Tapewire

OTC · USD

TRCK

Track Group, Inc.

Export transactions ↓
Tapewire entity
7533
SEC CIK
0001045942
Parsed reports
60

Last 12 months

Inside the activity.

1 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 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202610
Oct 202600

Latest available

Insider transactions

JSON API
Reset

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
September 30, 2026 Filed Oct 2, 2026 00:34 UTC PurchaseCommon Stock, par value $0.0001 per share 384,021 $0.60 $230,412.60
Disclosure

SEC source: 0000921895-26-002696 · form408569060_10012026.xml · nonDerivative · entry 1

JCP Investment Management, LLC · CIK 0001461945 · 10% owner

JCP Investment Partnership, LP · CIK 0001461946 · 10% owner

JCP Investment Partners, LP · CIK 0001461947 · 10% owner

JCP Investment Holdings, LLC · CIK 0001461948 · 10% owner

Pappas James C · CIK 0001462171 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By: Managed Accounts of JCP Investment Management, LLC

Disclosed balance after: 1,937,302

F1 · security: This Form 4 is filed jointly by JCP Investment Partnership, LP ("JCP Partnership"), JCP Investment Partners, LP ("JCP Partners"), JCP Investment Holdings, LLC ("JCP Holdings"), JCP Investment Management, LLC ("JCP Management") and James C. Pappas (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F3 · shares: On September 30, 2026, JCP Management, on behalf of a JCP Account, entered into a securities purchase agreement pursuant to which it agreed to purchase certain securities of the Issuer. This transaction is expected to close in the near future.

F2 · ownership.nature: Represents securities of the Issuer held in certain accounts managed by JCP Management (the "JCP Accounts"). JCP Management, as the investment manager of the JCP Accounts, may be deemed to beneficially own the securities held in the JCP Accounts. Mr. Pappas, as the managing member of JCP Management, may be deemed to beneficially own the securities held in the JCP Accounts.

Read SEC document
August 21, 2026 Filed Sep 14, 2026 20:19 UTC Amendment
Swando Matthew J.CHIEF REVENUE OFFICER
GrantCommon Stock 897,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001932878-26-000004 · form4a-09142026_080926.xml · nonDerivative · entry 1

Swando Matthew J. · CIK 0001932878 · CHIEF REVENUE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,102,840

F1 · shares: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

F2 · shares: This amendment to the Form 4 originally filed on August 24, 2026 is being filed solely to correct the number of shares of restricted stock granted to the reporting person.

F1 · price: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

Read SEC document
August 21, 2026 Filed Sep 14, 2026 20:17 UTC Amendment
Cassell DerekDirector · CHIEF EXECUTIVE OFFICER
GrantCommon Stock 1,002,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001727227-26-000006 · form4a-09142026_080928.xml · nonDerivative · entry 1

Cassell Derek · CIK 0001727227 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,619,209

F1 · shares: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

F2 · shares: This amendment to the Form 4 originally filed on August 24, 2026 is being filed solely to correct the number of shares of restricted stock granted to the reporting person.

F1 · price: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

Read SEC document
August 21, 2026 Filed Aug 24, 2026 16:42 UTC
Gigler Arthur JacobChief Marketing Officer
GrantCommon Stock 323,000 Not disclosed Not disclosed
Disclosure

SEC source: 0002048260-26-000002 · form4-08242026_040855.xml · nonDerivative · entry 1

Gigler Arthur Jacob · CIK 0002048260 · Chief Marketing Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 423,000

F1 · shares: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

F1 · price: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

Read SEC document
August 21, 2026 Filed Aug 24, 2026 16:41 UTC
Swando Matthew J.CHIEF REVENUE OFFICER
GrantCommon Stock 515,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001932878-26-000002 · form4-08242026_040854.xml · nonDerivative · entry 1

Swando Matthew J. · CIK 0001932878 · CHIEF REVENUE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 720,340

F1 · shares: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

F1 · price: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

Read SEC document
August 21, 2026 Filed Aug 24, 2026 16:40 UTC
Hardy TimothyChief Information Officer
GrantCommon Stock 263,500 Not disclosed Not disclosed
Disclosure

SEC source: 0002049774-26-000004 · form4-08242026_040845.xml · nonDerivative · entry 1

Hardy Timothy · CIK 0002049774 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 323,500

F1 · shares: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

F1 · price: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

Read SEC document
August 21, 2026 Filed Aug 24, 2026 16:39 UTC GrantCommon Stock 325,000 $0.00 $0.00
Disclosure

SEC source: 0002131529-26-000004 · form4-08242026_040840.xml · nonDerivative · entry 1

Sullivan John Richmond · CIK 0002131529 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

F1 · shares: Represents an award of restricted stock, of which 65,000 shares vest on each of April 30, 2027, April 30, 2028, April 30, 2029, April 30, 2030 and April 30, 2031.

