Tapewire

Nasdaq · USD

TSSI

TSS, Inc.

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Tapewire entity
6224
SEC CIK
0001320760
Parsed reports
140

Last 12 months

Inside the activity.

1 purchase rows · 13 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202502
Jan 202600
Feb 202600
Mar 202601
Apr 202606
May 202602
Jun 202602
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 28, 2021 Filed Dec 30, 2021 20:09 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
Tax withholdingCommon Stock 52,083 $0.48 $24,999.84
Disclosure

SEC source: 0001437749-21-029535 · rdgdoc.xml · nonDerivative · entry 2

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,393,816

Read SEC document
December 28, 2021 Filed Dec 30, 2021 20:09 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
Exercise / conversionCommon Stock 250,000 $0.10 $25,000.00
Disclosure

SEC source: 0001437749-21-029535 · rdgdoc.xml · nonDerivative · entry 1

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,445,899

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 07, 2021 Filed Aug 13, 2021 19:21 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
Tax withholdingCommon Stock 43,133 $0.43 $18,547.19
Disclosure

SEC source: 0001437749-21-019930 · rdgdoc.xml · nonDerivative · entry 1

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,206,682

Read SEC document
August 07, 2021 Filed Aug 13, 2021 19:21 UTC
Penver John KChief Financial Officer
Tax withholdingCommon Stock 30,193 $0.43 $12,982.99
Disclosure

SEC source: 0001437749-21-019929 · rdgdoc.xml · nonDerivative · entry 1

Penver John K · CIK 0001318924 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 601,487

Read SEC document
August 07, 2021 Filed Nov 3, 2021 17:14 UTC Amendment
ANGELINI ANTHONYDirector · Chief Executive Officer
Tax withholdingCommon Stock 53,916 $0.43 $23,183.88
Disclosure

SEC source: 0001437749-21-025117 · rdgdoc.xml · nonDerivative · entry 1

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,195,899

F1 · shares: The original Form 4 mistakenly omitted the disposition of an additional 10,783 shares of common stock of the Issuer.

F1 · balance_after: The original Form 4 mistakenly omitted the disposition of an additional 10,783 shares of common stock of the Issuer.

Read SEC document
May 05, 2021 Filed May 7, 2021 20:04 UTC GrantStock Option (Right to Buy) · Derivative 150,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-011336 · rdgdoc.xml · derivative · entry 1

Metzler Richard M. · CIK 0001839522 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2031-05-05

F1 · derivative.exercise_price: The exercise price is the weighted average trading price over the thirty (30) days following May 5, 2021.

F2 · derivative.exercise_date: The option becomes exercisable in installments as follows: (a) 50,000 shares will vest on May 5, 2022, (b) 50,000 shares will vest on May 5, 2022, and (c) 50,000 shares will vest on May 5, 2023.

Read SEC document
February 22, 2021 Filed Mar 5, 2021 19:28 UTC
Penver John KChief Financial Officer
Tax withholdingCommon Stock 18,825 $0.85 $16,001.25
Disclosure

SEC source: 0001437749-21-005201 · rdgdoc.xml · nonDerivative · entry 1

Penver John K · CIK 0001318924 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 631,487

Read SEC document
February 02, 2021 Filed Mar 5, 2021 19:27 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
Tax withholdingCommon Stock 26,181 $0.85 $22,253.85
Disclosure

SEC source: 0001437749-21-005200 · rdgdoc.xml · nonDerivative · entry 1

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,249,815

Read SEC document
November 26, 2020 Filed Nov 30, 2020 22:54 UTC
Gallagher Gerard JDirector · Sr. Tech. Advisor & Founder
OtherCommon Stock 100,000 $0.15 $15,000.00
Disclosure

SEC source: 0001437749-20-024579 · rdgdoc.xml · nonDerivative · entry 1

Gallagher Gerard J · CIK 0001386795 · Director · Sr. Tech. Advisor & Founder

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,043,018

Read SEC document
August 06, 2020 Filed Aug 10, 2020 16:03 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
GrantCommon Stock 500,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-017325 · rdgdoc.xml · nonDerivative · entry 1

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275,996

F1 · shares: These shares of common stock represent restricted stock granted pursuant to an award agreement between Mr. Angelini and the Issuer and are subject to forfeiture. The restricted stock awarded will vest in installments as follows: (1) 166,667 will vest on August 6, 2021, (2) 166,667 will vest on August 6, 2022, and (3) 166,666 will vest on August 6, 2023.

