Tapewire

Nasdaq · USD

SUNE

SUNation Energy, Inc.

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Tapewire entity
7787
SEC CIK
0000022701
Parsed reports
192

Last 12 months

Inside the activity.

2 purchase rows · 0 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 202620
May 202600
Jun 202600
Jul 202600
Aug 202600
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 09, 2019 Filed Dec 11, 2019 21:52 UTC Tax withholdingCommon Stock 4,730 $8.35 $39,495.50
Disclosure

SEC source: 0001615594-19-000050 · primary_doc.xml · nonDerivative · entry 3

SAMPSON RANDALL D · CIK 0001042527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,431

Read SEC document
December 09, 2019 Filed Dec 11, 2019 21:52 UTC Exercise / conversionCommon Stock 10,000 $3.95 $39,500.00
Disclosure

SEC source: 0001615594-19-000050 · primary_doc.xml · nonDerivative · entry 2

SAMPSON RANDALL D · CIK 0001042527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,161

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
November 05, 2019 Filed Nov 6, 2019 16:04 UTC Exercise / conversionStock Option (Right-to-Buy) · Derivative 6,600 $0.00 Strike: $4.40 $0.00
Disclosure

SEC source: 0001615594-19-000042 · primary_doc.xml · derivative · entry 5

Fandrich Mark · CIK 0001683065 · VP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,600 shares

Expires 2024-03-31

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
November 05, 2019 Filed Nov 6, 2019 16:04 UTC SaleCommon Stock 1,702.87 $5.93 $10,098.02
Disclosure

SEC source: 0001615594-19-000042 · primary_doc.xml · nonDerivative · entry 4

Fandrich Mark · CIK 0001683065 · VP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,323

F2 · kind: Shares have been surrendered pursuant to the Company's Stock Repurchase Program.

Read SEC document
November 05, 2019 Filed Nov 6, 2019 16:04 UTC Tax withholdingCommon Stock 4,897.13 $5.93 $29,039.98
Disclosure

SEC source: 0001615594-19-000042 · primary_doc.xml · nonDerivative · entry 3

Fandrich Mark · CIK 0001683065 · VP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,025.87

Read SEC document
November 05, 2019 Filed Nov 6, 2019 16:04 UTC Exercise / conversionCommon Stock 6,600 $4.40 $29,040.00
Disclosure

SEC source: 0001615594-19-000042 · primary_doc.xml · nonDerivative · entry 2

Fandrich Mark · CIK 0001683065 · VP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,923

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
November 01, 2019 Filed Nov 5, 2019 19:05 UTC
Hlavka KristinController
Exercise / conversionStock Option (Right-to-Buy) · Derivative 2,464 $0.00 Strike: $3.61 $0.00
Disclosure

SEC source: 0001615594-19-000041 · primary_doc.xml · derivative · entry 7

Hlavka Kristin · CIK 0001523124 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,464 shares

Expires 2025-03-09

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
November 01, 2019 Filed Nov 5, 2019 19:05 UTC
Hlavka KristinController
Exercise / conversionStock Option (Right-to-Buy) · Derivative 4,785 $0.00 Strike: $4.40 $0.00
Disclosure

SEC source: 0001615594-19-000041 · primary_doc.xml · derivative · entry 6

Hlavka Kristin · CIK 0001523124 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,785 shares

Expires 2024-03-31

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
November 01, 2019 Filed Nov 5, 2019 19:05 UTC
Hlavka KristinController
SaleCommon Stock 2,472.44 $6.27 $15,502.20
Disclosure

SEC source: 0001615594-19-000041 · primary_doc.xml · nonDerivative · entry 5

Hlavka Kristin · CIK 0001523124 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,856

F2 · kind: Shares have been surrendered pursuant to Company's Stock Repurchase Program.