Read SEC document
August 21, 2026 Filed Aug 24, 2026 16:38 UTC GrantCommon Stock 325,000 $0.00 $0.00
Disclosure

SEC source: 0002130454-26-000004 · form4-08242026_040802.xml · nonDerivative · entry 1

Saour Jacob James · CIK 0002130454 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

F1 · shares: Represents an award of restricted stock, of which 65,000 shares vest on each of April 30, 2027, April 30, 2028, April 30, 2029, April 30, 2030 and April 30, 2031.

Read SEC document
August 21, 2026 Filed Aug 24, 2026 16:36 UTC
Smith Denver JohnsonDirector · 10% owner
GrantCommon Stock 325,000 $0.00 $0.00
Disclosure

SEC source: 0001705119-26-000009 · form4-08242026_040842.xml · nonDerivative · entry 1

Smith Denver Johnson · CIK 0001705119 · Director · 10% owner

CRC Founders Fund, LP · CIK 0001675729 · 10% owner

Carlson Ridge Capital, LLC · CIK 0002124395 · 10% owner

Carlson Ridge Capital GP, LLC · CIK 0002124379 · 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: 325,000

F1 · security: This Form 4 is filed jointly by CRC Founders Fund, LP ("CRC Founders"), Carlson Ridge Capital, LLC ("Carlson Ridge Capital"), Carlson Ridge Capital GP, LLC ("Carlson Ridge GP") and Denver J. Smith (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Mr. Smith is also a director of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · shares: Represents an award of restricted stock, of which 65,000 shares vest on each of April 30, 2027, April 30, 2028, April 30, 2029, April 30, 2030 and April 30, 2031.

Read SEC document
August 21, 2026 Filed Aug 24, 2026 16:35 UTC
Smith Denver JohnsonDirector · 10% owner
GrantCommon Stock 325,000 $0.00 $0.00
Disclosure

SEC source: 0001705119-26-000007 · form4-08242026_040853.xml · nonDerivative · entry 1

Smith Denver Johnson · CIK 0001705119 · Director · 10% owner

CRC Founders Fund, LP · CIK 0001675729 · 10% owner

Carlson Ridge Capital, LLC · CIK 0002124395 · 10% owner

Carlson Ridge Capital GP, LLC · CIK 0002124379 · 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: 325,000

F1 · security: This Form 4 is filed jointly by CRC Founders Fund, LP ("CRC Founders"), Carlson Ridge Capital, LLC ("Carlson Ridge Capital"), Carlson Ridge Capital GP, LLC ("Carlson Ridge GP") and Denver J. Smith (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Mr. Smith is also a director of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · shares: Represents an award of restricted stock, of which 65,000 shares vest on each of April 30, 2027, April 30, 2028, April 30, 2029, April 30, 2030 and April 30, 2031.

Read SEC document
August 21, 2026 Filed Aug 24, 2026 16:34 UTC GrantCommon Stock 325,000 $0.00 $0.00
Disclosure

SEC source: 0002130557-26-000004 · form4-08242026_040844.xml · nonDerivative · entry 1

Kidd Kyle Thomas · CIK 0002130557 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

F1 · shares: Represents an award of restricted stock, of which 65,000 shares vest on each of April 30, 2027, April 30, 2028, April 30, 2029, April 30, 2030 and April 30, 2031.

Read SEC document
August 21, 2026 Filed Aug 24, 2026 16:32 UTC GrantCommon Stock 325,000 $0.00 $0.00
Disclosure

SEC source: 0002130460-26-000004 · form4-08242026_040822.xml · nonDerivative · entry 1

Powalski Matthew Scott · CIK 0002130460 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

F1 · shares: Represents an award of restricted stock, of which 65,000 shares vest on each of April 30, 2027, April 30, 2028, April 30, 2029, April 30, 2030 and April 30, 2031.

