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Nasdaq · USD

TMC

TMC the metals Co Inc.

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Tapewire entity
4335
SEC CIK
0001798562
Parsed reports
178

Last 12 months

Inside the activity.

1 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202501
Jan 202600
Feb 202600
Mar 202603
Apr 202600
May 202600
Jun 202601
Jul 202610
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
March 20, 2025 Filed Mar 24, 2025 23:17 UTC
Barron GerardDirector · Chairman & CEO
GrantCommon Shares 1,598,070 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-027368 · tm2510152-2_4seq1.xml · nonDerivative · entry 2

Barron Gerard · CIK 0001878772 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,987,118

F2 · shares: Consists of RSUs. Each RSU represents the right to receive one Share upon vesting. The RSUs were granted on March 20, 2025 (the "Grant Date") as part of the Issuer's long-term incentive plan and vest, subject to continued service through the respective vesting date, over a three year period as follows: 1/3 on the first anniversary of the Grant Date, 1/3 on the second anniversary of the Grant Date and 1/3 on the third anniversary of the Grant Date.

Read SEC document
March 20, 2025 Filed Mar 24, 2025 23:17 UTC
Barron GerardDirector · Chairman & CEO
GrantCommon Shares 341,806 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-027368 · tm2510152-2_4seq1.xml · nonDerivative · entry 1

Barron Gerard · CIK 0001878772 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,389,048

F1 · shares: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one common share ("Share") upon vesting. The RSUs were granted as part of the Issuer's short-term incentive plan and vested upon issuance.

Read SEC document
March 04, 2025 Filed Mar 6, 2025 21:01 UTC
May BrendanDirector
SaleCommon Shares 8,916 $1.67 $14,889.72
Disclosure

SEC source: 0001104659-25-021355 · tm258289-1_4seq1.xml · nonDerivative · entry 1

May Brendan · CIK 0002025228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,365

F1 · kind: The sales reported in this Form 4 were effected to cover tax withholding obligations in connection with the vesting of restricted stock units that were granted to the Reporting Person on February 28, 2025 pursuant to an automatic "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.66 to $1.67 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

Read SEC document
December 30, 2024 Filed Jan 4, 2025 02:05 UTC
ILVES ErikaChief Strategy Officer
SaleCommon Shares 217,099 $1.11 $240,979.89
Disclosure

SEC source: 0001104659-25-000970 · tm251854-1_4seq1.xml · nonDerivative · entry 1

ILVES Erika · CIK 0001878778 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 998,170

Read SEC document
December 24, 2024 Filed Dec 27, 2024 20:53 UTC
May BrendanDirector
PurchaseCommon Shares 25,000 $0.87 $21,870.00
Disclosure

SEC source: 0001104659-24-132117 · tm2432146-1_4seq1.xml · nonDerivative · entry 1

May Brendan · CIK 0002025228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,040

F1 · price: The price reflects the average purchase price of the common shares purchased. These common shares were purchased in multiple transactions at prices ranging from $0.87 to $0.88 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares purchased at each price.

Read SEC document
November 27, 2024 Filed Nov 28, 2024 01:24 UTC
Shesky CraigChief Financial Officer
SaleCommon Shares 47,523 $0.85 $40,185.45
Disclosure

SEC source: 0001104659-24-123830 · tm2429783-1_4seq1.xml · nonDerivative · entry 1

Shesky Craig · CIK 0001874308 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 977,844

F1 · kind: The sales reported in this Form 4 were effected to cover tax withholding obligations in connection with the vesting of restricted stock units that were granted to the Reporting Person on November 22, 2024 pursuant to an automatic "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $0.84 to $0.87 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

Read SEC document
November 19, 2024 Filed Nov 21, 2024 23:40 UTC
Hall AndrewDirector
SaleCommon Shares 66,000 $0.93 $61,538.40
Disclosure

SEC source: 0001104659-24-121651 · tm2429221-1_4seq1.xml · nonDerivative · entry 1

Hall Andrew · CIK 0001874417 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 182,966

F1 · shares: Sales were made to cover the income tax associated with equity awards granted to the Reporting Person by the Issuer.

