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UEC

URANIUM ENERGY CORP

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3814
SEC CIK
0001334933
Parsed reports
382

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Dec 202500
Jan 202600
Feb 202600
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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
July 30, 2021 Filed Aug 3, 2021 22:08 UTC Exercise / conversionCOMMON STOCK 6,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-21-018393 · rdgdoc.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,284

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 · price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:57 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionRestricted Stock Units · Derivative 15,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-018391 · rdgdoc.xml · derivative · entry 3

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,789

Underlying: Common Stock · 15,000 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.

F3 · derivative.exercise_price: Represents shares of common stock withheld to satisfy tax withholding requirements upon the vesting of this award.

F2 · derivative.exercise_date: This award has vested as to one-third of the Restricted Stock Units on the second anniversary of the grant date, with the remainder of the Restricted Stock Units to vest on the third anniversary of the grant date.

F2 · derivative.expiration_date: This award has vested as to one-third of the Restricted Stock Units on the second anniversary of the grant date, with the remainder of the Restricted Stock Units to vest on the third anniversary of the grant date.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:57 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Tax withholdingCOMMON STOCK 4,755 $2.17 $10,318.35
Disclosure

SEC source: 0001437749-21-018391 · rdgdoc.xml · nonDerivative · entry 2

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 599,875

F3 · shares: Represents shares of common stock withheld to satisfy tax withholding requirements upon the vesting of this award.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:57 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionCOMMON STOCK 15,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-21-018391 · rdgdoc.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 604,630

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 · price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:44 UTC
OBARA PATChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 33,334 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-018390 · rdgdoc.xml · derivative · entry 3

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,788

Underlying: Common Stock · 33,334 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.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: This award has vested as to one-third of the Restricted Stock Units on the second anniversary of the grant date, with the remainder of the Restricted Stock Units to vest on the third anniversary of the grant date.

F2 · derivative.expiration_date: This award has vested as to one-third of the Restricted Stock Units on the second anniversary of the grant date, with the remainder of the Restricted Stock Units to vest on the third anniversary of the grant date.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:44 UTC
OBARA PATChief Financial Officer
Tax withholdingCOMMON STOCK 17,834 $2.17 $38,699.78
Disclosure

SEC source: 0001437749-21-018390 · rdgdoc.xml · nonDerivative · entry 2

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 503,658

F3 · shares: Represents shares of common stock withheld to satisfy tax withholding requirements upon the vesting of this award.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:44 UTC
OBARA PATChief Financial Officer
Exercise / conversionCOMMON STOCK 33,334 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-21-018390 · rdgdoc.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 521,492

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 · price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:42 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 100,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-018389 · rdgdoc.xml · derivative · entry 3

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 602,131

Underlying: Common Stock · 100,000 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.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: This award has vested as to one-third of the Restricted Stock Units on the second anniversary of the grant date, with the remainder of the Restricted Stock Units to vest on the third anniversary of the grant date.

F2 · derivative.expiration_date: This award has vested as to one-third of the Restricted Stock Units on the second anniversary of the grant date, with the remainder of the Restricted Stock Units to vest on the third anniversary of the grant date.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:42 UTC
Adnani AmirDirector · President and CEO
Tax withholdingCOMMON STOCK 53,500 $2.17 $116,095.00
Disclosure

SEC source: 0001437749-21-018389 · rdgdoc.xml · nonDerivative · entry 2

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,096,402

F3 · shares: Represents shares of common stock withheld to satisfy tax withholding requirements upon the vesting of this award.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:42 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionCOMMON STOCK 100,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-21-018389 · rdgdoc.xml · nonDerivative · entry 1

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,149,902

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 · price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:26 UTC
OBARA PATChief Financial Officer
SaleCOMMON STOCK 5,000 $2.33 $11,650.00
Disclosure

SEC source: 0001437749-21-017779 · rdgdoc.xml · nonDerivative · entry 7

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 488,158

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:26 UTC
OBARA PATChief Financial Officer
SaleCOMMON STOCK 5,000 $2.30 $11,500.00
Disclosure

SEC source: 0001437749-21-017779 · rdgdoc.xml · nonDerivative · entry 6

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 493,158

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:26 UTC
OBARA PATChief Financial Officer
SaleCOMMON STOCK 5,000 $2.28 $11,400.00
Disclosure