Read SEC document
August 21, 2026 Filed Aug 24, 2026 16:30 UTC
BERG JAMES AChief Financial Officer
GrantCommon Stock 204,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001260190-26-000004 · form4-08242026_040843.xml · nonDerivative · entry 1

BERG JAMES A · CIK 0001260190 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 254,000

F1 · shares: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

F1 · price: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

Read SEC document
August 21, 2026 Filed Aug 24, 2026 16:28 UTC
Cassell DerekDirector · CHIEF EXECUTIVE OFFICER
GrantCommon Stock 560,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001727227-26-000004 · form4-08242026_040809.xml · nonDerivative · entry 1

Cassell Derek · CIK 0001727227 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,177,209

F1 · shares: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

F1 · price: Represents grant of restricted stock. Shares shall vest 1/5 on April 30, 2027, 1/5 on April 30, 2028, 1/5 on April 30, 2029, 1/5 on April 30, 2030 and 1/5 on April 30, 2031.

Read SEC document
April 30, 2026 Filed May 5, 2026 01:30 UTC
BERG JAMES AChief Financial Officer
GrantCommon Stock 50,000 $0.35 $17,500.00
Disclosure

SEC source: 0001260190-26-000002 · form4-05042026_090505.xml · nonDerivative · entry 1

BERG JAMES A · CIK 0001260190 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

F1 · shares: Represents shares of common stock (the "Shares") purchased in a private placement transaction directly from the Company pursuant to a Securities Purchase Agreement, dated April 30, 2026 (the "Private Placement"). The issuance of the Shares to the reporting person pursuant to the Private Placement was approved by the Company's board of directors and was deemed an exempt transaction pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

Read SEC document
April 30, 2026 Filed May 5, 2026 01:30 UTC
Hardy TimothyChief Information Officer
GrantCommon Stock 60,000 $0.35 $21,000.00
Disclosure

SEC source: 0002049774-26-000002 · form4-05042026_090503.xml · nonDerivative · entry 1

Hardy Timothy · CIK 0002049774 · Chief Information Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

F1 · shares: Represents shares of common stock (the "Shares") purchased in a private placement transaction directly from the Company pursuant to a Securities Purchase Agreement, dated April 30, 2026 (the "Private Placement"). The issuance of the Shares to the reporting person pursuant to the Private Placement was approved by the Company's board of directors and was deemed an exempt transaction pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

Read SEC document
April 30, 2026 Filed May 5, 2026 01:30 UTC
Cassell DerekDirector · CHIEF EXECUTIVE OFFICER
GrantCommon Stock 300,000 $0.35 $105,000.00
Disclosure

SEC source: 0001727227-26-000002 · form4-05042026_090501.xml · nonDerivative · entry 1

Cassell Derek · CIK 0001727227 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 617,209

F1 · shares: Represents shares of common stock (the "Shares") purchased in a private placement transaction directly from the Company pursuant to a Securities Purchase Agreement, dated April 30, 2026 (the "Private Placement"). The issuance of the Shares to the reporting person pursuant to the Private Placement was approved by the Company's board of directors and was deemed an exempt transaction pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

Read SEC document
March 19, 2024 Filed Mar 20, 2024 21:14 UTC PurchaseCommon Stock 370,000 $0.27 $99,900.00
Disclosure

SEC source: 0001415889-24-008761 · form4-03202024_090325.xml · nonDerivative · entry 1

Sehnaoui Karim · CIK 0001722869 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 388,421

F1 · kind: The shares were purchased in a private transaction pursuant to a share purchase agreement dated March 4, 2024, by and between the Reporting Person and an existing shareholder of the Issuer.