Read SEC document
August 06, 2020 Filed Aug 10, 2020 16:02 UTC
Penver John KChief Financial Officer
GrantCommon Stock 280,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-017323 · rdgdoc.xml · nonDerivative · entry 1

Penver John K · CIK 0001318924 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650,312

F1 · shares: These shares of common stock represent restricted stock granted pursuant to an award agreement between Mr. Penver and the Issuer and are subject to forfeiture. The restricted stock awarded will vest in installments as follows: (1) 93,334 will vest on August 6, 2021, (2) 93,333 will vest on August 6, 2022, and (3) 93,333 will vest on August 6, 2023.

Read SEC document
February 24, 2020 Filed Feb 26, 2020 20:59 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
Tax withholdingCommon Stock 51,608 $1.31 $67,606.48
Disclosure

SEC source: 0001437749-20-003639 · rdgdoc.xml · nonDerivative · entry 1

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 775,996

Read SEC document
February 24, 2020 Filed Feb 26, 2020 20:59 UTC
Penver John KChief Financial Officer
Tax withholdingCommon Stock 14,119 $1.31 $18,495.89
Disclosure

SEC source: 0001437749-20-003640 · rdgdoc.xml · nonDerivative · entry 1

Penver John K · CIK 0001318924 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370,312

Read SEC document
February 13, 2020 Filed Feb 18, 2020 21:25 UTC
Brennan KieranSr. V.P., Sales & Marketing
Tax withholdingCommon Stock 27,925 $1.39 $38,815.75
Disclosure

SEC source: 0001437749-20-002922 · rdgdoc.xml · nonDerivative · entry 1

Brennan Kieran · CIK 0001729129 · Sr. V.P., Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,425

Read SEC document
November 11, 2019 Filed Nov 13, 2019 21:02 UTC
Crichton MattSr. V.P., Business Development
GrantEmployee Stock Option · Derivative 250,000 $0.00 Strike: $0.80 $0.00
Disclosure

SEC source: 0001437749-19-022678 · rdgdoc.xml · derivative · entry 2

Crichton Matt · CIK 0001793336 · Sr. V.P., Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2029-11-11

F2 · derivative.exercise_date: The option becomes exercisable in installments as follows: (1) 83,333 shares will vest on November 11, 2020, (2) 83,333 shares will vest on November 11, 2021, and (3) 83,334 shares will vest on November 11, 2022. The option will become immediately exercisable upon the occurrence of a change in control of the Issuer.

Read SEC document
November 11, 2019 Filed Nov 13, 2019 21:02 UTC
Crichton MattSr. V.P., Business Development
GrantCommon Stock 200,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-022678 · rdgdoc.xml · nonDerivative · entry 1

Crichton Matt · CIK 0001793336 · Sr. V.P., Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

F1 · shares: These shares of common stock represent restricted stock granted pursuant to an award agreement between Mr. Crichton and the Issuer and are subject to forfeiture. The restricted stock awarded will vest in installments as follows: (1) 100,000 shares will vest on November 11, 2020, and (2) 100,000 shares will vest on November 11, 2021. All unvested shares of restricted stock will vest upon a change of control of the Issuer.

Read SEC document
May 17, 2019 Filed May 21, 2019 20:36 UTC
Woodward Peter HDirector · 10% owner
OtherCommon Stock 142,857 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-010585 · rdgdoc.xml · nonDerivative · entry 2

Woodward Peter H · CIK 0001369119 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through MHW SPV I, LLC

Disclosed balance after: 285,000

F2 · kind: Distribution from MHW SPV I, LLC.

