422 · ownership.xml · nonDerivative · entry 1

Miller John P. · CIK 0001709137 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 281,935

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $0.82 to $0.8433. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares purchased at each separate price.

Read SEC document
May 17, 2023 Filed May 19, 2023 12:54 UTC
Fong Christian S.Director · President and CEO
PurchaseCommon Stock 50,000 $0.80 $39,870.00
Disclosure

SEC source: 0001213900-23-041421 · ownership.xml · nonDerivative · entry 1

Fong Christian S. · CIK 0001698985 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,586,862

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $0.795 to $0.7998. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares purchased at each separate price.

Read SEC document
April 11, 2023 Filed Apr 28, 2023 16:01 UTC
Klein Donald PChief Financial Officer
Tax withholdingCommon Stock 34,210 $0.89 $30,446.90
Disclosure

SEC source: 0001213900-23-033856 · ownership.xml · nonDerivative · entry 1

Klein Donald P · CIK 0001741664 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 361,270

F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on April 11, 2023. The applicable RSUs were reported on the Form 4 filed April 13, 2022.

Read SEC document
April 03, 2023 Filed Apr 5, 2023 19:44 UTC
Norling Jonathan McWhinnieChief Legal Officer
GrantCommon Stock 517,000 $0.00 $0.00
Disclosure

SEC source: 0001213900-23-027528 · ownership.xml · nonDerivative · entry 1

Norling Jonathan M · CIK 0001963500 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,017,000

F1 · shares: The securities awarded are in the form of restricted stock units (RSUs) that each represent a contingent right to receive one share of the issuer's common stock. Subject to the reporting person's continued service through the vesting dates, 25% of the RSUs will vest on each of April 3, 2024, April 3, 2025, April 3, 2026 and April 3, 2027.

Read SEC document
April 03, 2023 Filed Apr 5, 2023 15:46 UTC
Wells Sarah WeberSVP of Fin & Acc & Sustain
GrantCommon Stock 486,000 $0.00 $0.00
Disclosure

SEC source: 0001213900-23-027530 · ownership.xml · nonDerivative · entry 1

Wells Sarah Weber · CIK 0001963487 · SVP of Fin & Acc & Sustain

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 828,045

F1 · shares: The securities awarded are in the form of restricted stock units (RSUs) that each represent a contingent right to receive one share of the issuer's common stock. Subject to the reporting person's continued service through the vesting dates, 25% of the RSUs will vest on each of April 3, 2024, April 3, 2025, April 3, 2026 and April 3, 2027.

Read SEC document
March 21, 2023 Filed Mar 24, 2023 16:15 UTC
Tech Eric M.Director
SaleCommon Stock 65,496 $0.82 $53,706.72
Disclosure

SEC source: 0001213900-23-022809 · ownership.xml · nonDerivative · entry 7

Tech Eric M. · CIK 0001552112 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 678,632

F1 · shares: The sales reported on this Form 4 represent shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units.

Read SEC document
March 15, 2023 Filed Mar 31, 2025 09:45 UTC
Tech Eric M.Director
SaleCommon Stock 8,560 $0.81 $6,955.00
Disclosure

SEC source: 0001213900-25-025849 · ownership.xml · nonDerivative · entry 1

Tech Eric M. · CIK 0001552112 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 144,018

F1 · shares: This transaction was inadvertently effectuated within six months of matching acquisitions. Accordingly, the Reporting Person realized short-swing profits of $50.00 under Section 16(b) of the Securities Exchange Act of 1934, as amended, as a result of the purchases of securities on June 1, 2023 and the disposition of the Issuer's common shares reported herein, which was a sell-to-cover transaction to satisfy certain tax obligations of the Reporting Person incurred with the vesting and settlement of certain Restricted Stock Units (RSUs). The Reporting Person has voluntarily disgorged to the Issuer all of such short-swing profits realized by the Reporting Person from such transactions.

F2 · shares: Reflects an adjustment for the 1 to 8 reverse stock split of the Issuer's common stock, effectuated on October 6, 2023.

F2 · price: Reflects an adjustment for the 1 to 8 reverse stock split of the Issuer's common stock, effectuated on October 6, 2023.

F3 · balance_after: Amount shown reflects the amount of securities beneficially owned by the Reporting Person as of the date this Form 4 is filed.

Read SEC document
March 13, 2023 Filed Mar 24, 2023 16:15 UTC
Tech Eric M.Director
SaleCommon Stock 59,883 $0.75 $44,672.72
Disclosure

SEC source: 0001213900-23-022809 · ownership.xml · nonDerivative · entry 6

Tech Eric M. · CIK 0001552112 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 744,128

F1 · shares: The sales reported on this Form 4 represent shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units.

Read SEC document
March 06, 2023 Filed Mar 24, 2023 16:15 UTC
Tech Eric M.Director
SaleCommon Stock 49,238 $0.90 $44,264.96
Disclosure

SEC source: 0001213900-23-022809 · ownership.xml · nonDerivative · entry 5

Tech Eric M. · CIK 0001552112 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 804,011

F1 · shares: The sales reported on this Form 4 represent shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units.

Read SEC document
March 02, 2023 Filed Mar 24, 2023 16:15 UTC
Tech Eric M.Director
SaleCommon Stock 50,470 $0.88 $44,312.66
Disclosure

SEC source: 0001213900-23-022809 · ownership.xml · nonDerivative · entry 4

Tech Eric M. · CIK 0001552112 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 853,249

F1 · shares: The sales reported on this Form 4 represent shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units.

