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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
Nov 202500
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
May 01, 2017 Filed May 3, 2017 16:17 UTC GrantCOMMON STOCK 1,210 $1.24 $1,500.40
Disclosure

SEC source: 0001638599-17-000401 · doc4_4681.xml · nonDerivative · entry 2

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,869

Read SEC document
May 01, 2017 Filed May 3, 2017 16:17 UTC GrantCOMMON STOCK 2,016 $1.24 $2,499.84
Disclosure

SEC source: 0001638599-17-000401 · doc4_4681.xml · nonDerivative · entry 1

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,659

Read SEC document
May 01, 2017 Filed May 3, 2017 15:36 UTC GrantCOMMON STOCK 1,210 $1.24 $1,500.40
Disclosure

SEC source: 0001638599-17-000387 · doc4_4674.xml · nonDerivative · entry 2

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,767

Read SEC document
May 01, 2017 Filed May 3, 2017 15:36 UTC GrantCOMMON STOCK 2,621 $1.24 $3,250.04
Disclosure

SEC source: 0001638599-17-000387 · doc4_4674.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,557

Read SEC document
May 01, 2017 Filed May 3, 2017 16:06 UTC GrantCOMMON STOCK 1,210 $1.24 $1,500.40
Disclosure

SEC source: 0001638599-17-000398 · doc4_4680.xml · nonDerivative · entry 1

OBOLENSKY IVAN · CIK 0001395328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,272

Read SEC document
May 01, 2017 Filed May 3, 2017 15:59 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
GrantCOMMON STOCK 2,934 $1.24 $3,638.16
Disclosure

SEC source: 0001638599-17-000396 · doc4_4679.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,017

Read SEC document
May 01, 2017 Filed May 3, 2017 15:52 UTC
KONG DAVIDDirector
GrantCOMMON STOCK 1,108 $1.24 $1,373.92
Disclosure

SEC source: 0001638599-17-000392 · doc4_4677.xml · nonDerivative · entry 2

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,779

Read SEC document
May 01, 2017 Filed May 3, 2017 15:52 UTC
KONG DAVIDDirector
GrantCOMMON STOCK 4,032 $1.24 $4,999.68
Disclosure

SEC source: 0001638599-17-000392 · doc4_4677.xml · nonDerivative · entry 1

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,671

Read SEC document
May 01, 2017 Filed May 3, 2017 15:47 UTC
OBARA PATCHIEF FINANCIAL OFFICER
GrantCOMMON STOCK 1,447 $1.24 $1,794.28
Disclosure

SEC source: 0001638599-17-000390 · doc4_4676.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,902

Read SEC document
April 03, 2017 Filed Apr 5, 2017 16:14 UTC GrantCOMMON STOCK 2,289 $1.42 $3,250.38
Disclosure

SEC source: 0001638599-17-000338 · doc4_4644.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,936

Read SEC document
April 03, 2017 Filed Apr 5, 2017 16:19 UTC
MELBYE SCOTTExecutive Vice President
GrantCommon Stock 2,563 $1.42 $3,639.46
Disclosure

SEC source: 0001638599-17-000340 · doc4_4649.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,083

Read SEC document
April 03, 2017 Filed Apr 5, 2017 16:00 UTC
OBARA PATChief Financial Officer
GrantCommon Stock 1,153 $1.42 $1,637.26
Disclosure

SEC source: 0001638599-17-000336 · doc4_4648.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,455

Read SEC document
March 01, 2017 Filed Mar 2, 2017 20:28 UTC GrantCOMMON STOCK 2,181 $1.49 $3,249.69
Disclosure

SEC source: 0001638599-17-000245 · doc4_4579.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,647

Read SEC document
March 01, 2017 Filed Mar 2, 2017 20:45 UTC
MELBYE SCOTTExecutive Vice President
GrantCOMMON STOCK 2,442 $1.49 $3,638.58
Disclosure

SEC source: 0001638599-17-000248 · doc4_4580.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,520

Read SEC document
March 01, 2017 Filed Mar 2, 2017 20:08 UTC
OBARA PATCHIEF FINANCIAL OFFICER
GrantCOMMON STOCK 1,101 $1.49 $1,640.49
Disclosure

SEC source: 0001638599-17-000243 · doc4_4577.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,302

Read SEC document
February 01, 2017 Filed Feb 3, 2017 20:43 UTC
MANI GANPATDirector
GrantCOMMON STOCK 932 $1.61 $1,500.52
Disclosure