F3 · ownership.nature: The shares are owned by MHW SPV I, LLC. The reporting person is the Manager of MHW SPV I, LLC. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares.

Read SEC document
March 14, 2019 Filed Mar 18, 2019 17:30 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
Tax withholdingCommon Stock 14,563 $1.03 $14,999.89
Disclosure

SEC source: 0001437749-19-005204 · rdgdoc.xml · nonDerivative · entry 2

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 827,604

Read SEC document
March 14, 2019 Filed Mar 18, 2019 17:30 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
Exercise / conversionCommon Stock 150,000 $0.10 $15,000.00
Disclosure

SEC source: 0001437749-19-005204 · rdgdoc.xml · nonDerivative · entry 1

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 842,167

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
February 28, 2019 Filed Mar 4, 2019 17:38 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
GrantCommon Stock 75,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-003984 · rdgdoc.xml · nonDerivative · entry 1

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 692,167

F1 · shares: These shares of common stock represent restricted stock granted pursuant to an award agreement between Mr. Angelini and the Issuer and are subject to forfeiture. The restricted stock awarded will vest on February 28, 2021.

F2 · price: These shares of restricted stock were granted to Mr. Angelini for his services as Chief Executive Officer of the Issuer.

Read SEC document
February 28, 2019 Filed Mar 4, 2019 17:40 UTC
Penver John KChief Financial Officer
GrantCommon Stock 50,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-003985 · rdgdoc.xml · nonDerivative · entry 1

Penver John K · CIK 0001318924 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384,431

F1 · shares: These shares of common stock represent restricted stock granted pursuant to an award agreement between Mr. Penver and the Issuer and are subject to forfeiture. The restricted stock awarded will vest on February 28, 2021.

F2 · price: These shares of restricted stock were granted to Mr. Penver for his services as Chief Financial Officer of the Issuer.

Read SEC document
February 22, 2019 Filed Feb 26, 2019 16:02 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
Tax withholdingCommon Stock 58,071 $0.87 $50,521.77
Disclosure

SEC source: 0001437749-19-003396 · rdgdoc.xml · nonDerivative · entry 1

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 617,167

Read SEC document
February 22, 2019 Filed Feb 26, 2019 16:02 UTC
Penver John KChief Financial Officer
Tax withholdingCommon Stock 14,119 $0.87 $12,283.53
Disclosure

SEC source: 0001437749-19-003395 · rdgdoc.xml · nonDerivative · entry 1

Penver John K · CIK 0001318924 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 334,431

Read SEC document
February 07, 2019 Filed Feb 19, 2019 21:01 UTC
Brennan KieranSr. V.P., Sales & Marketing
Tax withholdingCommon Stock 29,650 $0.80 $23,720.00
Disclosure

SEC source: 0001437749-19-002856 · rdgdoc.xml · nonDerivative · entry 1

Brennan Kieran · CIK 0001729129 · Sr. V.P., Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,350

Read SEC document
December 27, 2018 Filed Dec 31, 2018 16:05 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 40,000 $0.00 Strike: $0.10 $0.00
Disclosure

SEC source: 0001437749-18-022816 · rdgdoc.xml · derivative · entry 3

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 710,000

Underlying: Common Stock · 40,000 shares

Expires 2024-01-14

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.

F1 · derivative.exercise_date: The option, representing a right to purchase a total of 750,000 shares, is exercisable in installments as follows: 375,000 shares vested on April 10, 2018, and 375,000 shares will vest on April 10, 2019. The option is immediately exercisable upon the occurrence of a change in control of the Issuer.