Read SEC document
May 31, 2024 Filed May 31, 2024 17:57 UTC
O'Sullivan AnthonyChief Development Officer
SaleCommon Shares 50,000 $1.48 $74,110.00
Disclosure

SEC source: 0001104659-24-067317 · tm2416214-1_4seq1.xml · nonDerivative · entry 3

O'Sullivan Anthony · CIK 0001874198 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 746,829

F4 · shares: Sales were made to cover the income tax associated with equity awards granted to the Reporting Person by the Issuer.

Read SEC document
May 31, 2024 Filed Jun 4, 2024 23:22 UTC
May BrendanDirector
GrantCommon Shares 68,027 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-068377 · tm2416353-6_4seq1.xml · nonDerivative · entry 2

May Brendan · CIK 0002025228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,335

F2 · shares: Pursuant to the Issuer's Nonemployee Director Compensation Policy, the Reporting Person was granted restricted stock units ("RSUs") under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the right to receive one common share upon vesting. The RSU shall vest on the date of the Issuer's 2025 annual meeting of shareholders, subject to the Reporting Person's continued service through the vesting date.

Read SEC document
May 31, 2024 Filed Jun 4, 2024 23:22 UTC
May BrendanDirector
GrantCommon Shares 68,027 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-068377 · tm2416353-6_4seq1.xml · nonDerivative · entry 1

May Brendan · CIK 0002025228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,308

F1 · shares: Pursuant to the Issuer's Nonemployee Director Compensation Policy, the Reporting Person was granted restricted stock units under the Issuer's 2021 Equity Incentive Plan, which will vest over a three year period as follows, subject to continued service through each vesting date: 1/3 on the first anniversary of May 31, 2024 (the "Grant Date"), 1/3 on the second anniversary of the Grant Date and 1/3 on the third anniversary of the Grant Date.

Read SEC document
May 31, 2024 Filed Jun 4, 2024 23:24 UTC
Karkar AndreiDirector · 10% owner
GrantCommon Shares 68,027 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-068380 · tm2416353-3_4seq1.xml · nonDerivative · entry 2

Karkar Andrei · CIK 0001874431 · Director · 10% owner

ERAS Capital LLC · CIK 0001881973 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 288,993

F2 · shares: Pursuant to the Issuer's Nonemployee Director Compensation Policy, the Reporting Person was granted RSUs under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the right to receive one common share upon vesting. The RSUs shall vest on the date of the Issuer's 2025 annual meeting of shareholders, subject to the Reporting Person's continued service through the vesting date.

Read SEC document
May 31, 2024 Filed Jun 4, 2024 23:26 UTC
Khama SheilaDirector
GrantCommon Shares 68,027 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-068381 · tm2416353-4_4seq1.xml · nonDerivative · entry 2

Khama Sheila · CIK 0001878814 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 291,493

F2 · shares: Pursuant to the Issuer's Nonemployee Director Compensation Policy, the Reporting Person was granted RSUs under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the right to receive one common share upon vesting. The RSUs shall vest on the date of the Issuer's 2025 annual meeting of shareholders, subject to the Reporting Person's continued service through the vesting date.

Read SEC document
May 31, 2024 Filed Jun 4, 2024 19:29 UTC GrantCommon Shares 68,027 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-068384 · tm2416353-8_4seq1.xml · nonDerivative · entry 2

Siamomua Amelia Kinahoi · CIK 0001878370 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 288,993

F2 · shares: Pursuant to the Issuer's Nonemployee Director Compensation Policy, the Reporting Person was granted RSUs under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the right to receive one common share upon vesting. The RSUs shall vest on the date of the Issuer's 2025 annual meeting of shareholders, subject to the Reporting Person's continued service through the vesting date.

Read SEC document
May 31, 2024 Filed Jun 4, 2024 23:24 UTC
Hall AndrewDirector
GrantCommon Shares 68,027 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-068379 · tm2416353-2_4seq1.xml · nonDerivative · entry 2

Hall Andrew · CIK 0001874417 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 316,993

F2 · shares: Pursuant to the Issuer's Nonemployee Director Compensation Policy, the Reporting Person was granted RSUs under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the right to receive one common share upon vesting. The RSUs shall vest on the date of the Issuer's 2025 annual meeting of shareholders, subject to the Reporting Person's continued service through the vesting date.