SEC source: 0001437749-21-017779 · rdgdoc.xml · nonDerivative · entry 5

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 498,158

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:26 UTC
OBARA PATChief Financial Officer
SaleCOMMON STOCK 5,000 $2.23 $11,150.00
Disclosure

SEC source: 0001437749-21-017779 · rdgdoc.xml · nonDerivative · entry 4

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 503,158

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:22 UTC
Adnani AmirDirector · President and CEO
SaleCOMMON STOCK 10,000 $2.33 $23,300.00
Disclosure

SEC source: 0001437749-21-017776 · rdgdoc.xml · nonDerivative · entry 11

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,049,902

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:22 UTC
Adnani AmirDirector · President and CEO
SaleCOMMON STOCK 10,000 $2.32 $23,204.00
Disclosure

SEC source: 0001437749-21-017776 · rdgdoc.xml · nonDerivative · entry 10

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,059,902

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:22 UTC
Adnani AmirDirector · President and CEO
SaleCOMMON STOCK 10,000 $2.31 $23,100.00
Disclosure

SEC source: 0001437749-21-017776 · rdgdoc.xml · nonDerivative · entry 9

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,069,902

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:22 UTC
Adnani AmirDirector · President and CEO
SaleCOMMON STOCK 10,000 $2.28 $22,800.00
Disclosure

SEC source: 0001437749-21-017776 · rdgdoc.xml · nonDerivative · entry 8

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,079,902

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:22 UTC
Adnani AmirDirector · President and CEO
SaleCOMMON STOCK 9,220 $2.27 $20,930.32
Disclosure

SEC source: 0001437749-21-017776 · rdgdoc.xml · nonDerivative · entry 7

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,089,902

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:22 UTC
Adnani AmirDirector · President and CEO
SaleCOMMON STOCK 10,000 $2.27 $22,700.00
Disclosure

SEC source: 0001437749-21-017776 · rdgdoc.xml · nonDerivative · entry 6

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,099,122

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:22 UTC
Adnani AmirDirector · President and CEO
SaleCOMMON STOCK 10,000 $2.25 $22,509.00
Disclosure

SEC source: 0001437749-21-017776 · rdgdoc.xml · nonDerivative · entry 5

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,109,122

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:22 UTC
Adnani AmirDirector · President and CEO
SaleCOMMON STOCK 20,000 $2.25 $45,020.00
Disclosure

SEC source: 0001437749-21-017776 · rdgdoc.xml · nonDerivative · entry 4

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,119,122

Read SEC document
July 28, 2021 Filed Jul 28, 2021 21:22 UTC
Adnani AmirDirector · President and CEO
SaleCOMMON STOCK 20,000 $2.25 $45,000.00
Disclosure

SEC source: 0001437749-21-017776 · rdgdoc.xml · nonDerivative · entry 3

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,139,122

Read SEC document
July 27, 2021 Filed Jul 28, 2021 21:26 UTC
OBARA PATChief Financial Officer
SaleCOMMON STOCK 5,000 $2.17 $10,850.00
Disclosure

SEC source: 0001437749-21-017779 · rdgdoc.xml · nonDerivative · entry 3

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 508,158

Read SEC document
July 26, 2021 Filed Jul 28, 2021 17:12 UTC
MANI GANPATDirector
Exercise / conversionOptions · Derivative 50,000 Not disclosed Strike: $0.93 Not disclosed
Disclosure

SEC source: 0001437749-21-017771 · rdgdoc.xml · derivative · entry 3

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,300

Underlying: Common Stock · 50,000 shares

Expires 2021-07-28

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.

F2 · price: Granted pursuant to and in accordance with the Company's stock incentive plan.

Read SEC document
July 26, 2021 Filed Jul 28, 2021 17:12 UTC
MANI GANPATDirector
Tax withholdingCOMMON STOCK 20,130 $2.31 $46,500.30
Disclosure

SEC source: 0001437749-21-017771 · rdgdoc.xml · nonDerivative · entry 2

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,756

Read SEC document
July 26, 2021 Filed Jul 28, 2021 17:12 UTC
MANI GANPATDirector
Exercise / conversionCOMMON STOCK 50,000 $0.93 $46,500.00
Disclosure

SEC source: 0001437749-21-017771 · rdgdoc.xml · nonDerivative · entry 1

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,886

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 · price: The Reporting Person exercised options previously granted to him under the Company stock incentive plan, electing to pay the exercise price pursuant to the deemed net-stock exercise provision of such plan. As such, the Issuer withheld 20,130 shares at a fair market value of $2.31 per share being equal to the exercise price, such that the Reporting Person was issued 29,870 shares.

