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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
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
July 31, 2023 Filed Aug 2, 2023 22:50 UTC
OBARA PATChief Financial Officer
Exercise / conversionCOMMON STOCK 22,374 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021698 · rdgdoc.xml · nonDerivative · entry 3

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 745,053

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 20,954 $3.12 $65,376.48
Disclosure

SEC source: 0001437749-23-021698 · rdgdoc.xml · nonDerivative · entry 2

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 722,679

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 39,166 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021698 · rdgdoc.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 743,633

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 22:36 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
GrantPerformance Stock Options · Derivative 19,560 $0.00 Strike: $3.98 $0.00
Disclosure

SEC source: 0001437749-23-021694 · rdgdoc.xml · derivative · entry 12

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 244,560

Underlying: Common Stock · 19,560 shares

Expires not disclosed

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).

F9 · derivative.expiration_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 22:36 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
GrantPerformance Based Restricted Stock Units · Derivative 71,795 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021694 · rdgdoc.xml · derivative · entry 11

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 206,009

Underlying: Common Stock · 71,795 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 2, 2023 22:36 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
GrantRestricted Stock Units · Derivative 67,692 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021694 · rdgdoc.xml · derivative · entry 10

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 144,121

Underlying: Common Stock · 67,692 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 2, 2023 22:36 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionRestricted Stock Units · Derivative 13,191 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021694 · rdgdoc.xml · derivative · entry 9

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,757

Underlying: Common Stock · 13,191 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 22:36 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionRestricted Stock Units · Derivative 22,374 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021694 · rdgdoc.xml · derivative · entry 8

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,948

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 22:36 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionRestricted Stock Units · Derivative 28,333 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-021694 · rdgdoc.xml · derivative · entry 7

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,322

Underlying: Common Stock · 28,333 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 2, 2023 22:36 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Tax withholdingCOMMON STOCK 3,793 $3.32 $12,592.76
Disclosure

SEC source: 0001437749-23-021694 · rdgdoc.xml · nonDerivative · entry 6

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 894,373

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 22:36 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionCOMMON STOCK 13,191 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021694 · rdgdoc.xml · nonDerivative · entry 5

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 898,166

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 22:36 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Tax withholdingCOMMON STOCK 6,433 $3.21 $20,649.93
Disclosure

SEC source: 0001437749-23-021694 · rdgdoc.xml · nonDerivative · entry 4

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 884,975

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 22:36 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionCOMMON STOCK 22,374 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021694 · rdgdoc.xml · nonDerivative · entry 3

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 891,408

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 22:36 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Tax withholdingCOMMON STOCK 8,080 $3.12 $25,209.60
Disclosure

SEC source: 0001437749-23-021694 · rdgdoc.xml · nonDerivative · entry 2

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 869,034

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 22:36 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionCOMMON STOCK 28,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-23-021694 · rdgdoc.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 877,114

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 1, 2026 01:22 UTC Amendment
Adnani AmirDirector · President and CEO
GrantPerformance Stock Options · Derivative 114,915 $0.00 Strike: $3.98 $0.00
Disclosure

SEC source: 0001437749-26-025285 · 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 1, 2026 01:22 UTC Amendment
Adnani AmirDirector · President and CEO
GrantPerformance Based Restricted Stock Units · Derivative 421,795 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-025285 · rdgdoc.xml · derivative · entry 11

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

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 1, 2026 01:22 UTC Amendment
Adnani AmirDirector · President and CEO
GrantRestricted Stock Units · Derivative 397,692 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-025285 · rdgdoc.xml · derivative · entry 10

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

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 1, 2026 01:22 UTC Amendment
Adnani AmirDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 48,040 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-025285 · 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 1, 2026 01:22 UTC Amendment
Adnani AmirDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 78,488 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-025285 · 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 1, 2026 01:22 UTC Amendment
Adnani AmirDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 133,333 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-025285 · 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 1, 2026 01:22 UTC Amendment
Adnani AmirDirector · President and CEO
Tax withholdingCommon Stock 25,702 $3.32 $85,330.64
Disclosure

SEC source: 0001437749-26-025285 · 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 1, 2026 01:22 UTC Amendment
Adnani AmirDirector · President and CEO
Exercise / conversionCommon Stock 48,040 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-26-025285 · 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 1, 2026 01:22 UTC Amendment
Adnani AmirDirector · President and CEO
Tax withholdingCommon Stock 41,992 $3.21 $134,794.32
Disclosure