Read SEC document
December 27, 2018 Filed Dec 31, 2018 16:05 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,762 $0.84 $4,000.08
Disclosure

SEC source: 0001437749-18-022816 · rdgdoc.xml · nonDerivative · entry 2

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 675,238

Read SEC document
December 27, 2018 Filed Dec 31, 2018 16:05 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
Exercise / conversionCommon Stock 40,000 $0.10 $4,000.00
Disclosure

SEC source: 0001437749-18-022816 · rdgdoc.xml · nonDerivative · entry 1

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,000

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 27, 2018 Filed Dec 31, 2018 21:05 UTC
Ikeda Glen10% owner
OtherCommon Stock Warrants (Right to Buy) · Derivative 954,231 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-022817 · rdgdoc.xml · derivative · entry 5

Ikeda Glen · CIK 0001624540 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 954,231 shares

Expires 2022-07-19

F2 · derivative.exercise_price: The exercise price is $0.10 for the first 498,981 shares, $0.20 for the next 273,981 shares, and $0.30 for the final 181,269 shares.

Read SEC document
December 27, 2018 Filed Dec 31, 2018 21:05 UTC
Ikeda Glen10% owner
OtherCommon Stock 64,739 $0.84 $54,380.76
Disclosure

SEC source: 0001437749-18-022817 · rdgdoc.xml · nonDerivative · entry 4

Ikeda Glen · CIK 0001624540 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,606,856

F1 · kind: Reflects 64,739 common shares withheld by the Issuer to fund the cashless exercise of the warrants.

Read SEC document
December 27, 2018 Filed Dec 31, 2018 21:05 UTC
Ikeda Glen10% owner
OtherCommon Stock 181,269 $0.30 $54,380.70
Disclosure

SEC source: 0001437749-18-022817 · rdgdoc.xml · nonDerivative · entry 3

Ikeda Glen · CIK 0001624540 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,671,595

Read SEC document
December 27, 2018 Filed Dec 31, 2018 21:05 UTC
Ikeda Glen10% owner
OtherCommon Stock 273,981 $0.20 $54,796.20
Disclosure

SEC source: 0001437749-18-022817 · rdgdoc.xml · nonDerivative · entry 2

Ikeda Glen · CIK 0001624540 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,490,326

Read SEC document
December 27, 2018 Filed Dec 31, 2018 21:05 UTC
Ikeda Glen10% owner
OtherCommon Stock 498,981 $0.10 $49,898.10
Disclosure

SEC source: 0001437749-18-022817 · rdgdoc.xml · nonDerivative · entry 1

Ikeda Glen · CIK 0001624540 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,216,345

Read SEC document
February 22, 2018 Filed Feb 26, 2018 20:04 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
GrantCommon Stock 250,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-003360 · rdgdoc.xml · nonDerivative · entry 1

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 640,000

F1 · shares: These shares of common stock represent restricted stock granted pursuant to an award agreement between Mr. Angelini and the Issuer and are subject to forfeiture.

F2 · price: These shares of restricted stock were granted to Mr. Angelini for his services as Chief Executive Officer of the Issuer.

Read SEC document
February 22, 2018 Filed Feb 26, 2018 20:04 UTC
Penver John KChief Financial Officer
GrantCommon Stock 75,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-003361 · rdgdoc.xml · nonDerivative · entry 1

Penver John K · CIK 0001318924 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,550

F1 · shares: These shares of common stock represent restricted stock granted pursuant to an award agreement between Mr. Penver and the Issuer and are subject to forfeiture.

F2 · price: These shares of restricted stock were granted to Mr. Penver for his services as Chief Financial Officer of the Issuer.

Read SEC document
January 22, 2018 Filed Jan 24, 2018 21:02 UTC
Brennan KieranSr. V.P., Sales & Marketing
GrantEmployee Stock Option · Derivative 250,000 $0.00 Strike: $0.49 $0.00
Disclosure

SEC source: 0001437749-18-001063 · rdgdoc.xml · derivative · entry 2

Brennan Kieran · CIK 0001729129 · Sr. V.P., Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2028-01-22

F2 · derivative.exercise_date: The option becomes exercisable in installments as follows: (1) 83,333 shares will vest on January 22, 2019, (2) 83,333 shares will vest on January 22, 2020, and (3) 83,334 shares will vest on January 22, 2021. The option will become immediately exercisable upon the occurrence of a change in control of the Issuer.