Read SEC document
July 26, 2021 Filed Jul 28, 2021 21:26 UTC
OBARA PATChief Financial Officer
Exercise / conversionOptions · Derivative 88,000 Not disclosed Strike: $0.93 Not disclosed
Disclosure

SEC source: 0001437749-21-017779 · rdgdoc.xml · derivative · entry 8

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 505,000

Underlying: Common Stock · 88,000 shares

Expires 2021-07-28

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.

F2 · price: Granted pursuant to and in accordance with the Company's stock incentive plan.

Read SEC document
July 26, 2021 Filed Jul 28, 2021 21:26 UTC
OBARA PATChief Financial Officer
Tax withholdingCOMMON STOCK 35,429 $2.31 $81,840.99
Disclosure

SEC source: 0001437749-21-017779 · rdgdoc.xml · nonDerivative · entry 2

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 513,158

Read SEC document
July 26, 2021 Filed Jul 28, 2021 21:26 UTC
OBARA PATChief Financial Officer
Exercise / conversionCOMMON STOCK 88,000 $0.93 $81,840.00
Disclosure

SEC source: 0001437749-21-017779 · rdgdoc.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 548,587

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 · price: The Reporting Person exercised options previously granted to him under the Company stock incentive plan, electing to pay the exercise price pursuant to the deemed net-stock exercise provision of such plan. As such, the Issuer withheld 35,429 shares at a fair market value of $2.31 per share being equal to the exercise price, such that the Reporting Person was issued 52,571 shares.

Read SEC document
July 26, 2021 Filed Jul 28, 2021 21:22 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionOptions · Derivative 300,000 Not disclosed Strike: $0.93 Not disclosed
Disclosure

SEC source: 0001437749-21-017776 · rdgdoc.xml · derivative · entry 12

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,265,000

Underlying: Common Stock · 300,000 shares

Expires 2021-07-28

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.

F2 · price: Granted pursuant to and in accordance with the Company's stock incentive plan.

Read SEC document
July 26, 2021 Filed Jul 28, 2021 21:22 UTC
Adnani AmirDirector · President and CEO
Tax withholdingCOMMON STOCK 120,780 $2.31 $279,001.80
Disclosure

SEC source: 0001437749-21-017776 · rdgdoc.xml · nonDerivative · entry 2

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,159,122

Read SEC document
July 26, 2021 Filed Jul 28, 2021 21:22 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionCOMMON STOCK 300,000 $0.93 $279,000.00
Disclosure

SEC source: 0001437749-21-017776 · rdgdoc.xml · nonDerivative · entry 1

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,279,902

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 · price: The Reporting Person exercised options previously granted to him under the Company stock incentive plan, electing to pay the exercise price pursuant to the deemed net-stock exercise provision of such plan. As such, the Issuer withheld 120,780 shares at a fair market value of $2.31 per share being equal to the exercise price, such that the Reporting Person was issued 179,220 shares.

Read SEC document
July 21, 2021 Filed Jul 23, 2021 17:04 UTC
MANI GANPATDirector
GrantOptions · Derivative 43,300 $0.00 Strike: $2.15 $0.00
Disclosure

SEC source: 0001437749-21-017476 · rdgdoc.xml · derivative · entry 2

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,300

Underlying: Common Stock · 43,300 shares

Expires 2031-07-21

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2020 Stock Incentive Plan.

F2 · derivative.exercise_date: Options vest over a 24-month period (12.5% three and six months from the date of grant; and 25% 12, 18 and 24 months from the date of grant).

Read SEC document
July 21, 2021 Filed Jul 23, 2021 17:04 UTC
MANI GANPATDirector
GrantCOMMON STOCK 11,628 $2.15 $25,000.20
Disclosure

SEC source: 0001437749-21-017476 · rdgdoc.xml · nonDerivative · entry 1

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,886

Read SEC document
July 21, 2021 Filed Jul 23, 2021 21:10 UTC GrantOptions · Derivative 45,270 $0.00 Strike: $2.15 $0.00
Disclosure

SEC source: 0001437749-21-017480 · rdgdoc.xml · derivative · entry 2

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,270

Underlying: Common Stock · 45,270 shares

Expires 2031-07-21

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2020 Stock Incentive Plan.