SEC source: 0001183740-17-000019 · primary_doc.xml · nonDerivative · entry 1

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,177

Read SEC document
February 01, 2017 Filed Feb 4, 2017 01:31 UTC GrantCOMMON STOCK 932 $1.61 $1,500.52
Disclosure

SEC source: 0001183740-17-000017 · primary_doc.xml · nonDerivative · entry 1

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,643

Read SEC document
February 01, 2017 Filed Feb 4, 2017 01:23 UTC GrantCOMMON STOCK 932 $1.61 $1,500.52
Disclosure

SEC source: 0001183740-17-000016 · primary_doc.xml · nonDerivative · entry 2

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,466

Read SEC document
February 01, 2017 Filed Feb 4, 2017 01:23 UTC GrantCOMMON STOCK 2,019 $1.61 $3,250.59
Disclosure

SEC source: 0001183740-17-000016 · primary_doc.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,534

Read SEC document
February 01, 2017 Filed Feb 4, 2017 01:58 UTC
MELBYE SCOTTExecutive Vice President
GrantCOMMON STOCK 2,260 $1.61 $3,638.60
Disclosure

SEC source: 0001183740-17-000022 · primary_doc.xml · nonDerivative · entry 2

MELBYE SCOTT · CIK 0001619749 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,078

Read SEC document
February 01, 2017 Filed Feb 4, 2017 01:52 UTC GrantCOMMON STOCK 932 $1.61 $1,500.52
Disclosure

SEC source: 0001183740-17-000021 · primary_doc.xml · nonDerivative · entry 1

OBOLENSKY IVAN · CIK 0001395328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,062

Read SEC document
February 01, 2017 Filed Feb 4, 2017 01:49 UTC
KONG DAVIDDirector
GrantCOMMON STOCK 895 $1.61 $1,440.95
Disclosure

SEC source: 0001183740-17-000020 · primary_doc.xml · nonDerivative · entry 1

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,639

Read SEC document
February 01, 2017 Filed Feb 4, 2017 01:37 UTC
OBARA PATChief Financial Officer
GrantCOMMON STOCK 1,040 $1.61 $1,674.40
Disclosure

SEC source: 0001183740-17-000018 · primary_doc.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,201

Read SEC document
January 02, 2017 Filed Jan 3, 2017 21:59 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionOPTIONS TO PURCHASE · Derivative 139,634 $0.00 Strike: $0.45 $0.00
Disclosure

SEC source: 0001279569-17-000011 · v456114_form4.xml · derivative · entry 3

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,050,000

Underlying: COMMON STOCK · 139,634 shares

Expires 2017-01-02

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.

F3 · price: Subsequent to such exercise, the Reporting Person holds options to purchase: 250,000 shares at an exercise price of $0.45 per share expiring on April 7, 2018; 1,500,000 shares at an exercise price of $.132 per share, expiring on September 3, 2019; and 300,000 shares at an exercise price of $0.93 expiring on July 28, 2021 (these options to purchase 300,000 shares vest over an 18-month period from grant, such that 25% vested on October 28, 2016, 25% will vest on January 28, 2017, 25% will vest on July 28, 2017 and the final 25% will vest on January 28, 2018)

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

Read SEC document
January 02, 2017 Filed Jan 3, 2017 21:59 UTC
Adnani AmirDirector · President and CEO
Tax withholdingCOMMON STOCK 56,103 $1.12 $62,835.36
Disclosure

SEC source: 0001279569-17-000011 · v456114_form4.xml · nonDerivative · entry 2

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,271,154

F1 · price: The Reporting Person exercised options previously granted to him under the Company's 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 from the shares issuable to the Reporting Person that number of shares having a fair market value equal to the aggregate exercise price (that being 56,103 shares at a fair market value of $1.12 per share), such that the Reporting Person was issued a total of 83,531 shares.

Read SEC document
January 02, 2017 Filed Jan 3, 2017 21:59 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionCOMMON STOCK 139,634 $0.45 $62,835.30
Disclosure

SEC source: 0001279569-17-000011 · v456114_form4.xml · nonDerivative · entry 1

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,327,257

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's 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 from the shares issuable to the Reporting Person that number of shares having a fair market value equal to the aggregate exercise price (that being 56,103 shares at a fair market value of $1.12 per share), such that the Reporting Person was issued a total of 83,531 shares.

