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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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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
May 07, 2021 Filed May 10, 2021 22:15 UTC Exercise / conversionCOMMON STOCK 45,000 $1.53 $68,850.00
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · nonDerivative · entry 7

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,987

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.

F4 · 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 20,614 shares at a fair market value of $3.34 per share being equal to the exercise price, such that the Reporting Person was issued 24,386 shares.

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Tax withholdingCOMMON STOCK 17,246 $3.34 $57,601.64
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · nonDerivative · entry 6

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,987

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Exercise / conversionCOMMON STOCK 45,000 $1.28 $57,600.00
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · nonDerivative · entry 5

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,233

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 · 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 17,246 shares at a fair market value of $3.34 per share being equal to the exercise price, such that the Reporting Person was issued 27,754 shares.

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Tax withholdingCOMMON STOCK 22,276 $3.34 $74,401.84
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · nonDerivative · entry 4

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,233

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Exercise / conversionCOMMON STOCK 80,000 $0.93 $74,400.00
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · nonDerivative · entry 3

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,509

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: 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 22,276 shares at a fair market value of $3.34 per share being equal to the exercise price, such that the Reporting Person was issued 57,724 shares.

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Tax withholdingCOMMON STOCK 36,078 $3.34 $120,500.52
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · nonDerivative · entry 2

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,509

Read SEC document
May 07, 2021 Filed May 10, 2021 22:15 UTC Exercise / conversionCOMMON STOCK 50,000 $2.41 $120,500.00
Disclosure

SEC source: 0001437749-21-011566 · rdgdoc.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,587

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 36,078 shares at a fair market value of $3.34 per share being equal to the exercise price, such that the Reporting Person was issued 13,922 shares.

Read SEC document
May 03, 2021 Filed May 4, 2021 21:26 UTC Exercise / conversionOptions · Derivative 65,000 Not disclosed Strike: $0.93 Not disclosed
Disclosure

SEC source: 0001437749-21-010779 · rdgdoc.xml · derivative · entry 3

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 65,000 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
May 03, 2021 Filed May 4, 2021 21:26 UTC Tax withholdingCOMMON STOCK 18,208 $3.32 $60,450.56
Disclosure

SEC source: 0001437749-21-010779 · rdgdoc.xml · nonDerivative · entry 2

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,094

Read SEC document
May 03, 2021 Filed May 4, 2021 21:26 UTC Exercise / conversionCOMMON STOCK 65,000 $0.93 $60,450.00
Disclosure

SEC source: 0001437749-21-010779 · rdgdoc.xml · nonDerivative · entry 1

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,302

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 18,208 shares at a fair market value of $3.32 per share being equal to the exercise price, such that the Reporting Person was issued 46,792 shares.

Read SEC document
May 03, 2021 Filed May 4, 2021 21:33 UTC
KONG DAVIDDirector
Exercise / conversionOptions · Derivative 75,000 Not disclosed Strike: $0.93 Not disclosed
Disclosure

SEC source: 0001437749-21-010784 · rdgdoc.xml · derivative · entry 3

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 75,000 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
May 03, 2021 Filed May 4, 2021 21:33 UTC
KONG DAVIDDirector
Tax withholdingCOMMON STOCK 21,010 $3.32 $69,753.20
Disclosure

SEC source: 0001437749-21-010784 · rdgdoc.xml · nonDerivative · entry 2

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,948

Read SEC document
May 03, 2021 Filed May 4, 2021 21:33 UTC
KONG DAVIDDirector
Exercise / conversionCOMMON STOCK 75,000 $0.93 $69,750.00
Disclosure

SEC source: 0001437749-21-010784 · rdgdoc.xml · nonDerivative · entry 1

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,958

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 21,010 shares at a fair market value of $3.32 per share being equal to the exercise price, such that the Reporting Person was issued 53,990 shares.

Read SEC document
March 03, 2021 Filed Mar 4, 2021 23:51 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionOptions · Derivative 60,000 Not disclosed Strike: $0.93 Not disclosed
Disclosure

SEC source: 0001437749-21-005049 · rdgdoc.xml · derivative · entry 2

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,000

Underlying: Common Stock · 60,000 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.

F1 · price: Granted pursuant to and in accordance with the Company's stock incentive plan.