F2 · derivative.exercise_date: Options vest over a 24-month period (12.5% three and six months from the date of grant; and 25% 12, 18 and 24 months from the date of grant).

Read SEC document
July 21, 2021 Filed Jul 23, 2021 21:10 UTC GrantCOMMON STOCK 13,953 $2.15 $29,998.95
Disclosure

SEC source: 0001437749-21-017480 · rdgdoc.xml · nonDerivative · entry 1

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,047

Read SEC document
July 21, 2021 Filed Jul 23, 2021 21:14 UTC GrantRestricted Stock Units · Derivative 37,906 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-017482 · rdgdoc.xml · derivative · entry 2

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,571

Underlying: Common Stock · 37,906 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2020 Stock Incentive Plan.

F4 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning July 21, 2022. Vested shares will be delivered to the reporting person no later than August 30th of each year.

F4 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning July 21, 2022. Vested shares will be delivered to the reporting person no later than August 30th of each year.

Read SEC document
July 21, 2021 Filed Jul 23, 2021 21:14 UTC GrantOptions · Derivative 64,158 $0.00 Strike: $2.15 $0.00
Disclosure

SEC source: 0001437749-21-017482 · rdgdoc.xml · derivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,158

Underlying: Common Stock · 64,158 shares

Expires 2031-07-21

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2020 Stock Incentive Plan.

F2 · derivative.exercise_date: Options vest over a 24-month period (12.5% three and six months from the date of grant; and 25% 12, 18 and 24 months from the date of grant).

Read SEC document
July 21, 2021 Filed Jul 23, 2021 21:06 UTC GrantOptions · Derivative 50,330 $0.00 Strike: $2.15 $0.00
Disclosure

SEC source: 0001437749-21-017478 · rdgdoc.xml · derivative · entry 2

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,330

Underlying: Common Stock · 50,330 shares

Expires 2031-07-21

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2020 Stock Incentive Plan.

F2 · derivative.exercise_date: Options vest over a 24-month period (12.5% three and six months from the date of grant; and 25% 12, 18 and 24 months from the date of grant).

Read SEC document
July 21, 2021 Filed Jul 23, 2021 21:06 UTC GrantCOMMON STOCK 13,953 $2.15 $29,998.95
Disclosure

SEC source: 0001437749-21-017478 · rdgdoc.xml · nonDerivative · entry 1

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,333

Read SEC document
July 21, 2021 Filed Jul 23, 2021 21:01 UTC
KONG DAVIDDirector
GrantOptions · Derivative 44,430 $0.00 Strike: $2.15 $0.00
Disclosure

SEC source: 0001437749-21-017472 · rdgdoc.xml · derivative · entry 2

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,430

Underlying: Common Stock · 44,430 shares

Expires 2031-07-21

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2020 Stock Incentive Plan.

F2 · derivative.exercise_date: Options vest over a 24-month period (12.5% three and six months from the date of grant; and 25% 12, 18 and 24 months from the date of grant).

Read SEC document
July 21, 2021 Filed Jul 23, 2021 21:01 UTC
KONG DAVIDDirector
GrantCOMMON STOCK 23,256 $2.15 $50,000.40
Disclosure

SEC source: 0001437749-21-017472 · rdgdoc.xml · nonDerivative · entry 1

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,586

Read SEC document
July 21, 2021 Filed Jul 23, 2021 20:58 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
GrantPerformance Based Restricted Stock Units · Derivative 89,498 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-017468 · rdgdoc.xml · derivative · entry 2

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,099

Underlying: Common Stock · 89,498 shares

Expires not disclosed

F4 · derivative.exercise_price: Each performance based restricted stock unit represents a contingent right to receive one share of common stock.

F2 · kind: Granted pursuant to and in accordance with the Issuer's 2020 Stock Incentive Plan.

F5 · derivative.exercise_date: The performance based restricted stock units vest 100% on July 21, 2024. Vested shares will be delivered to the reporting person no later than August 30th, 2024.

F5 · derivative.expiration_date: The performance based restricted stock units vest 100% on July 21, 2024. Vested shares will be delivered to the reporting person no later than August 30th, 2024.