Read SEC document
May 31, 2024 Filed Jun 4, 2024 23:27 UTC GrantCommon Shares 68,027 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-068382 · tm2416353-5_4seq1.xml · nonDerivative · entry 2

Madsbjerg Christian · CIK 0001874438 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 288,993

F2 · shares: Pursuant to the Issuer's Nonemployee Director Compensation Policy, the Reporting Person was granted RSUs under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the right to receive one common share upon vesting. The RSUs shall vest on the date of the Issuer's 2025 annual meeting of shareholders, subject to the Reporting Person's continued service through the vesting date.

Read SEC document
May 31, 2024 Filed Jun 4, 2024 23:23 UTC GrantCommon Shares 68,027 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-068378 · tm2416353-1_4seq1.xml · nonDerivative · entry 2

Greig Andrew Carlyle · CIK 0001652486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,403,999

F2 · shares: Pursuant to the Issuer's Nonemployee Director Compensation Policy, the Reporting Person was granted RSUs under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the right to receive one common share upon vesting. The RSUs shall vest on the date of the Issuer's 2025 annual meeting of shareholders, subject to the Reporting Person's continued service through the vesting date.

Read SEC document
May 30, 2024 Filed May 31, 2024 17:57 UTC
O'Sullivan AnthonyChief Development Officer
SaleCommon Shares 25,000 $1.49 $37,287.50
Disclosure

SEC source: 0001104659-24-067317 · tm2416214-1_4seq1.xml · nonDerivative · entry 2

O'Sullivan Anthony · CIK 0001874198 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 796,829

F4 · shares: Sales were made to cover the income tax associated with equity awards granted to the Reporting Person by the Issuer.

F2 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.46 to $1.53 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

Read SEC document
May 29, 2024 Filed May 31, 2024 17:57 UTC
O'Sullivan AnthonyChief Development Officer
SaleCommon Shares 25,000 $1.54 $38,395.00
Disclosure

SEC source: 0001104659-24-067317 · tm2416214-1_4seq1.xml · nonDerivative · entry 1

O'Sullivan Anthony · CIK 0001874198 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 821,829

F4 · shares: Sales were made to cover the income tax associated with equity awards granted to the Reporting Person by the Issuer.

F1 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.49 to $1.595 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

Read SEC document
May 23, 2024 Filed May 23, 2024 21:45 UTC
O'Sullivan AnthonyChief Development Officer
SaleCommon Shares 25,000 $1.48 $37,000.00
Disclosure

SEC source: 0001104659-24-064842 · tm2415498-1_4seq1.xml · nonDerivative · entry 3

O'Sullivan Anthony · CIK 0001874198 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 846,829

F5 · shares: Sales were made to cover the income tax associated with the restricted stock units granted to the reporting person on March 20, 2024.

F3 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.42 to $1.525 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

Read SEC document
May 22, 2024 Filed May 23, 2024 21:45 UTC
O'Sullivan AnthonyChief Development Officer
SaleCommon Shares 25,000 $1.40 $35,110.00
Disclosure

SEC source: 0001104659-24-064842 · tm2415498-1_4seq1.xml · nonDerivative · entry 2

O'Sullivan Anthony · CIK 0001874198 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 871,829

F5 · shares: Sales were made to cover the income tax associated with the restricted stock units granted to the reporting person on March 20, 2024.

F2 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.365 to $1.44 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

Read SEC document
May 21, 2024 Filed May 23, 2024 21:45 UTC
O'Sullivan AnthonyChief Development Officer
SaleCommon Shares 50,000 $1.39 $69,740.00
Disclosure

SEC source: 0001104659-24-064842 · tm2415498-1_4seq1.xml · nonDerivative · entry 1

O'Sullivan Anthony · CIK 0001874198 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 896,829

F5 · shares: Sales were made to cover the income tax associated with the restricted stock units granted to the reporting person on March 20, 2024.