SEC source: 0001437749-26-025285 · 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 1, 2026 01:22 UTC Amendment
Adnani AmirDirector · President and CEO
Exercise / conversionCommon Stock 78,488 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-26-025285 · 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 1, 2026 01:22 UTC Amendment
Adnani AmirDirector · President and CEO
Tax withholdingCommon Stock 71,334 $3.12 $222,562.08
Disclosure

SEC source: 0001437749-26-025285 · 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 1, 2026 01:22 UTC Amendment
Adnani AmirDirector · President and CEO
Exercise / conversionCommon Stock 133,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-26-025285 · 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 25, 2023 Filed Jul 26, 2023 16:37 UTC
MANI GANPATformer Director
OtherOptions · Derivative 40,000 $0.00 Strike: $1.53 $0.00
Disclosure

SEC source: 0001437749-23-020722 · rdgdoc.xml · derivative · entry 1

MANI GANPAT · CIK 0001411143 · former Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2023-07-25

F1 · kind: This stock option expired unexercised.

F2 · balance_after: Nil

Read SEC document
July 21, 2023 Filed Jul 25, 2023 22:02 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionOptions · Derivative 75,000 Not disclosed Strike: $1.53 Not disclosed
Disclosure

SEC source: 0001437749-23-020632 · rdgdoc.xml · derivative · entry 2

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 75,000 shares

Expires 2023-07-25

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

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

Read SEC document
July 21, 2023 Filed Jul 25, 2023 22:02 UTC
MELBYE SCOTTEXECUTIVE VICE PRESIDENT
Exercise / conversionCOMMON STOCK 75,000 $1.53 $114,750.00
Disclosure

SEC source: 0001437749-23-020632 · rdgdoc.xml · nonDerivative · entry 1

MELBYE SCOTT · CIK 0001619749 · EXECUTIVE VICE PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 848,781

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
July 21, 2023 Filed Jul 25, 2023 21:49 UTC Exercise / conversionOptions · Derivative 100,000 Not disclosed Strike: $1.53 Not disclosed
Disclosure

SEC source: 0001437749-23-020629 · rdgdoc.xml · derivative · entry 4

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194,735

Underlying: Common Stock · 100,000 shares

Expires 2023-07-25

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

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

Read SEC document
July 21, 2023 Filed Jul 25, 2023 21:49 UTC SaleCOMMON STOCK 50,000 $3.21 $160,500.00
Disclosure

SEC source: 0001437749-23-020629 · rdgdoc.xml · nonDerivative · entry 3

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,730

Read SEC document
July 21, 2023 Filed Jul 25, 2023 21:49 UTC Tax withholdingCOMMON STOCK 47,664 $3.21 $153,001.44
Disclosure

SEC source: 0001437749-23-020629 · rdgdoc.xml · nonDerivative · entry 2

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,730

F1 · price: The Reporting Person exercised options previously granted to her under the Company stock incentive plan, electing to pay the exercise price pursuant to the deemed net-stock exercise provision of such plan. As such the Issuer withheld 47,664 shares at a fair market value of $3.21 per share being equal to the exercise price, such that the Reporting Person was issued 52,336 shares.

Read SEC document
July 21, 2023 Filed Jul 25, 2023 21:49 UTC Exercise / conversionCOMMON STOCK 100,000 $1.53 $153,000.00
Disclosure

SEC source: 0001437749-23-020629 · rdgdoc.xml · nonDerivative · entry 1

Ballesta Moya Gloria L · CIK 0001746922 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 174,394

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

F1 · price: The Reporting Person exercised options previously granted to her under the Company stock incentive plan, electing to pay the exercise price pursuant to the deemed net-stock exercise provision of such plan. As such the Issuer withheld 47,664 shares at a fair market value of $3.21 per share being equal to the exercise price, such that the Reporting Person was issued 52,336 shares.

Read SEC document
July 20, 2023 Filed Jul 24, 2023 21:05 UTC Amendment
MANI GANPATformer Director
OtherOptions · Derivative 24,651 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-020574 · rdgdoc.xml · derivative · entry 2

MANI GANPAT · CIK 0001411143 · former Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,651 shares

Expires not disclosed

F5 · derivative.exercise_price: Each Option represents a contingent right to receive one share of common stock.

F6 · kind: As a result of not standing for re-election on July 20, 2023 and the options not beginning to vest until July 21 and 29, 2023; Jan 29 and Jul 29, 2024, the options were forfeited to the Issuer.

F7 · derivative.exercise_date: None of the options vested as the reporting person stepped down as a director before the options began to vest starting on July 21 and 29, 2023; Jan 29 and Jul 29, 2024.

F7 · derivative.expiration_date: None of the options vested as the reporting person stepped down as a director before the options began to vest starting on July 21 and 29, 2023; Jan 29 and Jul 29, 2024.

