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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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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
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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
November 14, 2023 Filed Nov 16, 2023 23:34 UTC
OBARA PATChief Financial Officer
SaleCommon Stock 8,000 $6.05 $48,400.00
Disclosure

SEC source: 0001437749-23-032388 · rdgdoc.xml · nonDerivative · entry 6

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 809,132

Read SEC document
November 14, 2023 Filed Nov 16, 2023 23:34 UTC
OBARA PATChief Financial Officer
SaleCommon Stock 7,000 $6.03 $42,210.00
Disclosure

SEC source: 0001437749-23-032388 · rdgdoc.xml · nonDerivative · entry 5

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 817,132

Read SEC document
November 14, 2023 Filed Nov 16, 2023 23:34 UTC
OBARA PATChief Financial Officer
SaleCommon Stock 6,500 $6.02 $39,130.00
Disclosure

SEC source: 0001437749-23-032388 · rdgdoc.xml · nonDerivative · entry 4

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 824,132

Read SEC document
November 14, 2023 Filed Nov 16, 2023 23:34 UTC
OBARA PATChief Financial Officer
Tax withholdingCommon Stock 33,918 $6.09 $206,560.62
Disclosure

SEC source: 0001437749-23-032388 · rdgdoc.xml · nonDerivative · entry 3

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 830,632

F1 · price: (1) 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 23,205 shares at a fair market value of $6.09 per share being equal to the exercise price, and 33,918 shares to satisfy tax withholding requirements, such that the Reporting Person was issued 92,877 shares.

Read SEC document
November 14, 2023 Filed Nov 16, 2023 23:34 UTC
OBARA PATChief Financial Officer
Tax withholdingCommon Stock 23,205 $6.09 $141,318.45
Disclosure

SEC source: 0001437749-23-032388 · rdgdoc.xml · nonDerivative · entry 2

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 864,550

F1 · price: (1) 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 23,205 shares at a fair market value of $6.09 per share being equal to the exercise price, and 33,918 shares to satisfy tax withholding requirements, such that the Reporting Person was issued 92,877 shares.

Read SEC document
November 14, 2023 Filed Nov 16, 2023 23:34 UTC
OBARA PATChief Financial Officer
Exercise / conversionCommon Stock 150,000 $0.94 $141,315.00
Disclosure

SEC source: 0001437749-23-032388 · rdgdoc.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 887,755

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: (1) 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 23,205 shares at a fair market value of $6.09 per share being equal to the exercise price, and 33,918 shares to satisfy tax withholding requirements, such that the Reporting Person was issued 92,877 shares.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 23:21 UTC GrantRestricted Stock Units · Derivative 15,385 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021707 · rdgdoc.xml · derivative · entry 2

Canty Trecia M · CIK 0001654375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,385

Underlying: Common Stock · 15,385 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 2023 Stock Incentive Plan.

F4 · derivative.exercise_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. 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 31, 2024. Vested shares will be delivered to the reporting person no later than August 30th of each year.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 23:21 UTC GrantOptions · Derivative 23,219 $0.00 Strike: $3.32 $0.00
Disclosure

SEC source: 0001437749-23-021707 · rdgdoc.xml · derivative · entry 1

Canty Trecia M · CIK 0001654375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,219

Underlying: Common Stock · 23,219 shares

Expires 2033-07-31

F2 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F3 · 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 31, 2023 Filed Aug 2, 2023 22:54 UTC GrantRestricted Stock Units · Derivative 15,385 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021700 · rdgdoc.xml · derivative · entry 4

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,923

Underlying: Common Stock · 15,385 shares

Expires not disclosed

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

F3 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F5 · derivative.exercise_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. Vested shares will be delivered to the reporting person no later than August 30th of each year.

F5 · derivative.expiration_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. Vested shares will be delivered to the reporting person no later than August 30th of each year.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 22:54 UTC GrantOptions · Derivative 23,219 $0.00 Strike: $3.32 $0.00
Disclosure

SEC source: 0001437749-23-021700 · rdgdoc.xml · derivative · entry 3

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,954

Underlying: Common Stock · 23,219 shares

Expires 2033-07-31

F3 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F4 · 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 31, 2023 Filed Aug 2, 2023 22:54 UTC Exercise / conversionRestricted Stock Units · Derivative 3,769 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021700 · rdgdoc.xml · derivative · entry 2

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,538

Underlying: Common Stock · 3,769 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, 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, second and third anniversary of the grant date.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 22:54 UTC Exercise / conversionCOMMON STOCK 3,769 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021700 · rdgdoc.xml · nonDerivative · entry 1

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 270,095

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, 2023 Filed Aug 2, 2023 23:41 UTC GrantRestricted Stock Units · Derivative 38,462 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021709 · rdgdoc.xml · derivative · entry 8

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,430

Underlying: Common Stock · 38,462 shares

Expires not disclosed

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

F4 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F6 · derivative.exercise_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. Vested shares will be delivered to the reporting person no later than August 31st of each year.