Read SEC document
January 22, 2018 Filed Jan 24, 2018 21:02 UTC
Brennan KieranSr. V.P., Sales & Marketing
GrantCommon Stock 200,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-18-001063 · rdgdoc.xml · nonDerivative · entry 1

Brennan Kieran · CIK 0001729129 · Sr. V.P., Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

F1 · shares: These shares of common stock represent restricted stock granted pursuant to an award agreement between Mr. Brennan and the Issuer and are subject to forfeiture. The restricted stock awarded will vest in installments as follows: (1) 100,000 shares will vest on January 22, 2019, and (2) 100,000 shares will vest on January 22, 2020. All unvested shares of restricted stock will vest upon a change of control of the Issuer.

Read SEC document
December 28, 2017 Filed Jan 2, 2018 21:29 UTC
Gallagher Gerard JDirector · Sr. Tech. Advisor & Founder
SaleCommon Stock 80,000 $0.30 $24,000.00
Disclosure

SEC source: 0001437749-18-000033 · rdgdoc.xml · nonDerivative · entry 1

Gallagher Gerard J · CIK 0001386795 · Director · Sr. Tech. Advisor & Founder

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 943,018

Read SEC document
July 19, 2017 Filed Jul 24, 2017 23:06 UTC
Woodward Peter HDirector · 10% owner
OtherCommon Stock Warrants (Right to Buy) · Derivative 767,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001144204-17-037918 · v471377_form4.xml · derivative · entry 3

Woodward Peter H · CIK 0001369119 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through MHW Partners, LP

Disclosed balance after: 1,883,326

Underlying: Common Stock · 767,500 shares

Expires 2022-07-19

F7 · derivative.exercise_price: The exercise price is $0.10 for the first 268,625 shares, $0.20 for the next 268,625 shares and $0.30 for the final 230,250 shares.

F9 · kind: MHW Partners received the right to purchase 1,115,826 shares of Common Stock under a warrant as partial consideration for the Loan.

F9 · price: MHW Partners received the right to purchase 1,115,826 shares of Common Stock under a warrant as partial consideration for the Loan.

F8 · derivative.expiration_date: The warrants expire on July 19, 2022, or, if such day is not a business day, on the next preceding business day.

F10 · ownership.nature: The warrants are owned by MHW Partners. The reporting person is the Managing Member of MHW Partners. The reporting person disclaims beneficial ownership of these warrants except to the extent of the reporting person's pecuniary interest in the warrants.

Read SEC document
July 19, 2017 Filed Jul 24, 2017 23:06 UTC
Woodward Peter HDirector · 10% owner
OtherCommon Stock Warrants (Right to Buy) · Derivative 1,115,826 Not disclosed Not disclosed
Disclosure

SEC source: 0001144204-17-037918 · v471377_form4.xml · derivative · entry 2

Woodward Peter H · CIK 0001369119 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through MHW SPV II, LLC

Disclosed balance after: 1,115,826

Underlying: Common Stock · 1,115,826 shares

Expires 2022-07-19

F4 · derivative.exercise_price: The exercise price is $0.10 for the first 390,539 shares, $0.20 for the next 390,539 shares and $0.30 for the final 334,748 shares.

F1 · kind: The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a replacement warrant with lower exercise prices. The warrant was originally granted on February 3, 2015 as partial consideration for a multiple advance term loan on February 3, 2015 in the maximum principal amount of up to $2,000,000 from MHW SPV II, LLC ("MHW SPV") to the Issuer and its subsidiaries, Innovative Power Systems, Inc., VTC, L.L.C., Vortech, L.L.C., Total Site Solutions Arizona, LLC and Alletag Builders, Inc. (together, the "Subsidiaries").