F1 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.38 to $1.42 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

Read SEC document
April 16, 2024 Filed Apr 18, 2024 14:38 UTC
Barron GerardDirector · Chief Executive Officer
GrantCommon Shares 20,000,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-048691 · tm2412111-1_4seq1.xml · nonDerivative · entry 1

Barron Gerard · CIK 0001878772 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,047,242

F1 · shares: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one common share upon vesting. The RSUs will vest based on the trailing 30-day average price of the Issuer's common shares (the "Closing Price") reaching the following prices on or prior to April 16, 2029, subject to the reporting person's continued service with the Issuer on the applicable vesting date: one-third shall vest on achievement of a Closing Price of $7.50; one-third shall vest on achievement of a Closing Price of $10.00; and one-third shall vest on achievement of a Closing Price of $12.50 (each subject to equitable adjustment for any stock splits, combinations, reclassifications, stock dividends and the like). The Reporting Person is not be permitted to sell any common shares settled upon the vesting of the RSUs until April 16, 2029.

Read SEC document
April 09, 2024 Filed Apr 11, 2024 22:17 UTC GrantStock Option (right to buy) · Derivative 3,440,000 $0.00 Strike: $1.71 $0.00
Disclosure

SEC source: 0001104659-24-046411 · tm2411656-1_4seq1.xml · derivative · entry 1

Jurvetson Stephen T · CIK 0001314917 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,440,000

Underlying: Common Shares · 3,440,000 shares

Expires 2031-04-09

F1 · derivative.exercise_date: Pursuant to the consulting agreement entered into between the Issuer and the reporting person, the reporting person was granted stock options under the Issuer's 2021 Incentive Equity Plan, which will vest over a three year period as follows, subject to continued service through each vesting date: 1/3 on the first anniversary of April 9, 2024 (the "Grant Date"), 1/3 on the second anniversary of the Grant Date and 1/3 on the third anniversary of the Grant Date. The term of the stock option is seven years from the Grant Date.

Read SEC document
March 28, 2024 Filed Apr 1, 2024 16:01 UTC
O'Sullivan AnthonyChief Development Officer
SaleCommon Shares 50,000 $1.33 $66,740.00
Disclosure

SEC source: 0001104659-24-041808 · tm2410348-1_4seq1.xml · nonDerivative · entry 1

O'Sullivan Anthony · CIK 0001874198 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 946,829

F1 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.31 to $1.365 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

Read SEC document
March 22, 2024 Filed Mar 23, 2024 01:33 UTC
Shesky CraigChief Financial Officer
SaleCommon Shares 233,424 $1.61 $375,509.19
Disclosure

SEC source: 0001104659-24-038042 · tm249615-4_4seq1.xml · nonDerivative · entry 3

Shesky Craig · CIK 0001874308 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 947,242

F3 · shares: The sales reported in this Form 4 were effected to cover tax withholding obligations in connection with the vesting of RSUs that were granted on March 20, 2023 and March 20, 2024 pursuant to an automatic "sell to cover" provision under which the Reporting Person did not have discretion included in the RSU Agreement.

F4 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.58 to $1.65 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

Read SEC document
March 20, 2024 Filed Mar 22, 2024 21:32 UTC
O'Sullivan AnthonyChief Development Officer
GrantCommon Shares 344,828 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-038041 · tm249615-3_4seq1.xml · nonDerivative · entry 2

O'Sullivan Anthony · CIK 0001874198 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 996,829

F2 · shares: The RSUs were granted as part of the Issuer's long-term incentive plan and vest over a three year period as follows, subject to continued service through each vesting date: 1/3 on the first anniversary of March 20, 2024 (the "Grant Date"), 1/3 on the second anniversary of the Grant Date and 1/3 on the third anniversary of the Grant Date.

Read SEC document
March 20, 2024 Filed Mar 22, 2024 21:32 UTC
O'Sullivan AnthonyChief Development Officer
GrantCommon Shares 139,224 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-038041 · tm249615-3_4seq1.xml · nonDerivative · entry 1

O'Sullivan Anthony · CIK 0001874198 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 652,001

F1 · shares: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one common share upon vesting. The RSUs were granted and vested upon issuance as part of the Issuer's short-term incentive plan.