F8 · balance_after: Nil

Read SEC document
July 20, 2023 Filed Jul 24, 2023 21:05 UTC Amendment
MANI GANPATformer Director
OtherRestricted Stock Units · Derivative 11,935 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-020574 · rdgdoc.xml · derivative · entry 1

MANI GANPAT · CIK 0001411143 · former Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,935 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: As a result of not standing for re-election on July 20, 2023 and the restricted stock units not beginning to vest until July 29, 2023, the restricted stock units were forfeited to the Issuer.

F3 · derivative.exercise_date: None of the restricted stock units vested as the reporting person stepped down as a director before the restricted stock units began to vest starting on July 29, 2023.

F4 · derivative.expiration_date: None of the restricted stock units vested as the reporting person stepped down as a director before the restricted stock units began to vest starting on July 29, 2023.

F8 · balance_after: Nil

Read SEC document
July 20, 2023 Filed Jul 24, 2023 20:13 UTC Amendment
MANI GANPATDirector
OtherOptions · Derivative 24,651 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-020568 · rdgdoc.xml · derivative · entry 2

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,651 shares

Expires not disclosed

F5 · derivative.exercise_price: Each Option represents a contingent right to receive one share of common stock.

F6 · kind: As a result of not standing for re-election on July 20, 2023 and the options not beginning to vest until July 21 and 29, 2023; Jan 29 and Jul 29, 2024, the options were forfeited to the Issuer.

F7 · derivative.exercise_date: None of the options vested as the reporting person stepped down as a director before the options began to vest starting on July 21 and 29, 2023; Jan 29 and Jul 29, 2024.

F7 · derivative.expiration_date: None of the options vested as the reporting person stepped down as a director before the options began to vest starting on July 21 and 29, 2023; Jan 29 and Jul 29, 2024.

F8 · balance_after: Nil

Read SEC document
July 20, 2023 Filed Jul 24, 2023 20:13 UTC Amendment
MANI GANPATDirector
OtherRestricted Stock Units · Derivative 11,935 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-020568 · rdgdoc.xml · derivative · entry 1

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,935 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: As a result of not standing for re-election on July 20, 2023 and the restricted stock units not beginning to vest until July 29, 2023, the restricted stock units were forfeited to the Issuer.

F3 · derivative.exercise_date: None of the restricted stock units vested as the reporting person stepped down as a director before the restricted stock units began to vest starting on July 29, 2023.

F4 · derivative.expiration_date: None of the restricted stock units vested as the reporting person stepped down as a director before the restricted stock units began to vest starting on July 29, 2023.

F8 · balance_after: Nil

Read SEC document
July 20, 2023 Filed Jul 24, 2023 20:00 UTC
MANI GANPATDirector
OtherOptions · Derivative 24,651 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-020566 · rdgdoc.xml · derivative · entry 2

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,651 shares

Expires not disclosed

F5 · derivative.exercise_price: Each Option represents a contingent right to receive one share of common stock.

F6 · kind: As a result of not standing for re-election on July 20, 2023 and the options not beginning to vest until July 21 and 29, 2023; Jan 29 and Jul 29, 2024, the options were forfeited to the Issuer.

F7 · derivative.exercise_date: None of the options vested as the reporting person stepped down as a director before the options began to vest starting on July 21 and 29, 2023; Jan 29 and Jul 29, 2024.

F7 · derivative.expiration_date: None of the options vested as the reporting person stepped down as a director before the options began to vest starting on July 21 and 29, 2023; Jan 29 and Jul 29, 2024.

F8 · balance_after: Nil

Read SEC document
July 20, 2023 Filed Jul 24, 2023 20:00 UTC
MANI GANPATDirector
OtherRestricted Stock Units · Derivative 11,935 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-020566 · rdgdoc.xml · derivative · entry 1

MANI GANPAT · CIK 0001411143 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,935 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: As a result of not standing for re-election on July 20, 2023 and the restricted stock units not beginning to vest until July 29, 2023, the restricted stock units were forfeited to the Issuer.

F3 · derivative.exercise_date: None of the restricted stock units vested as the reporting person stepped down as a director before the restricted stock units began to vest starting on July 29, 2023.

F4 · derivative.expiration_date: None of the restricted stock units vested as the reporting person stepped down as a director before the restricted stock units began to vest starting on July 29, 2023.

