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UEC

URANIUM ENERGY CORP

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3814
SEC CIK
0001334933
Parsed reports
382

Last 12 months

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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Dec 202500
Jan 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 16, 2021 Filed Jul 20, 2021 21:32 UTC Exercise / conversionCOMMON STOCK 66,668 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-21-017236 · rdgdoc.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 393,617

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 16, 2021 Filed Jul 20, 2021 21:28 UTC
OBARA PATChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 156,668 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-017231 · rdgdoc.xml · derivative · entry 3

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,999

Underlying: Common Stock · 156,668 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.

Read SEC document
July 16, 2021 Filed Jul 20, 2021 21:28 UTC
OBARA PATChief Financial Officer
Tax withholdingCOMMON STOCK 83,817 $2.02 $169,310.34
Disclosure

SEC source: 0001437749-21-017231 · rdgdoc.xml · nonDerivative · entry 2

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 460,587

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

Read SEC document
July 16, 2021 Filed Jul 20, 2021 21:28 UTC
OBARA PATChief Financial Officer
Exercise / conversionCOMMON STOCK 156,668 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-21-017231 · rdgdoc.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 544,404

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 16, 2021 Filed Jul 20, 2021 21:30 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionRestricted Stock Units · Derivative 113,334 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-017233 · rdgdoc.xml · derivative · entry 3

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,666

Underlying: Common Stock · 133,334 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.

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-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.

Read SEC document
July 16, 2021 Filed Jul 20, 2021 21:30 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Tax withholdingCOMMON STOCK 42,160 $2.02 $85,163.20
Disclosure

SEC source: 0001437749-21-017233 · rdgdoc.xml · nonDerivative · entry 2

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 589,630

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

Read SEC document
July 16, 2021 Filed Jul 20, 2021 21:30 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionCOMMON STOCK 113,334 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-21-017233 · rdgdoc.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 631,790

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 16, 2021 Filed Jul 20, 2021 21:26 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 533,334 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-017228 · rdgdoc.xml · derivative · entry 3

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 466,666

Underlying: Common Stock · 533,334 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-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.

Read SEC document
July 16, 2021 Filed Jul 20, 2021 21:26 UTC
Adnani AmirDirector · President and CEO
Tax withholdingCOMMON STOCK 286,578 $2.02 $578,887.56
Disclosure

SEC source: 0001437749-21-017228 · rdgdoc.xml · nonDerivative · entry 2

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,979,902

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

Read SEC document
July 16, 2021 Filed Jul 20, 2021 21:26 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionCOMMON STOCK 533,334 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-21-017228 · rdgdoc.xml · nonDerivative · entry 1

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,266,480

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 07, 2021 Filed Jul 9, 2021 00:11 UTC SaleCOMMON STOCK 16,700 $2.31 $38,577.00
Disclosure

SEC source: 0001437749-21-016686 · rdgdoc.xml · nonDerivative · entry 4

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,380

Read SEC document
July 07, 2021 Filed Jul 9, 2021 00:11 UTC SaleCOMMON STOCK 3,300 $2.32 $7,656.00
Disclosure

SEC source: 0001437749-21-016686 · rdgdoc.xml · nonDerivative · entry 3

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,080

Read SEC document
July 06, 2021 Filed Jul 9, 2021 00:11 UTC Exercise / conversionOptions · Derivative 20,000 Not disclosed Strike: $0.93 Not disclosed
Disclosure

SEC source: 0001437749-21-016686 · rdgdoc.xml · derivative · entry 5

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,000

Underlying: Common Stock · 20,000 shares

Expires 2021-08-02

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 06, 2021 Filed Jul 9, 2021 00:11 UTC Tax withholdingCOMMON STOCK 7,783 $2.39 $18,601.37
Disclosure

SEC source: 0001437749-21-016686 · rdgdoc.xml · nonDerivative · entry 2

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,380

Read SEC document
July 06, 2021 Filed Jul 9, 2021 00:11 UTC Exercise / conversionCOMMON STOCK 20,000 $0.93 $18,600.00
Disclosure

SEC source: 0001437749-21-016686 · rdgdoc.xml · nonDerivative · entry 1

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,163

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 her 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 7,783 shares at a fair market value of $2.39 per share being equal to the exercise price, such that the Reporting Person was issued 12,217 shares.