F6 · derivative.expiration_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. Vested shares will be delivered to the reporting person no later than August 31st of each year.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 23:41 UTC GrantOptions · Derivative 58,047 $0.00 Strike: $3.32 $0.00
Disclosure

SEC source: 0001437749-23-021709 · rdgdoc.xml · derivative · entry 7

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,967

Underlying: Common Stock · 58,047 shares

Expires 2033-07-31

F4 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F5 · 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 31, 2023 Filed Aug 2, 2023 23:41 UTC Exercise / conversionRestricted Stock Units · Derivative 8,165 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021709 · rdgdoc.xml · derivative · entry 6

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,968

Underlying: Common Stock · 8,165 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.

F3 · derivative.exercise_date: This award has vested as to one-third of the Restricted Stock Units on the first, second and third anniversary of the grant date.

F3 · derivative.expiration_date: This award has vested as to one-third of the Restricted Stock Units on the first, second and third anniversary of the grant date.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 23:41 UTC Exercise / conversionRestricted Stock Units · Derivative 12,635 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021709 · rdgdoc.xml · derivative · entry 5

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,133

Underlying: Common Stock · 12,635 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.

F3 · derivative.exercise_date: This award has vested as to one-third of the Restricted Stock Units on the first, second and third anniversary of the grant date.

F3 · derivative.expiration_date: This award has vested as to one-third of the Restricted Stock Units on the first, second and third anniversary of the grant date.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 23:41 UTC Exercise / conversionRestricted Stock Units · Derivative 16,666 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021709 · rdgdoc.xml · derivative · entry 4

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,768

Underlying: Common Stock · 16,666 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 31, 2023 Filed Aug 2, 2023 23:41 UTC Exercise / conversionCOMMON STOCK 8,165 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021709 · rdgdoc.xml · nonDerivative · entry 3

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 642,903

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, 2023 Filed Aug 2, 2023 23:41 UTC Exercise / conversionCOMMON STOCK 12,635 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021709 · rdgdoc.xml · nonDerivative · entry 2

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 634,738

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, 2023 Filed Aug 2, 2023 23:41 UTC Exercise / conversionCOMMON STOCK 16,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021709 · rdgdoc.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 622,103

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, 2023 Filed Aug 3, 2023 00:09 UTC
Adnani AmirDirector · President and CEO
GrantPerformance Stock Options · Derivative 114,915 $0.00 Strike: $3.98 $0.00
Disclosure

SEC source: 0001437749-23-021717 · rdgdoc.xml · derivative · entry 12

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 964,915

Underlying: Common Stock · 114,915 shares

Expires 2033-07-31

F5 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F9 · 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 31, 2023 Filed Aug 3, 2023 00:09 UTC
Adnani AmirDirector · President and CEO
GrantPerformance Based Restricted Stock Units · Derivative 421,795 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021717 · rdgdoc.xml · derivative · entry 11

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · Amir Adnani Corp.

Disclosed balance after: 898,597

Underlying: Common Stock · 421,795 shares

Expires not disclosed

F7 · derivative.exercise_price: Each Performance Based Restricted Stock Unit represents a contingent right to receive one share of common stock.

F5 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F8 · derivative.exercise_date: The Performance Based Restricted Stock Units vest 100% on July 31, 2026. Vested shares will be delivered to the reporting person no later than August 30th, 2026.

F8 · derivative.expiration_date: The Performance Based Restricted Stock Units vest 100% on July 31, 2026. Vested shares will be delivered to the reporting person no later than August 30th, 2026.

Read SEC document
July 31, 2023 Filed Aug 3, 2023 00:09 UTC
Adnani AmirDirector · President and CEO
GrantRestricted Stock Units · Derivative 397,692 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021717 · rdgdoc.xml · derivative · entry 10

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · Amir Adnani Corp.

Disclosed balance after: 572,262

Underlying: Common Stock · 397,692 shares

Expires not disclosed

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

F5 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F6 · derivative.exercise_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. Vested shares will be delivered to the reporting person no later than August 30th of each year.

F6 · derivative.expiration_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. Vested shares will be delivered to the reporting person no later than August 30th of each year.

Read SEC document
July 31, 2023 Filed Aug 3, 2023 00:09 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 48,040 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021717 · rdgdoc.xml · derivative · entry 9

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 174,570

Underlying: Common Stock · 48,040 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.

F4 · derivative.exercise_date: This award has vested as to one-third of the Restricted Stock Units on the first, second and third anniversary of the grant date.