Read SEC document
March 03, 2021 Filed Mar 4, 2021 23:51 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionCOMMON STOCK 60,000 $2.27 $136,200.00
Disclosure

SEC source: 0001437749-21-005049 · rdgdoc.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 518,456

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

Read SEC document
December 28, 2020 Filed Dec 29, 2020 23:51 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionOptions · Derivative 300,000 Not disclosed Strike: $0.93 Not disclosed
Disclosure

SEC source: 0001437749-20-026077 · rdgdoc.xml · derivative · entry 3

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 300,000 shares

Expires 2021-01-12

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
December 28, 2020 Filed Dec 29, 2020 23:51 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Tax withholdingCOMMON STOCK 155,556 $1.89 $294,000.84
Disclosure

SEC source: 0001437749-20-026077 · rdgdoc.xml · nonDerivative · entry 2

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 458,456

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 155,556 shares at a fair market value of $1.89 per share being equal to the exercise price, such that the Reporting Person was issued 144,444 shares.

Read SEC document
December 28, 2020 Filed Dec 29, 2020 23:51 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionCOMMON STOCK 300,000 $0.93 $279,000.00
Disclosure

SEC source: 0001437749-20-026077 · rdgdoc.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 614,012

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 155,556 shares at a fair market value of $1.89 per share being equal to the exercise price, such that the Reporting Person was issued 144,444 shares.

Read SEC document
December 10, 2020 Filed Dec 11, 2020 01:36 UTC
KONG DAVIDDirector
SaleCOMMON STOCK 7,000 $1.38 $9,660.00
Disclosure

SEC source: 0001437749-20-025133 · rdgdoc.xml · nonDerivative · entry 2

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 0

Read SEC document
July 31, 2020 Filed Aug 4, 2020 23:05 UTC Exercise / conversionRestricted Stock Units · Derivative 6,667 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-016540 · rdgdoc.xml · derivative · entry 2

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,333

Underlying: Common Stock · 6,667 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 first anniversary of the grant date, with the remainder of the Restricted Stock Units to vest in equal installments on the second and 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 first anniversary of the grant date, with the remainder of the Restricted Stock Units to vest in equal installments on the second and third anniversary of the grant date.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 23:05 UTC Exercise / conversionCOMMON STOCK 6,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-20-016540 · rdgdoc.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,587

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

Read SEC document
July 31, 2020 Filed Aug 4, 2020 23:09 UTC
OBARA PATChief Financial Officer
OtherPerformance Based Restricted Stock Units · Derivative 29,775 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-016542 · rdgdoc.xml · derivative · entry 4

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,225

Underlying: Common Stock · 29,775 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. This transaction represents the settlement of Performance Based Restricted Stock Units in shares of common stock on their scheduled vesting date.

F5 · derivative.exercise_date: Represents the portion of unearned Performance Based Restricted Stock Units cancelled in accordance with their terms.

F5 · derivative.expiration_date: Represents the portion of unearned Performance Based Restricted Stock Units cancelled in accordance with their terms.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 23:09 UTC
OBARA PATChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 33,333 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-016542 · rdgdoc.xml · derivative · entry 3

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,667

Underlying: Common Stock · 33,333 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 first anniversary of the grant date, with the remainder of the Restricted Stock Units to vest in equal installments on the second and 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 first anniversary of the grant date, with the remainder of the Restricted Stock Units to vest in equal installments on the second and third anniversary of the grant date.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 23:09 UTC
OBARA PATChief Financial Officer
Tax withholdingCOMMON STOCK 15,149 $1.01 $15,300.49
Disclosure

SEC source: 0001437749-20-016542 · rdgdoc.xml · nonDerivative · entry 2

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 387,736

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

Read SEC document
July 31, 2020 Filed Aug 4, 2020 23:09 UTC
OBARA PATChief Financial Officer
Exercise / conversionCOMMON STOCK 33,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-20-016542 · rdgdoc.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 402,885

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 31, 2020 Filed Aug 4, 2020 23:07 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
OtherPerformance Based Restricted Stock Units · Derivative 13,399 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-016541 · rdgdoc.xml · derivative · entry 4

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,601

Underlying: Common Stock · 13,399 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. This transaction represents the settlement of Performance Based Restricted Stock Units in shares of common stock on their scheduled vesting date.

F5 · derivative.exercise_date: Represents the portion of unearned Performance Based Restricted Stock Units cancelled in accordance with their terms.