Read SEC document
November 01, 2019 Filed Nov 5, 2019 19:05 UTC
Hlavka KristinController
Tax withholdingCommon Stock 1,418.67 $6.27 $8,895.06
Disclosure

SEC source: 0001615594-19-000041 · primary_doc.xml · nonDerivative · entry 4

Hlavka Kristin · CIK 0001523124 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,328.44

Read SEC document
November 01, 2019 Filed Nov 5, 2019 19:05 UTC
Hlavka KristinController
Exercise / conversionCommon Stock 2,464 $3.61 $8,895.04
Disclosure

SEC source: 0001615594-19-000041 · primary_doc.xml · nonDerivative · entry 3

Hlavka Kristin · CIK 0001523124 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,747.11

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
November 01, 2019 Filed Nov 5, 2019 19:05 UTC
Hlavka KristinController
Tax withholdingCommon Stock 3,357.89 $6.27 $21,053.97
Disclosure

SEC source: 0001615594-19-000041 · primary_doc.xml · nonDerivative · entry 2

Hlavka Kristin · CIK 0001523124 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,283.11

Read SEC document
November 01, 2019 Filed Nov 5, 2019 19:05 UTC
Hlavka KristinController
Exercise / conversionCommon Stock 4,785 $4.40 $21,054.00
Disclosure

SEC source: 0001615594-19-000041 · primary_doc.xml · nonDerivative · entry 1

Hlavka Kristin · CIK 0001523124 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,641

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 · balance_after: Reflects Employee Stock Purchase Plan issuances through November 1, 2019.

Read SEC document
November 01, 2019 Filed Nov 5, 2019 18:52 UTC Exercise / conversionStock Option (Right-to-Buy) · Derivative 5,470 $0.00 Strike: $3.61 $0.00
Disclosure

SEC source: 0001615594-19-000040 · primary_doc.xml · derivative · entry 7

FLUEGGE SCOTT · CIK 0001550300 · GM/VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,470 shares

Expires 2025-03-09

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
November 01, 2019 Filed Nov 5, 2019 18:52 UTC Exercise / conversionStock Option (Right-to-Buy) · Derivative 10,622 $0.00 Strike: $4.40 $0.00
Disclosure

SEC source: 0001615594-19-000040 · primary_doc.xml · derivative · entry 6

FLUEGGE SCOTT · CIK 0001550300 · GM/VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,622 shares

Expires 2024-03-31

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
November 01, 2019 Filed Nov 5, 2019 18:52 UTC SaleCommon Stock 5,488.58 $6.27 $34,413.40
Disclosure

SEC source: 0001615594-19-000040 · primary_doc.xml · nonDerivative · entry 5

FLUEGGE SCOTT · CIK 0001550300 · GM/VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,621

F2 · kind: Shares have been surrendered pursuant to the Company's Stock Repurchase Program.

Read SEC document
November 01, 2019 Filed Nov 5, 2019 18:52 UTC Tax withholdingCommon Stock 3,149.39 $6.27 $19,746.68
Disclosure

SEC source: 0001615594-19-000040 · primary_doc.xml · nonDerivative · entry 4

FLUEGGE SCOTT · CIK 0001550300 · GM/VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,109.58

Read SEC document
November 01, 2019 Filed Nov 5, 2019 18:52 UTC Exercise / conversionCommon Stock 5,470 $3.61 $19,746.70
Disclosure

SEC source: 0001615594-19-000040 · primary_doc.xml · nonDerivative · entry 3

FLUEGGE SCOTT · CIK 0001550300 · GM/VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,258.97

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
November 01, 2019 Filed Nov 5, 2019 18:52 UTC Tax withholdingCommon Stock 7,454.03 $6.27 $46,736.77
Disclosure

SEC source: 0001615594-19-000040 · primary_doc.xml · nonDerivative · entry 2

FLUEGGE SCOTT · CIK 0001550300 · GM/VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,788.97

Read SEC document
November 01, 2019 Filed Nov 5, 2019 18:52 UTC Exercise / conversionCommon Stock 10,622 $4.40 $46,736.80
Disclosure

SEC source: 0001615594-19-000040 · primary_doc.xml · nonDerivative · entry 1

FLUEGGE SCOTT · CIK 0001550300 · GM/VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,243

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 · balance_after: Reflects Employee Stock Purchase Plan issuances through November 1, 2019.

Read SEC document
October 22, 2019 Filed Nov 6, 2019 16:04 UTC GrantCommon Stock 386 $3.88 $1,497.68
Disclosure

SEC source: 0001615594-19-000042 · primary_doc.xml · nonDerivative · entry 1

Fandrich Mark · CIK 0001683065 · VP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,323

F1 · kind: Shares were acquired under the Company's Employee Stock Purchase Plan in a transaction exempt under both Rule 16b-3(d) and Rule 16b-3(c).