F6 · price: MHW SPV received the right to purchase 1,115,826 shares of Common Stock under an amended and restated warrant as partial consideration for an amended and restated multiple advance term loan on July 19, 2017 (the "Loan"), in the maximum principal amount of up to $2,500,000 for up to sixty days following July 19, 2017 and then $2,000,000 thereafter from MHW SPV and MHW Partners, LP ("MHW Partners") to the Issuer and its Subsidiaries.

F5 · derivative.expiration_date: The warrants expire on July 19, 2022, or, if such day is not a business day, on the next preceding business day.

F3 · ownership.nature: The warrants are owned by MHW SPV. The reporting person is the Managing Member of MHW SPV and the principal of MHW Capital Management, LLC, which is the investment manager of MHW SPV. The reporting person disclaims beneficial ownership of these warrants except to the extent of the reporting person's pecuniary interest in the warrants.

Read SEC document
July 19, 2017 Filed Jul 24, 2017 23:06 UTC
Woodward Peter HDirector · 10% owner
OtherCommon Stock Warrants (Right to Buy) · Derivative 1,115,827 Not disclosed Not disclosed
Disclosure

SEC source: 0001144204-17-037918 · v471377_form4.xml · derivative · entry 1

Woodward Peter H · CIK 0001369119 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through MHW SPV II, LLC

Disclosed balance after: 0

Underlying: Common Stock · 1,115,827 shares

Expires 2020-02-03

F1 · derivative.exercise_price: The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a replacement warrant with lower exercise prices. The warrant was originally granted on February 3, 2015 as partial consideration for a multiple advance term loan on February 3, 2015 in the maximum principal amount of up to $2,000,000 from MHW SPV II, LLC ("MHW SPV") to the Issuer and its subsidiaries, Innovative Power Systems, Inc., VTC, L.L.C., Vortech, L.L.C., Total Site Solutions Arizona, LLC and Alletag Builders, Inc. (together, the "Subsidiaries").

F1 · kind: The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a replacement warrant with lower exercise prices. The warrant was originally granted on February 3, 2015 as partial consideration for a multiple advance term loan on February 3, 2015 in the maximum principal amount of up to $2,000,000 from MHW SPV II, LLC ("MHW SPV") to the Issuer and its subsidiaries, Innovative Power Systems, Inc., VTC, L.L.C., Vortech, L.L.C., Total Site Solutions Arizona, LLC and Alletag Builders, Inc. (together, the "Subsidiaries").

F1 · price: The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a replacement warrant with lower exercise prices. The warrant was originally granted on February 3, 2015 as partial consideration for a multiple advance term loan on February 3, 2015 in the maximum principal amount of up to $2,000,000 from MHW SPV II, LLC ("MHW SPV") to the Issuer and its subsidiaries, Innovative Power Systems, Inc., VTC, L.L.C., Vortech, L.L.C., Total Site Solutions Arizona, LLC and Alletag Builders, Inc. (together, the "Subsidiaries").

F2 · derivative.expiration_date: The warrants expire on February 3, 2020, or, if such day is not a business day, on the next preceding business day.

F3 · ownership.nature: The warrants are owned by MHW SPV. The reporting person is the Managing Member of MHW SPV and the principal of MHW Capital Management, LLC, which is the investment manager of MHW SPV. The reporting person disclaims beneficial ownership of these warrants except to the extent of the reporting person's pecuniary interest in the warrants.