Read SEC document
March 20, 2024 Filed Mar 23, 2024 01:33 UTC
Shesky CraigChief Financial Officer
GrantRestricted Stock Units · Derivative 499,505 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-038042 · tm249615-4_4seq1.xml · derivative · entry 5

Shesky Craig · CIK 0001874308 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 499,505

Underlying: Common Shares · 499,505 shares

Expires not disclosed

F5 · derivative.exercise_price: Each RSU represents the right to receive one common share upon vesting.

F7 · derivative.exercise_date: The RSUs were granted as part of the Issuer's long-term incentive plan and vest over a three year period as follows, subject to continued service through each vesting date: 1/3 on the first anniversary of March 20, 2024 (the "Grant Date"), 1/3 on the second anniversary of the Grant Date and 1/3 on the third anniversary of the Grant Date.

F7 · derivative.expiration_date: The RSUs were granted as part of the Issuer's long-term incentive plan and vest over a three year period as follows, subject to continued service through each vesting date: 1/3 on the first anniversary of March 20, 2024 (the "Grant Date"), 1/3 on the second anniversary of the Grant Date and 1/3 on the third anniversary of the Grant Date.

Read SEC document
March 20, 2024 Filed Mar 23, 2024 01:33 UTC
Shesky CraigChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 187,663 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-038042 · tm249615-4_4seq1.xml · derivative · entry 4

Shesky Craig · CIK 0001874308 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 375,324

Underlying: Common Shares · 187,663 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.

F5 · derivative.exercise_price: Each RSU represents the right to receive one common share upon vesting.

F6 · derivative.exercise_date: The RSUs were granted as part of the Issuer's long-term incentive plan and vest over a three year period as follows, subject to continued service through each vesting date: 1/3 on the first anniversary of March 20, 2023 (the "Grant Date"), 1/3 on the second anniversary of the Grant Date and 1/3 on the third anniversary of the Grant Date. 1/3 of the RSUs have granted as of the date hereof.

F6 · derivative.expiration_date: The RSUs were granted as part of the Issuer's long-term incentive plan and vest over a three year period as follows, subject to continued service through each vesting date: 1/3 on the first anniversary of March 20, 2023 (the "Grant Date"), 1/3 on the second anniversary of the Grant Date and 1/3 on the third anniversary of the Grant Date. 1/3 of the RSUs have granted as of the date hereof.

Read SEC document
March 20, 2024 Filed Mar 23, 2024 01:33 UTC
Shesky CraigChief Financial Officer
GrantCommon Shares 213,362 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-038042 · tm249615-4_4seq1.xml · nonDerivative · entry 2

Shesky Craig · CIK 0001874308 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,180,666

F2 · shares: Each RSU represents the right to receive one common share upon vesting. The RSUs were granted and vested upon issuance as part of the Issuer's short-term incentive plan.

Read SEC document
March 20, 2024 Filed Mar 23, 2024 01:33 UTC
Shesky CraigChief Financial Officer
Exercise / conversionCommon Shares 187,663 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-038042 · tm249615-4_4seq1.xml · nonDerivative · entry 1

Shesky Craig · CIK 0001874308 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 967,304

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 · shares: Consists of restricted stock units ("RSUs") that converted to common shares on a one-to-one basis. The RSUs were granted on March 20, 2023 and 1/3 vested on March 20, 2024. The remaining RSUs will vest as follows, subject to continued service through each vesting date: 1/3 of the total award on March 20, 2025 and the remaining amount on March 20, 2026.

Read SEC document
March 20, 2024 Filed Mar 23, 2024 01:30 UTC
ILVES ErikaChief Strategy Officer
GrantCommon Shares 499,505 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-038040 · tm249615-2_4seq1.xml · nonDerivative · entry 2

ILVES Erika · CIK 0001878778 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,090,099

F2 · shares: The RSUs were granted as part of the Issuer's long-term incentive plan and vest over a three year period as follows, subject to continued service through each vesting date: 1/3 on the first anniversary of March 20, 2024 (the "Grant Date"), 1/3 on the second anniversary of the Grant Date and 1/3 on the third anniversary of the Grant Date.