Read SEC document
September 10, 2019 Filed Sep 12, 2019 13:29 UTC PurchaseCommon Stock 200 $4.95 $990.60
Disclosure

SEC source: 0001615594-19-000033 · primary_doc.xml · nonDerivative · entry 1

Lacey Roger HD · CIK 0001469238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,768.443

F1 · balance_after: Reflects all Employee Stock Purchase Plan and shares purchased through a broker-sponsored Dividend Reinvestment Plan through September 10, 2019.

Read SEC document
August 20, 2019 Filed Aug 22, 2019 14:14 UTC PurchaseCommon Stock 200 $4.25 $850.00
Disclosure

SEC source: 0001615594-19-000032 · primary_doc.xml · nonDerivative · entry 2

Fandrich Mark · CIK 0001683065 · VP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,253

F1 · balance_after: Reflects all Employee Stock Purchase Plan issuances as of August 20, 2019.

Read SEC document
August 20, 2019 Filed Aug 22, 2019 14:14 UTC PurchaseCommon Stock 50 $4.28 $214.00
Disclosure

SEC source: 0001615594-19-000032 · primary_doc.xml · nonDerivative · entry 1

Fandrich Mark · CIK 0001683065 · VP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,053

Read SEC document
May 28, 2019 Filed May 29, 2019 18:37 UTC PurchaseCommon Stock 621 $2.82 $1,751.22
Disclosure

SEC source: 0001615594-19-000019 · primary_doc.xml · nonDerivative · entry 4

Webster Steven · CIK 0001708044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Read SEC document
May 28, 2019 Filed May 29, 2019 18:37 UTC PurchaseCommon Stock 2,000 $2.82 $5,632.00
Disclosure

SEC source: 0001615594-19-000019 · primary_doc.xml · nonDerivative · entry 3

Webster Steven · CIK 0001708044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,379

Read SEC document
May 28, 2019 Filed May 29, 2019 18:37 UTC PurchaseCommon Stock 1,979 $2,809.00 $5,559,011.00
Disclosure

SEC source: 0001615594-19-000019 · primary_doc.xml · nonDerivative · entry 2

Webster Steven · CIK 0001708044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,379

Read SEC document
May 28, 2019 Filed May 29, 2019 18:37 UTC PurchaseCommon Stock 400 $2.81 $1,122.00
Disclosure

SEC source: 0001615594-19-000019 · primary_doc.xml · nonDerivative · entry 1

Webster Steven · CIK 0001708044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400

Read SEC document
May 22, 2019 Filed May 23, 2019 20:01 UTC GrantStock Option (Right-to-Buy) · Derivative 12,500 $0.00 Strike: $2.74 $0.00
Disclosure

SEC source: 0001615594-19-000018 · primary_doc.xml · derivative · entry 2

Webster Steven · CIK 0001708044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2026-05-22

Read SEC document
May 22, 2019 Filed May 23, 2019 19:51 UTC GrantStock Option (Right-to-Buy) · Derivative 12,500 $0.00 Strike: $2.74 $0.00
Disclosure

SEC source: 0001615594-19-000016 · primary_doc.xml · derivative · entry 4

SAMPSON CURTIS A · CIK 0000941310 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2026-05-22

Read SEC document
May 22, 2019 Filed May 23, 2019 19:56 UTC GrantStock Option (Right-to-Buy) · Derivative 12,500 $0.00 Strike: $2.74 $0.00
Disclosure

SEC source: 0001615594-19-000017 · primary_doc.xml · derivative · entry 3

SAMPSON RANDALL D · CIK 0001042527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2026-05-22

Read SEC document
May 22, 2019 Filed May 23, 2019 19:44 UTC GrantStock Option (Right-to-Buy) · Derivative 12,500 $0.00 Strike: $2.74 $0.00
Disclosure

SEC source: 0001615594-19-000015 · primary_doc.xml · derivative · entry 2

PRIMUTH RICHARD A · CIK 0001013832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2026-05-22

Read SEC document
March 28, 2019 Filed Apr 1, 2019 16:39 UTC
OTIS SCOTT GREGORYGM/VP Transition Networks
GrantRestricted Stock Units · Derivative 18,158 $0.00 $0.00
Disclosure

SEC source: 0001615594-19-000008 · primary_doc.xml · derivative · entry 4

OTIS SCOTT GREGORY · CIK 0001586053 · GM/VP Transition Networks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,158

Underlying: Common Stock · 18,158 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of CSI Common Stock.