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April 10, 2017 Filed Apr 12, 2017 17:31 UTC
Olsen Martin T.EVP, Sales and Marketing
GrantEmployee Stock Option · Derivative 300,000 Not disclosed Strike: $0.10 Not disclosed
Disclosure

SEC source: 0001144204-17-020203 · v464196_form4.xml · derivative · entry 2

Olsen Martin T. · CIK 0001435928 · EVP, Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2024-01-14

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 14, 2014, and provided that the option would become exercisable in installments as follows: 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $2.00 for 20 consecutive business days, and 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $3.00 for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 150,000 shares will vest on April 10, 2018, and 150,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 14, 2014, and provided that the option would become exercisable in installments as follows: 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $2.00 for 20 consecutive business days, and 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $3.00 for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 150,000 shares will vest on April 10, 2018, and 150,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 14, 2014, and provided that the option would become exercisable in installments as follows: 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $2.00 for 20 consecutive business days, and 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $3.00 for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 150,000 shares will vest on April 10, 2018, and 150,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

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April 10, 2017 Filed Apr 12, 2017 17:31 UTC
Olsen Martin T.EVP, Sales and Marketing
Disposition to issuerEmployee Stock Option · Derivative 200,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001144204-17-020203 · v464196_form4.xml · derivative · entry 1

Olsen Martin T. · CIK 0001435928 · EVP, Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2024-01-14

F1 · derivative.exercise_price: The exercise price is equal to the average of the high and low bid prices for the Issuer's common stock reported daily on the OTCQB marketplace during the 20 trading days following January 14, 2014.

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 14, 2014, and provided that the option would become exercisable in installments as follows: 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $2.00 for 20 consecutive business days, and 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $3.00 for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 150,000 shares will vest on April 10, 2018, and 150,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 14, 2014, and provided that the option would become exercisable in installments as follows: 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $2.00 for 20 consecutive business days, and 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $3.00 for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 150,000 shares will vest on April 10, 2018, and 150,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 14, 2014, and provided that the option would become exercisable in installments as follows: 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $2.00 for 20 consecutive business days, and 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $3.00 for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 150,000 shares will vest on April 10, 2018, and 150,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

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April 10, 2017 Filed Apr 12, 2017 17:42 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
GrantEmployee Stock Option · Derivative 750,000 Not disclosed Strike: $0.10 Not disclosed
Disclosure

SEC source: 0001144204-17-020207 · v464195_form4.xml · derivative · entry 2

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2024-01-14

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally effective on June 6, 2012, and provided that the option would become exercisable in six 125,000-share increments when the fair market value of the Issuer's common stock was at least $1.50, $2.00, $2.00, $2.50, $3.00, $3.50, and $4.00, respectively, for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 375,000 shares will vest on April 10, 2018, and 375,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally effective on June 6, 2012, and provided that the option would become exercisable in six 125,000-share increments when the fair market value of the Issuer's common stock was at least $1.50, $2.00, $2.00, $2.50, $3.00, $3.50, and $4.00, respectively, for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 375,000 shares will vest on April 10, 2018, and 375,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally effective on June 6, 2012, and provided that the option would become exercisable in six 125,000-share increments when the fair market value of the Issuer's common stock was at least $1.50, $2.00, $2.00, $2.50, $3.00, $3.50, and $4.00, respectively, for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 375,000 shares will vest on April 10, 2018, and 375,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

Read SEC document
April 10, 2017 Filed Apr 12, 2017 17:42 UTC
ANGELINI ANTHONYDirector · Chief Executive Officer
Disposition to issuerEmployee Stock Option · Derivative 750,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001144204-17-020207 · v464195_form4.xml · derivative · entry 1

ANGELINI ANTHONY · CIK 0001197972 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 750,000 shares

Expires 2022-04-30

F1 · derivative.exercise_price: The exercise price is equal to the average of the high and low bid prices for the Issuer's common stock reported daily on the OTCQB marketplace during the 20 trading days following April 30, 2012.