F5 · derivative.expiration_date: Represents the portion of unearned Performance Based Restricted Stock Units cancelled in accordance with their terms.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 23:07 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionRestricted Stock Units · Derivative 15,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-016541 · rdgdoc.xml · derivative · entry 3

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

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 first anniversary of the grant date, with the remainder of the Restricted Stock Units to vest in equal installments on the second and 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 first anniversary of the grant date, with the remainder of the Restricted Stock Units to vest in equal installments on the second and third anniversary of the grant date.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 23:07 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Tax withholdingCOMMON STOCK 5,499 $1.01 $5,553.99
Disclosure

SEC source: 0001437749-20-016541 · rdgdoc.xml · nonDerivative · entry 2

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,012

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

Read SEC document
July 31, 2020 Filed Aug 4, 2020 23:07 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionCOMMON STOCK 15,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-20-016541 · rdgdoc.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,511

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 31, 2020 Filed Aug 4, 2020 23:02 UTC
Adnani AmirDirector · President and CEO
OtherPerformance Based Restricted Stock Units · Derivative 89,325 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-016539 · rdgdoc.xml · derivative · entry 4

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,675

Underlying: Common Stock · 89,325 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. This transaction represents the settlement of Performance Based Restricted Stock Units in shares of common stock on their scheduled vesting date.

F5 · derivative.exercise_date: Represents the portion of unearned Performance Based Restricted Stock Units cancelled in accordance with their terms.

F5 · derivative.expiration_date: Represents the portion of unearned Performance Based Restricted Stock Units cancelled in accordance with their terms.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 23:02 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 100,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-016539 · rdgdoc.xml · derivative · entry 3

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

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 first anniversary of the grant date, with the remainder of the Restricted Stock Units to vest in equal installments on the second and 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 first anniversary of the grant date, with the remainder of the Restricted Stock Units to vest in equal installments on the second and third anniversary of the grant date.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 23:02 UTC
Adnani AmirDirector · President and CEO
Tax withholdingCOMMON STOCK 28,508 $1.01 $28,793.08
Disclosure

SEC source: 0001437749-20-016539 · rdgdoc.xml · nonDerivative · entry 2

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,733,146

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

Read SEC document
July 31, 2020 Filed Aug 4, 2020 23:02 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionCOMMON STOCK 100,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-20-016539 · rdgdoc.xml · nonDerivative · entry 1

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,761,654

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, 2020 Filed Jul 20, 2020 22:40 UTC GrantOptions · Derivative 75,000 $0.00 Strike: $0.91 $0.00
Disclosure

SEC source: 0001437749-20-015436 · rdgdoc.xml · derivative · entry 2

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2030-07-16

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2019 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 16, 2020 Filed Jul 20, 2020 22:40 UTC GrantCOMMON STOCK 35,000 $0.91 $31,850.00
Disclosure

SEC source: 0001437749-20-015436 · rdgdoc.xml · nonDerivative · entry 1

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,302

Read SEC document
July 16, 2020 Filed Jul 20, 2020 18:42 UTC
MANI GANPATDirector
GrantOptions · Derivative 75,000 $0.00 Strike: $0.91 $0.00
Disclosure

SEC source: 0001437749-20-015438 · rdgdoc.xml · derivative · entry 2

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2030-07-16

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2019 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 16, 2020 Filed Jul 20, 2020 18:42 UTC
MANI GANPATDirector
GrantCOMMON STOCK 35,000 $0.91 $31,850.00
Disclosure

SEC source: 0001437749-20-015438 · rdgdoc.xml · nonDerivative · entry 1

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,258

Read SEC document
July 16, 2020 Filed Jul 20, 2020 22:37 UTC
Adnani AmirDirector · President and CEO
GrantPerformance Stock Options · Derivative 850,000 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0001437749-20-015432 · rdgdoc.xml · derivative · entry 3

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850,000

Underlying: Common Stock · 850,000 shares

Expires 2030-07-16

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2019 Stock Incentive Plan.

F5 · derivative.exercise_date: Performance Options vest over 36-month period (33.33% 12, 24 and 36 months from the date of grant).

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July 16, 2020 Filed Jul 20, 2020 22:37 UTC
Adnani AmirDirector · President and CEO
GrantRestricted Stock Units · Derivative 800,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-015432 · rdgdoc.xml · derivative · entry 2

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,100,000

Underlying: Common Stock · 800,000 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 2019 Stock Incentive Plan.

F4 · derivative.exercise_date: 50% of the restricted stock units vest on July 16, 2021 and 50% in three equal annual installments beginning July 16, 2021. Vested shares will be delivered to the reporting person no later than August 30th of each year.

F4 · derivative.expiration_date: 50% of the restricted stock units vest on July 16, 2021 and 50% in three equal annual installments beginning July 16, 2021. Vested shares will be delivered to the reporting person no later than August 30th of each year.