F8 · balance_after: Nil

Read SEC document
July 06, 2023 Filed Jul 11, 2023 00:15 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionOPTIONS · Derivative 400,000 Not disclosed Strike: $1.53 Not disclosed
Disclosure

SEC source: 0001437749-23-019662 · rdgdoc.xml · derivative · entry 4

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 700,000

Underlying: COMMON STOCK · 400,000 shares

Expires 2023-07-25

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

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

Read SEC document
July 06, 2023 Filed Jul 11, 2023 00:15 UTC
Adnani AmirDirector · President and CEO
Tax withholdingCOMMON STOCK 59,542 $3.39 $201,847.38
Disclosure

SEC source: 0001437749-23-019662 · rdgdoc.xml · nonDerivative · entry 3

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,795,028

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 180,531 shares at a fair market value of $3.39 per share being equal to the exercise price, and 59,542 shares to satisfy tax withholding requirements, such that the Reporting Person was issued 159,927 shares.

Read SEC document
July 06, 2023 Filed Jul 11, 2023 00:15 UTC
Adnani AmirDirector · President and CEO
Tax withholdingCOMMON STOCK 180,531 $3.39 $612,000.09
Disclosure

SEC source: 0001437749-23-019662 · rdgdoc.xml · nonDerivative · entry 2

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,854,570

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 180,531 shares at a fair market value of $3.39 per share being equal to the exercise price, and 59,542 shares to satisfy tax withholding requirements, such that the Reporting Person was issued 159,927 shares.

Read SEC document
July 06, 2023 Filed Jul 11, 2023 00:15 UTC
Adnani AmirDirector · President and CEO
Exercise / conversionCOMMON STOCK 400,000 $1.53 $612,000.00
Disclosure

SEC source: 0001437749-23-019662 · rdgdoc.xml · nonDerivative · entry 1

Adnani Amir · CIK 0001346101 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,035,101

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 180,531 shares at a fair market value of $3.39 per share being equal to the exercise price, and 59,542 shares to satisfy tax withholding requirements, such that the Reporting Person was issued 159,927 shares.

Read SEC document
July 06, 2023 Filed Jul 10, 2023 22:29 UTC
OBARA PATChief Financial Officer
Exercise / conversionOPTIONS · Derivative 100,000 Not disclosed Strike: $1.53 Not disclosed
Disclosure

SEC source: 0001437749-23-019656 · rdgdoc.xml · derivative · entry 4

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

Underlying: COMMON STOCK · 100,000 shares

Expires 2023-07-25

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

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

Read SEC document
July 06, 2023 Filed Jul 10, 2023 22:29 UTC
OBARA PATChief Financial Officer
Tax withholdingCOMMON STOCK 14,677 $3.39 $49,755.03
Disclosure

SEC source: 0001437749-23-019656 · rdgdoc.xml · nonDerivative · entry 3

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 704,467

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 45,133 shares at a fair market value of $3.39 per share being equal to the exercise price, and 14,677 shares to satisfy tax withholding requirements, such that the Reporting Person was issued 40,190 shares.

Read SEC document
July 06, 2023 Filed Jul 10, 2023 22:29 UTC
OBARA PATChief Financial Officer
Tax withholdingCOMMON STOCK 45,133 $3.39 $153,000.87
Disclosure

SEC source: 0001437749-23-019656 · rdgdoc.xml · nonDerivative · entry 2

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 719,144

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 45,133 shares at a fair market value of $3.39 per share being equal to the exercise price, and 14,677 shares to satisfy tax withholding requirements, such that the Reporting Person was issued 40,190 shares.

Read SEC document
July 06, 2023 Filed Jul 10, 2023 22:29 UTC
OBARA PATChief Financial Officer
Exercise / conversionCOMMON STOCK 100,000 $1.53 $153,000.00
Disclosure

SEC source: 0001437749-23-019656 · rdgdoc.xml · nonDerivative · entry 1

OBARA PAT · CIK 0001373816 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 764,277

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 45,133 shares at a fair market value of $3.39 per share being equal to the exercise price, and 14,677 shares to satisfy tax withholding requirements, such that the Reporting Person was issued 40,190 shares.

Read SEC document
July 05, 2023 Filed Jul 7, 2023 21:33 UTC Exercise / conversionOPTIONS · Derivative 40,000 Not disclosed Strike: $1.53 Not disclosed
Disclosure

SEC source: 0001437749-23-019615 · rdgdoc.xml · derivative · entry 5

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 187,735

Underlying: COMMON STOCK · 40,000 shares

Expires 2023-07-25

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

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

Read SEC document
July 05, 2023 Filed Jul 7, 2023 21:33 UTC SaleCOMMON STOCK 19,000 $3.39 $64,427.10
Disclosure

SEC source: 0001437749-23-019615 · rdgdoc.xml · nonDerivative · entry 4

DELLA VOLPE VINCENT · CIK 0001407958 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 266,326

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.