Read SEC document
February 01, 2024 Filed Feb 1, 2024 20:23 UTC PurchaseCommon Stock 4,400 $0.20 $880.00
Disclosure

SEC source: 0001415889-24-002155 · form4-02012024_080248.xml · nonDerivative · entry 1

Sehnaoui Karim · CIK 0001722869 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,421

Read SEC document
April 14, 2022 Filed May 2, 2022 18:04 UTC
Dubois GuyDirector
Exercise / conversionWarrants · Derivative 5,536 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001415889-22-004427 · form4-05022022_110542.xml · derivative · entry 4

Dubois Guy · CIK 0001570056 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,536 shares

Expires 2022-04-20

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
April 14, 2022 Filed May 2, 2022 18:04 UTC
Dubois GuyDirector
Exercise / conversionWarrants · Derivative 40,366 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001415889-22-004427 · form4-05022022_110542.xml · derivative · entry 3

Dubois Guy · CIK 0001570056 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,366 shares

Expires 2022-04-14

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
April 14, 2022 Filed May 2, 2022 18:04 UTC
Dubois GuyDirector
Tax withholdingCommon Stock 8,596 $3.30 $28,366.80
Disclosure

SEC source: 0001415889-22-004427 · form4-05022022_110542.xml · nonDerivative · entry 2

Dubois Guy · CIK 0001570056 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 359,920

Read SEC document
April 14, 2022 Filed May 2, 2022 18:04 UTC
Dubois GuyDirector
Exercise / conversionCommon Stock 45,902 $1.24 $56,918.48
Disclosure

SEC source: 0001415889-22-004427 · form4-05022022_110542.xml · nonDerivative · entry 1

Dubois Guy · CIK 0001570056 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,516

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
April 13, 2022 Filed Jun 22, 2022 16:34 UTC
Swando Matthew J.CHIEF REVENUE OFFICER
GrantCommon Stock 185,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-22-006835 · form4-06222022_090656.xml · nonDerivative · entry 1

Swando Matthew J. · CIK 0001932878 · CHIEF REVENUE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,340

F1 · shares: Represents grant of restricted stock. Shares shall vest 1/3 on October 13, 2022, 1/3 on April 13, 2023 and 1/3 on October 13, 2023.

F1 · price: Represents grant of restricted stock. Shares shall vest 1/3 on October 13, 2022, 1/3 on April 13, 2023 and 1/3 on October 13, 2023.

Read SEC document
December 30, 2021 Filed Jan 3, 2022 20:22 UTC Exercise / conversionWarrants · Derivative 9,191 $0.00 Strike: $1.15 $0.00
Disclosure

SEC source: 0001415889-22-000017 · form4-01032022_120139.xml · derivative · entry 2

Macleod Karen M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,191 shares

Expires 2021-12-31

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
December 30, 2021 Filed Jan 3, 2022 20:22 UTC Exercise / conversionCommon Stock 9,191 $1.15 $10,569.65
Disclosure

SEC source: 0001415889-22-000017 · form4-01032022_120139.xml · nonDerivative · entry 1

Macleod Karen M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,744

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 28, 2021 Filed Jan 3, 2022 15:33 UTC
Dubois GuyDirector
Exercise / conversionWarrants · Derivative 7,371 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001415889-22-000004 · form4-01032022_070157.xml · derivative · entry 4

Dubois Guy · CIK 0001570056 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,371 shares

Expires 2022-01-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 28, 2021 Filed Jan 3, 2022 15:33 UTC
Dubois GuyDirector
Exercise / conversionWarrants · Derivative 1,173 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001415889-22-000004 · form4-01032022_070157.xml · derivative · entry 3

Dubois Guy · CIK 0001570056 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,173 shares

Expires 2022-03-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 28, 2021 Filed Jan 3, 2022 15:33 UTC
Dubois GuyDirector
Tax withholdingCommon Stock 1,261 $2.44 $3,076.84
Disclosure

SEC source: 0001415889-22-000004 · form4-01032022_070157.xml · nonDerivative · entry 2

Dubois Guy · CIK 0001570056 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,614

Read SEC document
December 28, 2021 Filed Jan 3, 2022 15:33 UTC
Dubois GuyDirector
Exercise / conversionCommon Stock 8,544 $1.24 $10,594.56
Disclosure

SEC source: 0001415889-22-000004 · form4-01032022_070157.xml · nonDerivative · entry 1

Dubois Guy · CIK 0001570056 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,875

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
August 20, 2021 Filed Aug 23, 2021 21:04 UTC Exercise / conversionOptions · Derivative 5,882 $0.00 Strike: $1.15 $0.00
Disclosure

SEC source: 0001415889-21-004061 · form4-08232021_020851.xml · derivative · entry 3