F4 · derivative.expiration_date: This award has vested as to one-third of the Restricted Stock Units on the first, second and third anniversary of the grant date.

Read SEC document
July 31, 2023 Filed Aug 3, 2023 00:09 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 78,488 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021717 · rdgdoc.xml · derivative · entry 8

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 222,610

Underlying: Common Stock · 78,488 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.

F4 · derivative.exercise_date: This award has vested as to one-third of the Restricted Stock Units on the first, second and third anniversary of the grant date.

F4 · derivative.expiration_date: This award has vested as to one-third of the Restricted Stock Units on the first, second and third anniversary of the grant date.

Read SEC document
July 31, 2023 Filed Aug 3, 2023 00:09 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 133,333 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021717 · rdgdoc.xml · derivative · entry 7

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 301,098

Underlying: Common Stock · 133,333 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-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 31, 2023 Filed Aug 3, 2023 00:09 UTC
Adnani AmirDirector · President and CEO
Tax withholdingCOMMON STOCK 25,702 $3.32 $85,330.64
Disclosure

SEC source: 0001437749-23-021717 · rdgdoc.xml · nonDerivative · entry 6

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,915,861

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

Read SEC document
July 31, 2023 Filed Aug 3, 2023 00:09 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionCOMMON STOCK 48,040 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021717 · rdgdoc.xml · nonDerivative · entry 5

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,941,563

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, 2023 Filed Aug 3, 2023 00:09 UTC
Adnani AmirDirector · President and CEO
Tax withholdingCOMMON STOCK 41,992 $3.21 $134,794.32
Disclosure

SEC source: 0001437749-23-021717 · rdgdoc.xml · nonDerivative · entry 4

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,893,523

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

Read SEC document
July 31, 2023 Filed Aug 3, 2023 00:09 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionCOMMON STOCK 78,488 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021717 · rdgdoc.xml · nonDerivative · entry 3

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,935,515

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, 2023 Filed Aug 3, 2023 00:09 UTC
Adnani AmirDirector · President and CEO
Tax withholdingCOMMON STOCK 71,334 $3.12 $222,562.08
Disclosure

SEC source: 0001437749-23-021717 · rdgdoc.xml · nonDerivative · entry 2

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,857,027

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

Read SEC document
July 31, 2023 Filed Aug 3, 2023 00:09 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionCOMMON STOCK 133,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021717 · rdgdoc.xml · nonDerivative · entry 1

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,928,361

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, 2023 Filed Aug 2, 2023 23:18 UTC
KONG DAVIDDirector
GrantRestricted Stock Units · Derivative 15,385 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021705 · rdgdoc.xml · derivative · entry 5

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,598

Underlying: Common Stock · 15,385 shares

Expires not disclosed

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

F4 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F6 · derivative.exercise_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. Vested shares will be delivered to the reporting person no later than August 30th of each year.

F6 · derivative.expiration_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. Vested shares will be delivered to the reporting person no later than August 30th of each year.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 23:18 UTC
KONG DAVIDDirector
GrantOptions · Derivative 23,219 $0.00 Strike: $3.32 $0.00
Disclosure

SEC source: 0001437749-23-021705 · rdgdoc.xml · derivative · entry 4

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,995

Underlying: Common Stock · 23,219 shares

Expires 2033-07-31

F4 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F5 · 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 31, 2023 Filed Aug 2, 2023 23:18 UTC
KONG DAVIDDirector
Exercise / conversionRestricted Stock Units · Derivative 4,606 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021705 · rdgdoc.xml · derivative · entry 3

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,213

Underlying: Common Stock · 4,606 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, 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, second and third anniversary of the grant date.

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July 31, 2023 Filed Aug 2, 2023 23:18 UTC
KONG DAVIDDirector
Tax withholdingCOMMON STOCK 2,303 $3.32 $7,645.96
Disclosure

SEC source: 0001437749-23-021705 · rdgdoc.xml · nonDerivative · entry 2

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,835

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

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July 31, 2023 Filed Aug 2, 2023 23:18 UTC
KONG DAVIDDirector
Exercise / conversionCOMMON STOCK 4,606 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021705 · rdgdoc.xml · nonDerivative · entry 1

KONG DAVID · CIK 0001509171 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,138

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, 2023 Filed Aug 2, 2023 23:10 UTC GrantRestricted Stock Units · Derivative 15,385 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021703 · rdgdoc.xml · derivative · entry 4

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,761

Underlying: Common Stock · 15,385 shares

Expires not disclosed

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

F3 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F5 · derivative.exercise_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. Vested shares will be delivered to the reporting person no later than August 30th of each year.