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally effective on June 6, 2012, and provided that the option would become exercisable in six 125,000-share increments when the fair market value of the Issuer's common stock was at least $1.50, $2.00, $2.00, $2.50, $3.00, $3.50, and $4.00, respectively, for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 375,000 shares will vest on April 10, 2018, and 375,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally effective on June 6, 2012, and provided that the option would become exercisable in six 125,000-share increments when the fair market value of the Issuer's common stock was at least $1.50, $2.00, $2.00, $2.50, $3.00, $3.50, and $4.00, respectively, for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 375,000 shares will vest on April 10, 2018, and 375,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally effective on June 6, 2012, and provided that the option would become exercisable in six 125,000-share increments when the fair market value of the Issuer's common stock was at least $1.50, $2.00, $2.00, $2.50, $3.00, $3.50, and $4.00, respectively, for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 375,000 shares will vest on April 10, 2018, and 375,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

Read SEC document
April 10, 2017 Filed Apr 12, 2017 17:40 UTC
Penver John KChief Financial Officer
GrantEmployee Stock Option · Derivative 300,000 Not disclosed Strike: $0.10 Not disclosed
Disclosure

SEC source: 0001144204-17-020206 · v464193_form4.xml · derivative · entry 2

Penver John K · CIK 0001318924 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2024-01-14

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 29, 2014, and provided that the option would become exercisable in installments as follows: 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $2.00 for 20 consecutive business days, and 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $3.00 for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 150,000 shares will vest on April 10, 2018, and 150,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 29, 2014, and provided that the option would become exercisable in installments as follows: 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $2.00 for 20 consecutive business days, and 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $3.00 for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 150,000 shares will vest on April 10, 2018, and 150,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 29, 2014, and provided that the option would become exercisable in installments as follows: 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $2.00 for 20 consecutive business days, and 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $3.00 for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 150,000 shares will vest on April 10, 2018, and 150,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

Read SEC document
April 10, 2017 Filed Apr 12, 2017 17:40 UTC
Penver John KChief Financial Officer
Disposition to issuerEmployee Stock Option · Derivative 200,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001144204-17-020206 · v464193_form4.xml · derivative · entry 1

Penver John K · CIK 0001318924 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2024-08-29

F1 · derivative.exercise_price: The exercise price is equal to the average of the high and low bid prices for the Issuer's common stock reported daily on the OTCQB marketplace during the 20 trading days following August 29, 2014.

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 29, 2014, and provided that the option would become exercisable in installments as follows: 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $2.00 for 20 consecutive business days, and 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $3.00 for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 150,000 shares will vest on April 10, 2018, and 150,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 29, 2014, and provided that the option would become exercisable in installments as follows: 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $2.00 for 20 consecutive business days, and 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $3.00 for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 150,000 shares will vest on April 10, 2018, and 150,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 29, 2014, and provided that the option would become exercisable in installments as follows: 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $2.00 for 20 consecutive business days, and 100,000 shares would vest when the fair market value of the Issuer's common stock was at least $3.00 for 20 consecutive business days. The replacement option provides that the option will become exercisable in installments as follows: 150,000 shares will vest on April 10, 2018, and 150,000 shares will vest on April 10, 2019. The option continues to be immediately exercisable upon the occurrence of a change in control of the Issuer.

Read SEC document
April 05, 2017 Filed Apr 7, 2017 20:03 UTC GrantStock Option (Right to Buy) · Derivative 200,000 $0.00 Strike: $0.10 $0.00
Disclosure

SEC source: 0001144204-17-019663 · v463799_4.xml · derivative · entry 1

Woodward Peter H · CIK 0001369119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2027-04-05

Read SEC document
April 05, 2017 Filed Apr 7, 2017 20:01 UTC GrantStock Option (Right to Buy) · Derivative 125,000 $0.00 Strike: $0.10 $0.00
Disclosure

SEC source: 0001144204-17-019661 · v463798_4.xml · derivative · entry 1

Phelps Daniel J · CIK 0001546933 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2027-04-05

Read SEC document
December 28, 2016 Filed Dec 29, 2016 22:25 UTC
Gallagher Gerard JDirector · Chief Technical Officer
SaleCommon Stock 125,000 $0.05 $6,250.00
Disclosure

SEC source: 0001144204-16-141776 · v455951_form4.xml · nonDerivative · entry 1

Gallagher Gerard J · CIK 0001386795 · Director · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,023,018

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.