Read SEC document
March 01, 2023 Filed Mar 24, 2023 16:15 UTC
Tech Eric M.Director
SaleCommon Stock 65,411 $0.94 $61,224.70
Disclosure

SEC source: 0001213900-23-022809 · ownership.xml · nonDerivative · entry 3

Tech Eric M. · CIK 0001552112 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 903,719

F1 · shares: The sales reported on this Form 4 represent shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units.

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February 21, 2023 Filed Mar 24, 2023 16:15 UTC
Tech Eric M.Director
SaleCommon Stock 34,597 $1.14 $39,440.58
Disclosure

SEC source: 0001213900-23-022809 · ownership.xml · nonDerivative · entry 2

Tech Eric M. · CIK 0001552112 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 969,130

F2 · kind: This reported transaction may constitute short-swing profits under Section 16(b) of the Exchange Act in relation to certain previously reported transactions. The reporting person has calculated profit realized from the transaction and has disgorged to the Issuer the full amount of any recoverable profits.

F1 · shares: The sales reported on this Form 4 represent shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units.

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February 07, 2023 Filed Apr 28, 2023 16:01 UTC
Constas StaceyGeneral Counsel
Tax withholdingCommon Stock 887 $1.31 $1,161.97
Disclosure

SEC source: 0001213900-23-033852 · ownership.xml · nonDerivative · entry 1

Constas Stacey · CIK 0001929151 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 208,769

F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on February 7, 2023. The applicable RSUs were reported on the Form 3 filed May 20, 2022.

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December 16, 2022 Filed Dec 19, 2022 17:42 UTC PurchaseCommon Stock 77,523 $0.83 $64,158.03
Disclosure

SEC source: 0001213900-22-081066 · ownership.xml · nonDerivative · entry 1

Hayes Christopher M. · CIK 0001836797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,515

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $0.8100 to $0.8500. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares purchased at each separate price.

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December 14, 2022 Filed Dec 15, 2022 18:11 UTC
Fong Christian S.Director · President
PurchaseCommon Stock 10,000 $0.90 $9,000.00
Disclosure

SEC source: 0001213900-22-080225 · ownership.xml · nonDerivative · entry 1

Fong Christian S. · CIK 0001698985 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,637,112

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December 09, 2022 Filed Mar 24, 2023 16:15 UTC
Tech Eric M.Director
SaleCommon Stock 9,754 $0.91 $8,846.88
Disclosure

SEC source: 0001213900-23-022809 · ownership.xml · nonDerivative · entry 1

Tech Eric M. · CIK 0001552112 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,003,727

F1 · shares: The sales reported on this Form 4 represent shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units.

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December 05, 2022 Filed Dec 6, 2022 13:58 UTC
Fong Christian S.Director · President
PurchaseCommon Stock 20,250 $0.89 $18,018.45
Disclosure

SEC source: 0001213900-22-077891 · ownership.xml · nonDerivative · entry 1

Fong Christian S. · CIK 0001698985 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,627,112

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $0.8741 to $0.8900. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares purchased at each separate price.

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November 25, 2022 Filed Nov 28, 2022 13:59 UTC
Fong Christian S.Director · President
PurchaseCommon Stock 200 $0.90 $180.00
Disclosure

SEC source: 0001213900-22-075448 · ownership.xml · nonDerivative · entry 3

Fong Christian S. · CIK 0001698985 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 200

F1 · ownership.nature: The shares were purchased and are held by the reporting person's son, who may be deemed to share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his son, and this report should not be deemed an admission that the reporting person is the beneficial owner of his son's shares for purposes of Section 16 or for any other purpose.

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November 25, 2022 Filed Nov 28, 2022 13:59 UTC
Fong Christian S.Director · President
PurchaseCommon Stock 10,000 $0.93 $9,250.00
Disclosure

SEC source: 0001213900-22-075448 · ownership.xml · nonDerivative · entry 2

Fong Christian S. · CIK 0001698985 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,606,862

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November 23, 2022 Filed Nov 28, 2022 13:59 UTC
Fong Christian S.Director · President
PurchaseCommon Stock 20,000 $0.96 $19,250.00
Disclosure

SEC source: 0001213900-22-075448 · ownership.xml · nonDerivative · entry 1

Fong Christian S. · CIK 0001698985 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,596,862

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November 18, 2022 Filed Nov 21, 2022 12:03 UTC
Fong Christian S.Director · President
PurchaseCommon Stock 20,000 $1.00 $20,000.00
Disclosure

SEC source: 0001213900-22-074111 · ownership.xml · nonDerivative · entry 1

Fong Christian S. · CIK 0001698985 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,576,862

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November 15, 2022 Filed Nov 16, 2022 16:26 UTC
Tech Eric M.Director · CEO
PurchaseCommon Stock 5,000 $1.20 $5,975.00
Disclosure

SEC source: 0001213900-22-073198 · ownership.xml · nonDerivative · entry 2

Tech Eric M. · CIK 0001552112 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 15,000

F1 · ownership.nature: The shares were purchased and are held by the reporting person's daughter, who may be deemed to share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his daughter, and this report should not be deemed an admission that the reporting person is the beneficial owner of his daughter's shares for purposes of Section 16 or for any other purpose.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.