Read SEC document
May 28, 2021 Filed May 29, 2021 00:46 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.22 $16,100.00
Disclosure

SEC source: 0001437749-21-013771 · rdgdoc.xml · nonDerivative · entry 9

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,330

Read SEC document
May 28, 2021 Filed May 29, 2021 00:46 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.20 $16,000.00
Disclosure

SEC source: 0001437749-21-013771 · rdgdoc.xml · nonDerivative · entry 8

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,330

Read SEC document
May 27, 2021 Filed May 29, 2021 00:46 UTC
KONG DAVIDDirector
Exercise / conversionOptions · Derivative 35,000 Not disclosed Strike: $1.28 Not disclosed
Disclosure

SEC source: 0001437749-21-013771 · rdgdoc.xml · derivative · entry 10

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 35,000 shares

Expires 2022-08-22

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
May 27, 2021 Filed May 29, 2021 00:46 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.13 $15,650.00
Disclosure

SEC source: 0001437749-21-013771 · rdgdoc.xml · nonDerivative · entry 7

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,330

Read SEC document
May 27, 2021 Filed May 29, 2021 00:46 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.15 $15,750.00
Disclosure

SEC source: 0001437749-21-013771 · rdgdoc.xml · nonDerivative · entry 6

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,330

Read SEC document
May 27, 2021 Filed May 29, 2021 00:46 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.19 $15,950.00
Disclosure

SEC source: 0001437749-21-013771 · rdgdoc.xml · nonDerivative · entry 5

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,330

Read SEC document
May 27, 2021 Filed May 29, 2021 00:46 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.22 $16,100.00
Disclosure

SEC source: 0001437749-21-013771 · rdgdoc.xml · nonDerivative · entry 4

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,330

Read SEC document
May 27, 2021 Filed May 29, 2021 00:46 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.18 $15,900.00
Disclosure

SEC source: 0001437749-21-013771 · rdgdoc.xml · nonDerivative · entry 3

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,330

Read SEC document
May 27, 2021 Filed May 29, 2021 00:46 UTC
KONG DAVIDDirector
Tax withholdingCOMMON STOCK 13,618 $3.29 $44,803.22
Disclosure

SEC source: 0001437749-21-013771 · rdgdoc.xml · nonDerivative · entry 2

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,330

Read SEC document
May 27, 2021 Filed May 29, 2021 00:46 UTC
KONG DAVIDDirector
Exercise / conversionCOMMON STOCK 35,000 $1.28 $44,800.00
Disclosure

SEC source: 0001437749-21-013771 · rdgdoc.xml · nonDerivative · entry 1

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,948

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 13,618 shares at a fair market value of $3.29 per share being equal to the exercise price, such that the Reporting Person was issued 21,382 shares.

Read SEC document
May 17, 2021 Filed May 19, 2021 22:20 UTC SaleCOMMON STOCK 4,600 $3.21 $14,743.00
Disclosure

SEC source: 0001437749-21-012831 · rdgdoc.xml · nonDerivative · entry 3

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,949

Read SEC document
May 17, 2021 Filed May 19, 2021 22:20 UTC SaleCOMMON STOCK 47,046 $3.20 $150,547.20
Disclosure

SEC source: 0001437749-21-012831 · rdgdoc.xml · nonDerivative · entry 2

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,549

Read SEC document
May 17, 2021 Filed May 19, 2021 22:20 UTC SaleCOMMON STOCK 20,000 $3.10 $62,016.00
Disclosure

SEC source: 0001437749-21-012831 · rdgdoc.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378,595

Read SEC document
May 11, 2021 Filed May 12, 2021 21:43 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.08 $15,400.00
Disclosure

SEC source: 0001437749-21-011873 · rdgdoc.xml · nonDerivative · entry 11

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,948

Read SEC document
May 11, 2021 Filed May 12, 2021 21:43 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.07 $15,350.00
Disclosure

SEC source: 0001437749-21-011873 · rdgdoc.xml · nonDerivative · entry 10

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,948

Read SEC document
May 11, 2021 Filed May 12, 2021 21:43 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.05 $15,250.00
Disclosure

SEC source: 0001437749-21-011873 · rdgdoc.xml · nonDerivative · entry 9

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,948

Read SEC document
May 10, 2021 Filed May 12, 2021 21:43 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.17 $15,850.00
Disclosure

SEC source: 0001437749-21-011873 · rdgdoc.xml · nonDerivative · entry 8

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,948

Read SEC document
May 10, 2021 Filed May 12, 2021 21:43 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.16 $15,800.00
Disclosure