Read SEC document
March 20, 2024 Filed Mar 23, 2024 01:30 UTC
ILVES ErikaChief Strategy Officer
GrantCommon Shares 224,138 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-038040 · tm249615-2_4seq1.xml · nonDerivative · entry 1

ILVES Erika · CIK 0001878778 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,590,594

F1 · shares: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one common share upon vesting. The RSUs were granted and vested upon issuance as part of the Issuer's short-term incentive plan.

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March 20, 2024 Filed Mar 23, 2024 01:29 UTC
Barron GerardDirector · Chief Executive Officer
GrantCommon Shares 1,276,936 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-038039 · tm249615-1_4seq1.xml · nonDerivative · entry 2

Barron Gerard · CIK 0001878772 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,047,242

F2 · shares: The RSUs were granted as part of the Issuer's long-term incentive plan and vest over a three year period as follows, subject to continued service through each vesting date: 1/3 on the first anniversary of March 20, 2024 (the "Grant Date"), 1/3 on the second anniversary of the Grant Date and 1/3 on the third anniversary of the Grant Date.

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March 20, 2024 Filed Mar 23, 2024 01:29 UTC
Barron GerardDirector · Chief Executive Officer
GrantCommon Shares 350,690 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-038039 · tm249615-1_4seq1.xml · nonDerivative · entry 1

Barron Gerard · CIK 0001878772 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,770,306

F1 · shares: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one common share upon vesting. The RSUs were granted and vested upon issuance as part of the Issuer's short-term incentive plan.

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March 20, 2024 Filed Mar 22, 2024 21:33 UTC
Stone GregoryChief Ocean Scientist
GrantCommon Shares 12,414 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-038043 · tm249615-5_4seq1.xml · nonDerivative · entry 4

Stone Gregory · CIK 0001874441 · Chief Ocean Scientist

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 333,290

F4 · shares: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one common share upon vesting. The RSUs were granted and vested upon issuance as part of the Issuer's short-term incentive plan.

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January 30, 2024 Filed Mar 5, 2024 02:38 UTC
Karkar AndreiDirector · 10% owner
GrantClass A Warrants (right to buy) · Derivative 2,250,000 Not disclosed Strike: $3.00 Not disclosed
Disclosure

SEC source: 0001104659-24-030685 · tm247816-1_4seq1.xml · derivative · entry 3

Karkar Andrei · CIK 0001874431 · Director · 10% owner

ERAS Capital LLC · CIK 0001881973 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · ERAS Capital LLC

Disclosed balance after: 2,250,000

Underlying: Common Shares · 2,250,000 shares

Expires 2027-12-31

F1 · price: Each common share was purchased together with an accompanying Class A warrant to purchase 0.5 of a common share in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.00 per common share and accompanying warrant.

F2 · ownership.nature: The securities are held directly by ERAS Capital LLC ("ERAS"). Andrei Karkar is the managing member of ERAS and shares voting and dispositive power over and may be deemed to beneficially own such securities held by ERAS. Andrei Karkar disclaims beneficial ownership over any securities owned by ERAS other than to the extent of any pecuniary interest he may have therein.

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January 30, 2024 Filed Mar 5, 2024 02:38 UTC
Karkar AndreiDirector · 10% owner
GrantCommon Shares 4,500,000 $2.00 $9,000,000.00
Disclosure

SEC source: 0001104659-24-030685 · tm247816-1_4seq1.xml · nonDerivative · entry 1

Karkar Andrei · CIK 0001874431 · Director · 10% owner

ERAS Capital LLC · CIK 0001881973 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · ERAS Capital LLC

Disclosed balance after: 60,953,495

F1 · shares: Each common share was purchased together with an accompanying Class A warrant to purchase 0.5 of a common share in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.00 per common share and accompanying warrant.

F1 · price: Each common share was purchased together with an accompanying Class A warrant to purchase 0.5 of a common share in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.00 per common share and accompanying warrant.

F2 · ownership.nature: The securities are held directly by ERAS Capital LLC ("ERAS"). Andrei Karkar is the managing member of ERAS and shares voting and dispositive power over and may be deemed to beneficially own such securities held by ERAS. Andrei Karkar disclaims beneficial ownership over any securities owned by ERAS other than to the extent of any pecuniary interest he may have therein.