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July 21, 2021 Filed Jul 23, 2021 20:58 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
GrantRestricted Stock Units · Derivative 67,123 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-017468 · rdgdoc.xml · derivative · entry 1

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,789

Underlying: Common Stock · 67,123 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F2 · kind: Granted pursuant to and in accordance with the Issuer's 2020 Stock Incentive Plan.

F3 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning July 21, 2022. Vested shares will be delivered to the reporting person no later than August 30th of each year.

F3 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning July 21, 2022. Vested shares will be delivered to the reporting person no later than August 30th of each year.

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July 21, 2021 Filed Jul 23, 2021 20:55 UTC
OBARA PATChief Financial Officer
GrantPerformance Based Restricted Stock Units · Derivative 89,498 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-017462 · rdgdoc.xml · derivative · entry 2

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,723

Underlying: Common Stock · 89,498 shares

Expires not disclosed

F4 · derivative.exercise_price: Each performance based restricted stock unit represents a contingent right to receive one share of common stock.

F2 · kind: Granted pursuant to and in accordance with the Issuer's 2020 Stock Incentive Plan.

F5 · derivative.exercise_date: The performance based restricted stock units vest 100% on July 21, 2024. Vested shares will be delivered to the reporting person no later than August 30th, 2024.

F5 · derivative.expiration_date: The performance based restricted stock units vest 100% on July 21, 2024. Vested shares will be delivered to the reporting person no later than August 30th, 2024.

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July 21, 2021 Filed Jul 23, 2021 20:55 UTC
OBARA PATChief Financial Officer
GrantRestricted Stock Units · Derivative 67,123 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-017462 · rdgdoc.xml · derivative · entry 1

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,122

Underlying: Common Stock · 67,123 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F2 · kind: Granted pursuant to and in accordance with the Issuer's 2020 Stock Incentive Plan.

F3 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning July 21, 2022. Vested shares will be delivered to the reporting person no later than August 30th of each year.

F3 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning July 21, 2022. Vested shares will be delivered to the reporting person no later than August 30th of each year.

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July 21, 2021 Filed Jul 23, 2021 20:53 UTC
Adnani AmirDirector · President and CEO
GrantPerformance Based Restricted Stock Units · Derivative 313,954 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-017459 · rdgdoc.xml · derivative · entry 2

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 824,629

Underlying: Common Stock · 313,954 shares

Expires not disclosed

F4 · derivative.exercise_price: Each performance based restricted stock unit represents a contingent right to receive one share of common stock.

F2 · kind: Granted pursuant to and in accordance with the Issuer's 2020 Stock Incentive Plan.

F5 · derivative.exercise_date: The performance based restricted stock units vest 100% on July 21, 2024. Vested shares will be delivered to the reporting person no later than August 30th, 2024.

F5 · derivative.expiration_date: The performance based restricted stock units vest 100% on July 21, 2024. Vested shares will be delivered to the reporting person no later than August 30th, 2024.

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July 21, 2021 Filed Jul 23, 2021 20:53 UTC
Adnani AmirDirector · President and CEO
GrantRestricted Stock Units · Derivative 235,465 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-017459 · rdgdoc.xml · derivative · entry 1

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 702,131

Underlying: Common Stock · 235,465 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F2 · kind: Granted pursuant to and in accordance with the Issuer's 2020 Stock Incentive Plan.

F3 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning July 21, 2022. Vested shares will be delivered to the reporting person no later than August 30th of each year.

F3 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning July 21, 2022. Vested shares will be delivered to the reporting person no later than August 30th of each year.

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July 16, 2021 Filed Jul 20, 2021 21:32 UTC Exercise / conversionRestricted Stock Units · Derivative 66,668 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-017236 · rdgdoc.xml · derivative · entry 2

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,665

Underlying: Common Stock · 66,668 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.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: This award has vested as to one-half of the Restricted Stock Units on the first anniversary of the grant date, with the remainder of the Restricted Stock Units to vest in equal installments on the first, second and third anniversary of the grant date.

F2 · derivative.expiration_date: This award has vested as to one-half of the Restricted Stock Units on the first anniversary of the grant date, with the remainder of the Restricted Stock Units to vest in equal installments on the first, second and third anniversary of the grant date.

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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.