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July 16, 2020 Filed Jul 20, 2020 22:37 UTC
Adnani AmirDirector · President and CEO
GrantOptions · Derivative 150,000 $0.00 Strike: $0.91 $0.00
Disclosure

SEC source: 0001437749-20-015432 · rdgdoc.xml · derivative · entry 1

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2030-07-16

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2019 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 16, 2020 Filed Jul 20, 2020 22:39 UTC GrantRestricted Stock Units · Derivative 100,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-015435 · rdgdoc.xml · derivative · entry 2

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 100,000 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 2019 Stock Incentive Plan.

F4 · derivative.exercise_date: 50% of the restricted stock units vest on July 16, 2021 and 50% in three equal annual installments beginning July 16, 2021. Vested shares will be delivered to the reporting person no later than August 30th of each year.

F4 · derivative.expiration_date: 50% of the restricted stock units vest on July 16, 2021 and 50% in three equal annual installments beginning July 16, 2021. Vested shares will be delivered to the reporting person no later than August 30th of each year.

Read SEC document
July 16, 2020 Filed Jul 20, 2020 22:39 UTC GrantOptions · Derivative 200,000 $0.00 Strike: $0.91 $0.00
Disclosure

SEC source: 0001437749-20-015435 · rdgdoc.xml · derivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2030-07-16

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2019 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 16, 2020 Filed Jul 20, 2020 22:42 UTC
KONG DAVIDDirector
GrantOptions · Derivative 75,000 $0.00 Strike: $0.91 $0.00
Disclosure

SEC source: 0001437749-20-015439 · rdgdoc.xml · derivative · entry 3

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2030-07-16

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2019 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).

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July 16, 2020 Filed Jul 20, 2020 22:42 UTC
KONG DAVIDDirector
GrantCOMMON STOCK 35,000 $0.91 $31,850.00
Disclosure

SEC source: 0001437749-20-015439 · rdgdoc.xml · nonDerivative · entry 1

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,958

Read SEC document
July 16, 2020 Filed Jul 20, 2020 22:41 UTC GrantOptions · Derivative 75,000 $0.00 Strike: $0.91 $0.00
Disclosure

SEC source: 0001437749-20-015437 · rdgdoc.xml · derivative · entry 2

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2030-07-16

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2019 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 16, 2020 Filed Jul 20, 2020 22:41 UTC GrantCOMMON STOCK 35,000 $0.91 $31,850.00
Disclosure

SEC source: 0001437749-20-015437 · rdgdoc.xml · nonDerivative · entry 1

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,163

Read SEC document
July 16, 2020 Filed Jul 20, 2020 22:39 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
GrantPerformance Stock Options · Derivative 225,000 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0001437749-20-015434 · rdgdoc.xml · derivative · entry 3

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Stock · 225,000 shares

Expires 2030-07-16

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2019 Stock Incentive Plan.

F5 · derivative.exercise_date: Performance Options vest over 36-month period (33.33% 12, 24 and 36 months from the date of grant).

Read SEC document
July 16, 2020 Filed Jul 20, 2020 22:39 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
GrantRestricted Stock Units · Derivative 170,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-015434 · rdgdoc.xml · derivative · entry 2

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,000

Underlying: Common Stock · 170,000 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 2019 Stock Incentive Plan.

F4 · derivative.exercise_date: 50% of the restricted stock units vest on July 16, 2021 and 50% in three equal annual installments beginning July 16, 2021. Vested shares will be delivered to the reporting person no later than August 30th of each year.

F4 · derivative.expiration_date: 50% of the restricted stock units vest on July 16, 2021 and 50% in three equal annual installments beginning July 16, 2021. Vested shares will be delivered to the reporting person no later than August 30th of each year.

Read SEC document
July 16, 2020 Filed Jul 20, 2020 22:39 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
GrantOptions · Derivative 125,000 $0.00 Strike: $0.91 $0.00
Disclosure

SEC source: 0001437749-20-015434 · rdgdoc.xml · derivative · entry 1

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2030-07-16

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2019 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 16, 2020 Filed Jul 20, 2020 22:38 UTC
OBARA PATChief Financial Officer
GrantPerformance Stock Options · Derivative 250,000 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0001437749-20-015433 · rdgdoc.xml · derivative · entry 3

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2030-07-16

F1 · kind: Granted pursuant to and in accordance with the Issuer's 2019 Stock Incentive Plan.

F5 · derivative.exercise_date: Performance Options vest over 36-month period (33.33% 12, 24 and 36 months from the date of grant).

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.