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December 22, 2023 Filed Mar 22, 2024 21:33 UTC
Stone GregoryChief Ocean Scientist
SaleCommon Shares 25,000 $1.10 $27,392.50
Disclosure

SEC source: 0001104659-24-038043 · tm249615-5_4seq1.xml · nonDerivative · entry 3

Stone Gregory · CIK 0001874441 · Chief Ocean Scientist

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 320,876

F3 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.09 to $1.115 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

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December 04, 2023 Filed Mar 22, 2024 21:33 UTC
Stone GregoryChief Ocean Scientist
SaleCommon Shares 25,000 $1.16 $29,060.00
Disclosure

SEC source: 0001104659-24-038043 · tm249615-5_4seq1.xml · nonDerivative · entry 2

Stone Gregory · CIK 0001874441 · Chief Ocean Scientist

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 345,876

F2 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.15 to $1.17 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

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November 27, 2023 Filed Nov 28, 2023 01:50 UTC
Shesky CraigChief Financial Officer
SaleCommon Shares 31,057 $1.26 $39,035.54
Disclosure

SEC source: 0001104659-23-121362 · tm2331337-2_4seq1.xml · nonDerivative · entry 1

Shesky Craig · CIK 0001874308 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 779,641

F1 · kind: The sales reported in this Form 4 were effected to cover tax withholding obligations in connection with the vesting of restricted stock units that were granted to the Reporting Person on November 22, 2021 pursuant to an automatic "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.25 to $1.28 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

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November 27, 2023 Filed Nov 29, 2023 16:02 UTC
O'Sullivan AnthonyChief Development Officer
SaleCommon Shares 50,000 $1.38 $69,000.00
Disclosure

SEC source: 0001104659-23-122023 · tm2331337-3_4seq1.xml · nonDerivative · entry 2

O'Sullivan Anthony · CIK 0001874198 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · JOZEM Pty Ltd., Trustee of the O'Sullivan Family Trust No. 1

Disclosed balance after: 385,110

F1 · ownership.nature: The Reporting Person is the sole director of JOZEM Pty Ltd., which is the trustee of The O'Sullivan Family Trust No. 1.

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November 20, 2023 Filed Nov 22, 2023 16:02 UTC
Stone GregoryChief Ocean Scientist
SaleCommon Shares 25,000 $1.06 $26,425.00
Disclosure

SEC source: 0001104659-23-120730 · tm2331337d1_4seq1.xml · nonDerivative · entry 1

Stone Gregory · CIK 0001874441 · Chief Ocean Scientist

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 385,365

F1 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.05 to $1.08 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

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September 28, 2023 Filed Mar 22, 2024 21:33 UTC
Stone GregoryChief Ocean Scientist
SaleCommon Shares 14,489 $1.00 $14,526.67
Disclosure

SEC source: 0001104659-24-038043 · tm249615-5_4seq1.xml · nonDerivative · entry 1

Stone Gregory · CIK 0001874441 · Chief Ocean Scientist

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 370,876

F1 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at various prices. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

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September 27, 2023 Filed Sep 28, 2023 21:55 UTC
Stone GregoryChief Ocean Scientist
SaleCommon Shares 10,511 $1.00 $10,522.56
Disclosure

SEC source: 0001104659-23-104889 · tm2327170-2_4seq1.xml · nonDerivative · entry 1

Stone Gregory · CIK 0001874441 · Chief Ocean Scientist

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 410,365

F1 · price: The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $1.00 to $1.01 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

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September 26, 2023 Filed Sep 28, 2023 21:52 UTC
O'Sullivan AnthonyChief Development Officer
SaleCommon Shares 140,000 $1.02 $142,128.00
Disclosure

SEC source: 0001104659-23-104888 · tm2327170-1_4seq1.xml · nonDerivative · entry 2

O'Sullivan Anthony · CIK 0001874198 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · JOZEM Pty Ltd., Trustee of the O'Sullivan Family Trust No. 1

Disclosed balance after: 435,110

F1 · price: The price reflects the average selling price of the common shares sold. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.

F2 · ownership.nature: The Reporting Person is the sole director of JOZEM Pty Ltd., which is the trustee of The O'Sullivan Family Trust No. 1.