F5 · derivative.exercise_date: The Restricted Stock Units vest as to 1/3 of the shares on each of the first three anniversaries of the date of grant.

F5 · derivative.expiration_date: The Restricted Stock Units vest as to 1/3 of the shares on each of the first three anniversaries of the date of grant.

Read SEC document
March 28, 2019 Filed Apr 1, 2019 16:39 UTC
OTIS SCOTT GREGORYGM/VP Transition Networks
GrantStock Option (Right-to-Buy) · Derivative 9,914 $0.00 Strike: $2.64 $0.00
Disclosure

SEC source: 0001615594-19-000008 · primary_doc.xml · derivative · entry 3

OTIS SCOTT GREGORY · CIK 0001586053 · GM/VP Transition Networks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,914

Underlying: Common Stock · 9.914 shares

Expires 2026-03-28

F3 · derivative.exercise_date: Option vests as to 25% on each of the first four anniversaries of the date of grant.

Read SEC document
March 28, 2019 Filed Apr 1, 2019 16:29 UTC GrantRestricted Stock Units · Derivative 13,736 $0.00 $0.00
Disclosure

SEC source: 0001615594-19-000007 · primary_doc.xml · derivative · entry 4

Lacey Roger HD · CIK 0001469238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,736

Underlying: Common Stock · 13,736 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of CSI Common Stock.

F5 · derivative.exercise_date: The Restricted Stock Units vest as to 1/3 of the shares on each of the first three anniversaries of the date of grant.

F5 · derivative.expiration_date: The Restricted Stock Units vest as to 1/3 of the shares on each of the first three anniversaries of the date of grant.

Read SEC document
March 28, 2019 Filed Apr 1, 2019 16:29 UTC GrantStock Option (Right-to-Buy) · Derivative 7,500 $0.00 Strike: $2.64 $0.00
Disclosure

SEC source: 0001615594-19-000007 · primary_doc.xml · derivative · entry 3

Lacey Roger HD · CIK 0001469238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2026-03-28

F3 · derivative.exercise_date: Option vests as to 25% on each of the first four anniversaries of the date of grant.

Read SEC document
March 28, 2019 Filed Apr 1, 2019 16:17 UTC
Hlavka KristinController
GrantRestricted Stock Units · Derivative 7,222 $0.00 $0.00
Disclosure

SEC source: 0001615594-19-000006 · primary_doc.xml · derivative · entry 4

Hlavka Kristin · CIK 0001523124 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,222

Underlying: Common Stock · 7,222 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of CSI Common Stock.

F5 · derivative.exercise_date: The Restricted Stock Units vest as to 1/3 of the shares on each of the first three anniversaries of the date of grant.

F5 · derivative.expiration_date: The Restricted Stock Units vest as to 1/3 of the shares on each of the first three anniversaries of the date of grant.

Read SEC document
March 28, 2019 Filed Apr 1, 2019 16:17 UTC
Hlavka KristinController
GrantStock Option (Right-to-Buy) · Derivative 3,943 $0.00 Strike: $2.64 $0.00
Disclosure

SEC source: 0001615594-19-000006 · primary_doc.xml · derivative · entry 3

Hlavka Kristin · CIK 0001523124 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,943

Underlying: Common Stock · 3,943 shares

Expires 2026-03-28

F3 · derivative.exercise_date: Option vests as to 25% on each of the first four anniversaries of the date of grant.

Read SEC document
March 28, 2019 Filed Apr 1, 2019 16:05 UTC GrantRestricted Stock Units · Derivative 16,029 $0.00 $0.00
Disclosure

SEC source: 0001615594-19-000005 · primary_doc.xml · derivative · entry 4

FLUEGGE SCOTT · CIK 0001550300 · GM/VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,029

Underlying: Common Stock · 16,029 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of CSI Common Stock.

F5 · derivative.exercise_date: The Restricted Stock Units vest as to 1/3 of the shares on each of the first three anniversaries of the date of grant.

F5 · derivative.expiration_date: The Restricted Stock Units vest as to 1/3 of the shares on each of the first three anniversaries of the date of grant.

Read SEC document
March 28, 2019 Filed Apr 1, 2019 16:05 UTC GrantStock Option (Right-to-Buy) · Derivative 8,752 $0.00 Strike: $2.64 $0.00
Disclosure

SEC source: 0001615594-19-000005 · primary_doc.xml · derivative · entry 3

FLUEGGE SCOTT · CIK 0001550300 · GM/VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,752

Underlying: Common Stock · 8,752 shares

Expires 2026-03-28

F3 · derivative.exercise_date: Option vests as to 25% on each of the first four anniversaries of the date of grant.