F5 · derivative.expiration_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. Vested shares will be delivered to the reporting person no later than August 30th of each year.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 23:10 UTC GrantOptions · Derivative 23,219 $0.00 Strike: $3.32 $0.00
Disclosure

SEC source: 0001437749-23-021703 · rdgdoc.xml · derivative · entry 3

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 217,954

Underlying: Common Stock · 23,219 shares

Expires 2033-07-31

F3 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F4 · 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 31, 2023 Filed Aug 2, 2023 23:10 UTC Exercise / conversionRestricted Stock Units · Derivative 4,187 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021703 · rdgdoc.xml · derivative · entry 2

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,376

Underlying: Common Stock · 4,187 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, 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, second and third anniversary of the grant date.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 23:10 UTC Exercise / conversionCOMMON STOCK 4,187 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021703 · rdgdoc.xml · nonDerivative · entry 1

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,917

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, 2023 Filed Aug 2, 2023 22:50 UTC
OBARA PATChief Financial Officer
GrantPerformance Stock Options · Derivative 15,892 $0.00 Strike: $3.98 $0.00
Disclosure

SEC source: 0001437749-23-021698 · rdgdoc.xml · derivative · entry 12

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 265,892

Underlying: Common Stock · 15,892 shares

Expires 2033-07-31

F5 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F9 · 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 31, 2023 Filed Aug 2, 2023 22:50 UTC
OBARA PATChief Financial Officer
GrantPerformance Based Restricted Stock Units · Derivative 58,333 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021698 · rdgdoc.xml · derivative · entry 11

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,899

Underlying: Common Stock · 58,333 shares

Expires not disclosed

F7 · derivative.exercise_price: Each Performance Based Restricted Stock Unit represents a contingent right to receive one share of common stock.

F5 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F8 · derivative.exercise_date: The Performance Based Restricted Stock Units vest 100% on July 31, 2026. Vested shares will be delivered to the reporting person no later than August 30th, 2026.

F8 · derivative.expiration_date: The Performance Based Restricted Stock Units vest 100% on July 31, 2026. Vested shares will be delivered to the reporting person no later than August 30th, 2026.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 22:50 UTC
OBARA PATChief Financial Officer
GrantRestricted Stock Units · Derivative 55,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021698 · rdgdoc.xml · derivative · entry 10

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,476

Underlying: Common Stock · 55,000 shares

Expires not disclosed

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

F5 · kind: Granted pursuant to and in accordance with the Issuer's 2023 Stock Incentive Plan.

F6 · derivative.exercise_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. Vested shares will be delivered to the reporting person no later than August 30th of each year.

F6 · derivative.expiration_date: The Restricted Stock Units vest in three equal annual installments beginning July 31, 2024. Vested shares will be delivered to the reporting person no later than August 30th of each year.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 22:50 UTC
OBARA PATChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 10,050 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021698 · rdgdoc.xml · derivative · entry 9

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,476

Underlying: Common Stock · 10,050 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.

F4 · derivative.exercise_date: This award has vested as to one-third of the Restricted Stock Units on the first, second and third anniversary of the grant date.

F4 · derivative.expiration_date: This award has vested as to one-third of the Restricted Stock Units on the first, second and third anniversary of the grant date.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 22:50 UTC
OBARA PATChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 22,374 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021698 · rdgdoc.xml · derivative · entry 8

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,526

Underlying: Common Stock · 22,374 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.

F4 · derivative.exercise_date: This award has vested as to one-third of the Restricted Stock Units on the first, second and third anniversary of the grant date.

F4 · derivative.expiration_date: This award has vested as to one-third of the Restricted Stock Units on the first, second and third anniversary of the grant date.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 22:50 UTC
OBARA PATChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 39,166 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021698 · rdgdoc.xml · derivative · entry 7

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,900

Underlying: Common Stock · 39,166 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 31, 2023 Filed Aug 2, 2023 22:50 UTC
OBARA PATChief Financial Officer
Tax withholdingCOMMON STOCK 5,377 $3.32 $17,851.64
Disclosure

SEC source: 0001437749-23-021698 · rdgdoc.xml · nonDerivative · entry 6

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 737,755

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

Read SEC document
July 31, 2023 Filed Aug 2, 2023 22:50 UTC
OBARA PATChief Financial Officer
Exercise / conversionCOMMON STOCK 10,050 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021698 · rdgdoc.xml · nonDerivative · entry 5

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 743,132

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, 2023 Filed Aug 2, 2023 22:50 UTC
OBARA PATChief Financial Officer
Tax withholdingCOMMON STOCK 11,971 $3.21 $38,426.91
Disclosure

SEC source: 0001437749-23-021698 · rdgdoc.xml · nonDerivative · entry 4

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 733,082

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

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.