Macleod Karen M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,882 shares

Expires 2021-09-30

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
August 20, 2021 Filed Aug 23, 2021 21:04 UTC Exercise / conversionOptions · Derivative 3,529 $0.00 Strike: $1.15 $0.00
Disclosure

SEC source: 0001415889-21-004061 · form4-08232021_020851.xml · derivative · entry 2

Macleod Karen M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,529 shares

Expires 2021-09-29

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
August 20, 2021 Filed Aug 23, 2021 21:04 UTC Exercise / conversionCommon Stock 9,411 $1.15 $10,822.65
Disclosure

SEC source: 0001415889-21-004061 · form4-08232021_020851.xml · nonDerivative · entry 1

Macleod Karen M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,553

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
August 17, 2021 Filed Aug 19, 2021 20:43 UTC
POLI PETER KCHIEF FINANCIAL OFFICER
Exercise / conversionStock Options · Derivative 53,601 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001415889-21-004012 · form4-08192021_010832.xml · derivative · entry 2

POLI PETER K · CIK 0001700243 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 53,601 shares

Expires 2022-01-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: 50% of the stock options vested on January 1, 2018, with the remainder vesting on January 1, 2019.

Read SEC document
August 17, 2021 Filed Aug 19, 2021 20:43 UTC
POLI PETER KCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 53,601 $1.24 $66,465.24
Disclosure

SEC source: 0001415889-21-004012 · form4-08192021_010832.xml · nonDerivative · entry 1

POLI PETER K · CIK 0001700243 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,241

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
May 01, 2018 Filed May 2, 2018 23:10 UTC
POLI PETER KCHIEF FINANCIAL OFFICER
GrantCommon Stock 133,640 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-18-000671 · form4-05022018_040538.xml · nonDerivative · entry 1

POLI PETER K · CIK 0001700243 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,640

F1 · price: Represents grant of restricted stock. Shares will be issued upon vesting, and shall vest as follows: 33,640 immediately, 50,000 on January 1, 2019 and 50,000 January 1, 2020.

Read SEC document
May 01, 2018 Filed May 3, 2018 21:45 UTC GrantCommon Stock 52,761 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-18-000683 · form4-05032018_020512.xml · nonDerivative · entry 1

FERGUSON KAREN M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,142

F1 · price: Shares reported herein were issued in lieu of cash owed to the Reporting Person for her service on the Issuer's Board of Directors.

Read SEC document
May 01, 2018 Filed May 3, 2018 21:34 UTC GrantCommon Stock 52,761 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-18-000681 · form4-05032018_020505.xml · nonDerivative · entry 1

Boone David S · CIK 0001335237 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,931

F1 · price: Shares reported herein were issued in lieu of cash owed to the Reporting Person for his service on the Issuer's Board of Directors.

Read SEC document
May 01, 2018 Filed May 3, 2018 18:13 UTC
Cassell DerekCHIEF EXECUTIVE OFFICER
GrantCommon Stock 289,444 $0.00 $0.00
Disclosure

SEC source: 0001415889-18-000679 · form4-05032018_110501.xml · nonDerivative · entry 1

Cassell Derek · CIK 0001727227 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,209

F1 · price: Represents grant of restricted stock. Shares will be issued upon vesting and shall vest as follows: 89,444 immediately, 100,000 on January 1, 2019 and 100,000 January 1, 2020.

Read SEC document
May 01, 2018 Filed May 3, 2018 14:56 UTC GrantCommon Stock 52,761 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-18-000677 · form4-05032018_070545.xml · nonDerivative · entry 1

ROSENBLUM CHARLES ERIC · CIK 0001684920 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,229

F1 · price: Shares reported herein were issued in lieu of cash owed to the Reporting Person for his service on the Issuer's Board of Directors.

Read SEC document
May 01, 2018 Filed May 3, 2018 14:55 UTC
Dubois GuyDirector
GrantCommon Stock 294,696 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-18-000675 · form4-05032018_070553.xml · nonDerivative · entry 1

Dubois Guy · CIK 0001570056 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,331

F1 · price: 241,935 shares reported herein were issued in lieu of cash owed to the Reporting Person for his services as Chief Executive Officer during the fiscal year ended September 30, 2017, and 52,761 shares were issued in lieu of cash owed to the Reporting Person for his services on the Issuer's Board of Directors.