Read SEC document
January 01, 2017 Filed Jan 3, 2017 22:02 UTC GrantCOMMON STOCK 2,902 $1.12 $3,250.24
Disclosure

SEC source: 0001279569-17-000014 · v456116.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,515

Read SEC document
January 01, 2017 Filed Jan 3, 2017 22:08 UTC
OBARA PATCHIEF FINANCIAL OFFICER
GrantCOMMON STOCK 1,449 $1.12 $1,622.88
Disclosure

SEC source: 0001279569-17-000019 · v456119_form4.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,161

Read SEC document
January 01, 2017 Filed Jan 3, 2017 22:05 UTC
UNDERDOWN WILLIAM R JRVice President Production
GrantCommon Stock 1,794 $1.12 $2,009.28
Disclosure

SEC source: 0001279569-17-000016 · v456118.xml · nonDerivative · entry 1

UNDERDOWN WILLIAM R JR · CIK 0001514924 · Vice President Production

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,204

Read SEC document
January 01, 2017 Filed Jan 3, 2017 22:04 UTC
KURRUS ANDREW WILLIAM IIIVP Resource Development
GrantCommon Stock 2,080 $1.12 $2,329.60
Disclosure

SEC source: 0001279569-17-000015 · v456117.xml · nonDerivative · entry 1

KURRUS ANDREW WILLIAM III · CIK 0001589070 · VP Resource Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,087

Read SEC document
January 01, 2017 Filed Feb 4, 2017 01:58 UTC
MELBYE SCOTTExecutive Vice President
GrantCOMMON STOCK 3,566 $1.12 $3,993.92
Disclosure

SEC source: 0001183740-17-000022 · primary_doc.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,818

Read SEC document
December 01, 2016 Filed Dec 5, 2016 20:10 UTC GrantCOMMON STOCK 3,693 $0.88 $3,249.84
Disclosure

SEC source: 0001279569-16-004790 · v454409_4.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,613

Read SEC document
December 01, 2016 Filed Dec 5, 2016 20:22 UTC
UNDERDOWN WILLIAM R JRVice President Production
GrantCommon Stock 2,259 $0.88 $1,987.92
Disclosure

SEC source: 0001279569-16-004798 · v454414_4.xml · nonDerivative · entry 1

UNDERDOWN WILLIAM R JR · CIK 0001514924 · Vice President Production

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,410

Read SEC document
December 01, 2016 Filed Dec 5, 2016 20:18 UTC
KURRUS ANDREW WILLIAM IIIVP Resource Development
GrantCommon Stock 2,648 $0.88 $2,330.24
Disclosure

SEC source: 0001279569-16-004796 · v454412_4.xml · nonDerivative · entry 1

KURRUS ANDREW WILLIAM III · CIK 0001589070 · VP Resource Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,007

Read SEC document
December 01, 2016 Filed Dec 5, 2016 20:16 UTC
MELBYE SCOTTExecutive Vice President
GrantCommon Stock 4,449 $0.88 $3,915.12
Disclosure

SEC source: 0001279569-16-004794 · v454411_4.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,252

Read SEC document
December 01, 2016 Filed Dec 5, 2016 20:13 UTC
OBARA PATCHIEF FINANCIAL OFFICER
GrantCOMMON STOCK 2,066 $0.88 $1,818.08
Disclosure

SEC source: 0001279569-16-004792 · v454410_4.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,712

Read SEC document
December 01, 2016 Filed Dec 5, 2016 20:06 UTC
Adnani AmirDirector · President and CEO
GrantCommon Stock 11,591 $0.88 $10,200.08
Disclosure

SEC source: 0001279569-16-004788 · v454408_4.xml · nonDerivative · entry 1

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,187,623

Read SEC document
November 02, 2016 Filed Nov 3, 2016 22:30 UTC
OBARA PATChief Financial Officer
SaleCOMMON STOCK 50,000 $0.85 $42,500.00
Disclosure

SEC source: 0001183740-16-000445 · primary_doc.xml · nonDerivative · entry 2

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,646

Read SEC document
November 01, 2016 Filed Nov 3, 2016 20:05 UTC
MANI GANPATDirector
GrantCOMMON STOCK 1,667 $0.90 $1,500.30
Disclosure