SEC source: 0001437749-21-011873 · rdgdoc.xml · nonDerivative · entry 7

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,948

Read SEC document
May 10, 2021 Filed May 12, 2021 21:43 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.21 $16,050.00
Disclosure

SEC source: 0001437749-21-011873 · rdgdoc.xml · nonDerivative · entry 6

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,948

Read SEC document
May 10, 2021 Filed May 12, 2021 21:43 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 10,000 $3.22 $32,200.00
Disclosure

SEC source: 0001437749-21-011873 · rdgdoc.xml · nonDerivative · entry 5

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,948

Read SEC document
May 10, 2021 Filed May 12, 2021 21:43 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 10,000 $3.20 $32,000.00
Disclosure

SEC source: 0001437749-21-011873 · rdgdoc.xml · nonDerivative · entry 4

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,948

Read SEC document
May 10, 2021 Filed May 12, 2021 21:43 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.18 $15,900.00
Disclosure

SEC source: 0001437749-21-011873 · rdgdoc.xml · nonDerivative · entry 3

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,948

Read SEC document
May 10, 2021 Filed May 12, 2021 21:43 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 10,000 $3.24 $32,400.00
Disclosure

SEC source: 0001437749-21-011873 · rdgdoc.xml · nonDerivative · entry 2

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,948

Read SEC document
May 10, 2021 Filed May 12, 2021 21:43 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 5,000 $3.23 $16,150.00
Disclosure

SEC source: 0001437749-21-011873 · rdgdoc.xml · nonDerivative · entry 1

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,948

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Exercise / conversionOptions · Derivative 50,000 Not disclosed Strike: $0.91 Not disclosed
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · derivative · entry 18

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 50,000 shares

Expires 2030-07-30

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.

F7 · price: Granted pursuant to and in accordance with the Company's stock incentive plan.

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Exercise / conversionOptions · Derivative 75,000 Not disclosed Strike: $0.94 Not disclosed
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · derivative · entry 17

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Stock · 75,000 shares

Expires 2029-07-30

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.

F7 · price: Granted pursuant to and in accordance with the Company's stock incentive plan.

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Exercise / conversionOptions · Derivative 45,000 Not disclosed Strike: $1.53 Not disclosed
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · derivative · entry 16

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 45,000 shares

Expires 2023-07-25

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.

F7 · price: Granted pursuant to and in accordance with the Company's stock incentive plan.

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Exercise / conversionOptions · Derivative 45,000 Not disclosed Strike: $1.28 Not disclosed
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · derivative · entry 15

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 345,000

Underlying: Common Stock · 45,000 shares

Expires 2022-08-22

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.

F7 · price: Granted pursuant to and in accordance with the Company's stock incentive plan.

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Exercise / conversionOptions · Derivative 80,000 Not disclosed Strike: $0.93 Not disclosed
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · derivative · entry 14

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,000

Underlying: Common Stock · 80,000 shares

Expires 2021-08-02

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.

F7 · price: Granted pursuant to and in accordance with the Company's stock incentive plan.

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Exercise / conversionOptions · Derivative 50,000 Not disclosed Strike: $2.41 Not disclosed
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · derivative · entry 13

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 470,000

Underlying: Common Stock · 50,000 shares

Expires 2023-01-15

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.

F7 · price: Granted pursuant to and in accordance with the Company's stock incentive plan.

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Tax withholdingCOMMON STOCK 13,623 $3.34 $45,500.82
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · nonDerivative · entry 12

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 398,595

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Exercise / conversionCOMMON STOCK 50,000 $0.91 $45,500.00
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · nonDerivative · entry 11

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,218

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.

F6 · 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 13,623 shares at a fair market value of $3.34 per share being equal to the exercise price, such that the Reporting Person was issued 36,377 shares.

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Tax withholdingCOMMON STOCK 21,155 $3.34 $70,657.70
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · nonDerivative · entry 10

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,218

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May 07, 2021 Filed May 10, 2021 22:15 UTC Exercise / conversionCOMMON STOCK 75,000 $0.94 $70,657.50
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · nonDerivative · entry 9

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 383,373

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

F5 · 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 21,155 shares at a fair market value of $3.34 per share being equal to the exercise price, such that the Reporting Person was issued 53,845 shares.

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May 07, 2021 Filed May 10, 2021 22:15 UTC Tax withholdingCOMMON STOCK 20,614 $3.34 $68,850.76
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · nonDerivative · entry 8

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,373

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.