Read SEC document
May 01, 2018 Filed May 17, 2018 14:13 UTC GrantCommon Stock 41,293 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-18-000755 · form4-05172018_070551.xml · nonDerivative · entry 1

Van Daele Dirk Karel · CIK 0001642945 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,928

F1 · price: Shares reported herein were issued in lieu of cash owed to the Reporting Person for his service on the Issuer's Board of Directors.

Read SEC document
January 26, 2018 Filed Apr 17, 2018 20:24 UTC GrantOptions · Derivative 12,195 Not disclosed Strike: $1.15 Not disclosed
Disclosure

SEC source: 0001415889-18-000631 · form4-04172018_010423.xml · derivative · entry 10

FERGUSON KAREN M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,195

Underlying: Common Stock · 12,195 shares

Expires 2022-03-31

F2 · price: The reported transactions involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $1.15 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 26, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

Read SEC document
January 26, 2018 Filed Apr 17, 2018 20:24 UTC Disposition to issuerOptions · Derivative 12,195 Not disclosed Strike: $3.36 Not disclosed
Disclosure

SEC source: 0001415889-18-000631 · form4-04172018_010423.xml · derivative · entry 9

FERGUSON KAREN M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 12,195 shares

Expires 2022-03-31

F2 · price: The reported transactions involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $1.15 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 26, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

Read SEC document
January 26, 2018 Filed Apr 17, 2018 20:24 UTC GrantOptions · Derivative 9,191 Not disclosed Strike: $1.15 Not disclosed
Disclosure

SEC source: 0001415889-18-000631 · form4-04172018_010423.xml · derivative · entry 8

FERGUSON KAREN M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,191

Underlying: Common Stock · 9,191 shares

Expires 2021-12-31

F2 · price: The reported transactions involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $1.15 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 26, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

Read SEC document
January 26, 2018 Filed Apr 17, 2018 20:24 UTC Disposition to issuerOptions · Derivative 9,191 Not disclosed Strike: $4.50 Not disclosed
Disclosure

SEC source: 0001415889-18-000631 · form4-04172018_010423.xml · derivative · entry 7

FERGUSON KAREN M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,191 shares

Expires 2021-12-31

F2 · price: The reported transactions involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $1.15 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 26, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

Read SEC document
January 26, 2018 Filed Apr 17, 2018 20:24 UTC GrantOptions · Derivative 5,882 Not disclosed Strike: $1.15 Not disclosed
Disclosure

SEC source: 0001415889-18-000631 · form4-04172018_010423.xml · derivative · entry 6

FERGUSON KAREN M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,882

Underlying: Common Stock · 5,882 shares

Expires 2021-09-30

F2 · price: The reported transactions involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $1.15 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 26, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

Read SEC document
January 26, 2018 Filed Apr 17, 2018 20:24 UTC Disposition to issuerOptions · Derivative 5,882 Not disclosed Strike: $7.20 Not disclosed
Disclosure

SEC source: 0001415889-18-000631 · form4-04172018_010423.xml · derivative · entry 5

FERGUSON KAREN M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,882 shares

Expires 2021-09-30

F2 · price: The reported transactions involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $1.15 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 26, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

Read SEC document
January 26, 2018 Filed Apr 17, 2018 20:24 UTC GrantOptions · Derivative 3,529 Not disclosed Strike: $1.15 Not disclosed
Disclosure

SEC source: 0001415889-18-000631 · form4-04172018_010423.xml · derivative · entry 4

FERGUSON KAREN M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,529

Underlying: Common Stock · 3,529 shares

Expires 2021-09-29

F2 · price: The reported transactions involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $1.15 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 26, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

Read SEC document
January 26, 2018 Filed Apr 17, 2018 20:24 UTC Disposition to issuerOptions · Derivative 3,529 Not disclosed Strike: $7.20 Not disclosed
Disclosure

SEC source: 0001415889-18-000631 · form4-04172018_010423.xml · derivative · entry 3

FERGUSON KAREN M · CIK 0001218775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,529 shares

Expires 2021-09-29

F2 · price: The reported transactions involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $1.15 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 26, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

Read SEC document

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