SEC source: 0001183740-16-000452 · primary_doc.xml · nonDerivative · entry 1

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,245

Read SEC document
November 01, 2016 Filed Nov 3, 2016 23:59 UTC GrantCOMMON STOCK 1,667 $0.90 $1,500.30
Disclosure

SEC source: 0001183740-16-000451 · primary_doc.xml · nonDerivative · entry 1

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,711

Read SEC document
November 01, 2016 Filed Nov 3, 2016 22:30 UTC
OBARA PATChief Financial Officer
GrantCOMMON STOCK 2,023 $0.90 $1,820.70
Disclosure

SEC source: 0001183740-16-000445 · primary_doc.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,646

Read SEC document
November 01, 2016 Filed Nov 4, 2016 00:11 UTC GrantCOMMON STOCK 1,667 $0.90 $1,500.30
Disclosure

SEC source: 0001183740-16-000453 · primary_doc.xml · nonDerivative · entry 2

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,920

Read SEC document
November 01, 2016 Filed Nov 4, 2016 00:11 UTC GrantCOMMON STOCK 3,611 $0.90 $3,249.90
Disclosure

SEC source: 0001183740-16-000453 · primary_doc.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,253

Read SEC document
November 01, 2016 Filed Nov 4, 2016 00:27 UTC GrantCOMMON STOCK 1,667 $0.90 $1,500.30
Disclosure

SEC source: 0001183740-16-000455 · primary_doc.xml · nonDerivative · entry 1

OBOLENSKY IVAN · CIK 0001395328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,130

Read SEC document
November 01, 2016 Filed Nov 4, 2016 00:22 UTC
KONG DAVIDDirector
GrantCOMMON STOCK 1,554 $0.90 $1,398.60
Disclosure

SEC source: 0001183740-16-000454 · primary_doc.xml · nonDerivative · entry 1

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,744

Read SEC document
November 01, 2016 Filed Nov 3, 2016 23:20 UTC
UNDERDOWN WILLIAM R JRVice President Production
GrantCOMMON STOCK 2,208 $0.90 $1,987.20
Disclosure

SEC source: 0001183740-16-000449 · primary_doc.xml · nonDerivative · entry 1

UNDERDOWN WILLIAM R JR · CIK 0001514924 · Vice President Production

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,151

Read SEC document
November 01, 2016 Filed Nov 3, 2016 23:01 UTC
KURRUS ANDREW WILLIAM IIIVP Resource Development
GrantCOMMON STOCK 2,589 $0.90 $2,330.10
Disclosure

SEC source: 0001183740-16-000448 · primary_doc.xml · nonDerivative · entry 1

KURRUS ANDREW WILLIAM III · CIK 0001589070 · VP Resource Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,359

Read SEC document
November 01, 2016 Filed Nov 3, 2016 22:43 UTC
MELBYE SCOTTExecutive Vice President
GrantCOMMON STOCK 4,418 $0.90 $3,976.20
Disclosure

SEC source: 0001183740-16-000447 · primary_doc.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,803

Read SEC document
November 01, 2016 Filed Nov 3, 2016 22:37 UTC
Adnani AmirDirector · President & CEO
GrantCOMMON STOCK 11,333 $0.90 $10,199.70
Disclosure

SEC source: 0001183740-16-000446 · primary_doc.xml · nonDerivative · entry 1

Adnani Amir · CIK 0001346101 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,176,032

Read SEC document
October 10, 2016 Filed Oct 12, 2016 20:06 UTC
OBARA PATCHIEF FINANCIAL OFFICER
Exercise / conversionOPTIONS TO PURCHASE · Derivative 180,000 $0.00 Strike: $0.45 $0.00
Disclosure

SEC source: 0001279569-16-004474 · v450460_form4.xml · derivative · entry 4

OBARA PAT · CIK 0001373816 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 613,000

Underlying: COMMON STOCK · 180,000 shares

Expires 2016-10-10

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.

F3 · balance_after: Subsequent to such exercise, the Reporting Person holds options to purchase: 125,000 shares at an exercise price of $0.45 per share expiring on April 7, 2018; 400,000 shares at an exercise price of $1.32 per share, expiring on September 3, 2019; and 88,000 shares at an exercise price of $0.93 expiring on July 28, 2021 (these options to purchase 88,000 shares vest over an 18-month period from grant, such that 25% will vest on October 28, 2016, 25% will vest on January 28, 2017, 25% will vest on July 28, 2017 and the final 25% will vest on January 28, 2018)

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.