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August 16, 2023 Filed Aug 18, 2023 20:04 UTC
Shesky CraigChief Financial Officer
GrantClass A Warrants (right to buy) · Derivative 13,750 Not disclosed Strike: $3.00 Not disclosed
Disclosure

SEC source: 0001104659-23-093473 · tm2324107-3_4seq1.xml · derivative · entry 2

Shesky Craig · CIK 0001874308 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,750

Underlying: Common Shares · 13,750 shares

Expires 2027-12-31

F1 · price: Each common share was purchased together with an accompanying Class A Warrant to purchase 0.5 of a common share in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.00 per common share and accompanying warrant.

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August 16, 2023 Filed Aug 18, 2023 20:04 UTC
Shesky CraigChief Financial Officer
GrantCommon Shares 27,500 $2.00 $55,000.00
Disclosure

SEC source: 0001104659-23-093473 · tm2324107-3_4seq1.xml · nonDerivative · entry 1

Shesky Craig · CIK 0001874308 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 810,698

F1 · shares: Each common share was purchased together with an accompanying Class A Warrant to purchase 0.5 of a common share in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.00 per common share and accompanying warrant.

F1 · price: Each common share was purchased together with an accompanying Class A Warrant to purchase 0.5 of a common share in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.00 per common share and accompanying warrant.

Read SEC document
August 16, 2023 Filed Aug 18, 2023 20:03 UTC
Karkar AndreiDirector · 10% owner
ERAS Capital LLCDirector · 10% owner
GrantClass A Warrants (right to buy) · Derivative 250,000 Not disclosed Strike: $3.00 Not disclosed
Disclosure

SEC source: 0001104659-23-093471 · tm2324107-2_4seq1.xml · derivative · entry 3

Karkar Andrei · CIK 0001874431 · Director · 10% owner

ERAS Capital LLC · CIK 0001881973 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · ERAS Capital LLC

Disclosed balance after: 250,000

Underlying: Common Shares · 250,000 shares

Expires 2027-12-31

F1 · price: Each common share was purchased together with an accompanying Class A warrant to purchase 0.5 of a common share in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.00 per common share and accompanying warrant. The Reporting Person has also agreed to purchase an additional 4,500,000 common shares and 2,250,000 Class A warrants in two closings on or before January 31, 2024.

F2 · ownership.nature: The securities are held directly by ERAS Capital LLC ("ERAS"). Andrei Karkar is the managing member of ERAS and shares voting and dispositive power over and may be deemed to beneficially own such securities held by ERAS. Andrei Karkar disclaims beneficial ownership over any securities owned by ERAS other than to the extent of any pecuniary interest he may have therein.

Read SEC document
August 16, 2023 Filed Aug 18, 2023 20:03 UTC
Karkar AndreiDirector · 10% owner
ERAS Capital LLCDirector · 10% owner
GrantCommon Shares 500,000 $2.00 $1,000,000.00
Disclosure

SEC source: 0001104659-23-093471 · tm2324107-2_4seq1.xml · nonDerivative · entry 1

Karkar Andrei · CIK 0001874431 · Director · 10% owner

ERAS Capital LLC · CIK 0001881973 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · ERAS Capital LLC

Disclosed balance after: 56,453,495

F1 · shares: Each common share was purchased together with an accompanying Class A warrant to purchase 0.5 of a common share in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.00 per common share and accompanying warrant. The Reporting Person has also agreed to purchase an additional 4,500,000 common shares and 2,250,000 Class A warrants in two closings on or before January 31, 2024.

F1 · price: Each common share was purchased together with an accompanying Class A warrant to purchase 0.5 of a common share in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.00 per common share and accompanying warrant. The Reporting Person has also agreed to purchase an additional 4,500,000 common shares and 2,250,000 Class A warrants in two closings on or before January 31, 2024.

F2 · ownership.nature: The securities are held directly by ERAS Capital LLC ("ERAS"). Andrei Karkar is the managing member of ERAS and shares voting and dispositive power over and may be deemed to beneficially own such securities held by ERAS. Andrei Karkar disclaims beneficial ownership over any securities owned by ERAS other than to the extent of any pecuniary interest he may have therein.

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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.