Read SEC document
March 28, 2019 Filed Apr 1, 2019 15:53 UTC GrantRestricted Stock Units · Derivative 23,187 $0.00 $0.00
Disclosure

SEC source: 0001615594-19-000004 · primary_doc.xml · derivative · entry 4

Fandrich Mark · CIK 0001683065 · VP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,187

Underlying: Common Stock · 23,187 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of CSI Common Stock.

F5 · derivative.exercise_date: The Restricted Stock Units vest as to 1/3 of the shares on each of the first three anniversaries of the date of grant.

F5 · derivative.expiration_date: The Restricted Stock Units vest as to 1/3 of the shares on each of the first three anniversaries of the date of grant.

Read SEC document
March 28, 2019 Filed Apr 1, 2019 15:53 UTC GrantStock Option (Right-to-Buy) · Derivative 12,660 $0.00 Strike: $2.64 $0.00
Disclosure

SEC source: 0001615594-19-000004 · primary_doc.xml · derivative · entry 3

Fandrich Mark · CIK 0001683065 · VP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,660

Underlying: Common Stock · 12,660 shares

Expires 2026-03-28

F3 · derivative.exercise_date: Option vests as to 25% on each of the first four anniversaries of the date of grant.

Read SEC document
December 14, 2018 Filed Dec 14, 2018 19:29 UTC PurchaseCommon Stock 500 $2.44 $1,218.65
Disclosure

SEC source: 0001615594-18-000061 · primary_doc.xml · nonDerivative · entry 2

Fandrich Mark · CIK 0001683065 · VP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,325

Read SEC document
December 14, 2018 Filed Dec 14, 2018 19:29 UTC PurchaseCommon Stock 500 $2.50 $1,249.30
Disclosure

SEC source: 0001615594-18-000061 · primary_doc.xml · nonDerivative · entry 1

Fandrich Mark · CIK 0001683065 · VP/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,825

F1 · balance_after: Reflects all Employee Stock Purchase Plan issues through December 13, 2018.

Read SEC document
December 13, 2018 Filed Dec 14, 2018 19:12 UTC PurchaseCommon Stock 2,500 $2.59 $6,480.00
Disclosure

SEC source: 0001615594-18-000059 · primary_doc.xml · nonDerivative · entry 1

PRIMUTH RICHARD A · CIK 0001013832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,129

Read SEC document
December 12, 2018 Filed Dec 14, 2018 19:19 UTC GrantStock Option (Right-to-Buy) · Derivative 2,500 $0.00 Strike: $2.55 $0.00
Disclosure

SEC source: 0001615594-18-000060 · primary_doc.xml · derivative · entry 2

Lacey Roger HD · CIK 0001469238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2025-12-12

Read SEC document
December 12, 2018 Filed Dec 14, 2018 19:12 UTC GrantStock Option (Right-to-Buy) · Derivative 2,500 $0.00 Strike: $2.55 $0.00
Disclosure

SEC source: 0001615594-18-000059 · primary_doc.xml · derivative · entry 2

PRIMUTH RICHARD A · CIK 0001013832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2025-12-12

Read SEC document
December 12, 2018 Filed Dec 14, 2018 19:07 UTC GrantStock Option (Right-to-Buy) · Derivative 2,500 $0.00 Strike: $2.55 $0.00
Disclosure

SEC source: 0001615594-18-000058 · primary_doc.xml · derivative · entry 6

SAMPSON CURTIS A · CIK 0000941310 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2025-12-12

Read SEC document
December 12, 2018 Filed Dec 14, 2018 19:07 UTC PurchaseCommon Stock 10,000 $2.93 $29,252.00
Disclosure

SEC source: 0001615594-18-000058 · primary_doc.xml · nonDerivative · entry 3

SAMPSON CURTIS A · CIK 0000941310 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 682,349

Read SEC document
December 12, 2018 Filed Dec 14, 2018 19:07 UTC PurchaseCommon Stock 10,000 $2.63 $26,322.00
Disclosure

SEC source: 0001615594-18-000058 · primary_doc.xml · nonDerivative · entry 2

SAMPSON CURTIS A · CIK 0000941310 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 672,349

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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.