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Nasdaq · USD

UPWK

UPWORK, INC

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4876
SEC CIK
0001627475
Parsed reports
386

Last 12 months

Inside the activity.

0 purchase rows · 43 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025013
Dec 202504
Jan 202600
Feb 202605
Mar 202605
Apr 202600
May 202604
Jun 202603
Jul 202601
Aug 202604
Sep 202604
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 18, 2021 Filed Jan 21, 2021 02:00 UTC
Brown HaydenDirector · President & CEO
GrantEmployee Stock Option (right to buy) · Derivative 1,500,000 $0.00 Strike: $38.80 $0.00
Disclosure

SEC source: 0001209191-21-004583 · doc4.xml · derivative · entry 5

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2031-01-17

F6 · derivative.exercise_date: The option will vest in 16 equal quarterly installments conditioned upon the achievement of certain performance milestones that are based on market capitalization metrics, subject to the Reporting Person's continued employment as the Chief Executive Officer of the Issuer.

Read SEC document
January 18, 2021 Filed Jan 21, 2021 02:00 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionCommon Stock 2,585 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-004583 · doc4.xml · nonDerivative · entry 1

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 439,971

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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
December 23, 2020 Filed Feb 11, 2021 23:24 UTC
LAYTON THOMASDirector · Chairman
GiftCommon Stock 1,188 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-009826 · doc5.xml · nonDerivative · entry 3

LAYTON THOMAS · CIK 0001079457 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 135,911

F2 · shares: Represents shares of the Issuer's common stock that the Reporting Person gifted.

F3 · ownership.nature: Held by Thomas Layton, Trustee of the Thomas H Layton Separate Property Revocable Trust dtd 11/29/99.

Read SEC document
December 18, 2020 Filed Dec 22, 2020 21:39 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionRestricted Stock Units (RSU) · Derivative 54,395 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-064847 · doc4.xml · derivative · entry 6

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 652,742

Underlying: Common Stock · 54,395 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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: 6.25% of the total shares vested on March 18, 2020, and then 6.25% of the total shares vest on each quarterly anniversary thereafter, subject to the Reporting Person's continued employment as the Chief Executive Officer of the Issuer.

F6 · derivative.expiration_date: 6.25% of the total shares vested on March 18, 2020, and then 6.25% of the total shares vest on each quarterly anniversary thereafter, subject to the Reporting Person's continued employment as the Chief Executive Officer of the Issuer.

Read SEC document
December 18, 2020 Filed Dec 22, 2020 21:39 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionRestricted Stock Units (RSU) · Derivative 3,860 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-064847 · doc4.xml · derivative · entry 5

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,740

Underlying: Common Stock · 3,860 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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: 6.25% of the total shares vested on June 18, 2019, and then 6.25% of the total shares vest on each quarterly anniversary thereafter, subject to the Reporting Person's continued employment with the Issuer.

F5 · derivative.expiration_date: 6.25% of the total shares vested on June 18, 2019, and then 6.25% of the total shares vest on each quarterly anniversary thereafter, subject to the Reporting Person's continued employment with the Issuer.

Read SEC document
December 18, 2020 Filed Dec 22, 2020 21:39 UTC
Brown HaydenDirector · President & CEO
SaleCommon Stock 1,549 $40.24 $62,339.20
Disclosure

SEC source: 0001209191-20-064847 · doc4.xml · nonDerivative · entry 4

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 437,386

F2 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of the RSUs listed in Table II. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.23 to $40.30 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
December 18, 2020 Filed Dec 22, 2020 21:39 UTC
Brown HaydenDirector · President & CEO
SaleCommon Stock 28,043 $39.79 $1,115,758.06
Disclosure

SEC source: 0001209191-20-064847 · doc4.xml · nonDerivative · entry 3

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 438,935

F2 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of the RSUs listed in Table II. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.23 to $40.22 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
December 18, 2020 Filed Dec 22, 2020 21:39 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionCommon Stock 54,395 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-064847 · doc4.xml · nonDerivative · entry 2

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 466,978

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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
December 18, 2020 Filed Dec 22, 2020 21:39 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionCommon Stock 3,860 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-064847 · doc4.xml · nonDerivative · entry 1

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,583

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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
November 23, 2020 Filed Nov 25, 2020 17:30 UTC Exercise / conversionDirector Stock Option (right to buy) · Derivative 25,000 $0.00 Strike: $3.67 $0.00
Disclosure

SEC source: 0001209191-20-060568 · doc4.xml · derivative · entry 4

NELSON ELIZABETH A · CIK 0001198788 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,000

Underlying: Common Stock · 25,000 shares

Expires 2025-02-28

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

F2 · derivative.exercise_date: The option is fully vested and exercisable.

Read SEC document
November 23, 2020 Filed Nov 25, 2020 17:30 UTC SaleCommon Stock 41,674 $35.15 $1,464,928.62
Disclosure

SEC source: 0001209191-20-060568 · doc4.xml · nonDerivative · entry 2

NELSON ELIZABETH A · CIK 0001198788 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,952

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.31 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 23, 2020 Filed Nov 25, 2020 17:30 UTC Exercise / conversionCommon Stock 25,000 $3.67 $91,750.00
Disclosure

SEC source: 0001209191-20-060568 · doc4.xml · nonDerivative · entry 1

NELSON ELIZABETH A · CIK 0001198788 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,626

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
November 20, 2020 Filed Nov 20, 2020 19:46 UTC
Gilpin EricSenior VP, Sales
SaleCommon Stock 969 $36.04 $34,921.79
Disclosure

SEC source: 0001209191-20-059803 · doc4.xml · nonDerivative · entry 4

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,687

F5 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F7 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.88 to $36.13 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 20, 2020 Filed Nov 20, 2020 19:46 UTC
Gilpin EricSenior VP, Sales
SaleCommon Stock 2,622 $35.48 $93,034.07
Disclosure

SEC source: 0001209191-20-059803 · doc4.xml · nonDerivative · entry 3

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,656

F5 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F6 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.87 to $35.86 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 18, 2020 Filed Nov 20, 2020 19:46 UTC
Gilpin EricSenior VP, Sales
Exercise / conversionRestricted Stock Units (RSU) · Derivative 6,735 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-059803 · doc4.xml · derivative · entry 5

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,554

Underlying: Common Stock · 6,735 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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F8 · derivative.exercise_date: The RSUs vest in equal quarterly installments over four years beginning on May 18, 2020, subject to the continuing employment of the Reporting Person on each vesting date.

F8 · derivative.expiration_date: The RSUs vest in equal quarterly installments over four years beginning on May 18, 2020, subject to the continuing employment of the Reporting Person on each vesting date.

Read SEC document
November 18, 2020 Filed Nov 20, 2020 19:46 UTC
Gilpin EricSenior VP, Sales
SaleCommon Stock 3,144 $34.10 $107,208.51
Disclosure

SEC source: 0001209191-20-059803 · doc4.xml · nonDerivative · entry 2

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,278

F3 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of the RSUs listed in Table II. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.59 to $34.535 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 18, 2020 Filed Nov 20, 2020 19:46 UTC
Gilpin EricSenior VP, Sales
Exercise / conversionCommon Stock 6,735 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-059803 · doc4.xml · nonDerivative · entry 1

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,422

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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Includes 1,081 shares acquired under the Issuer's employee stock purchase plan on November 13, 2020.

Read SEC document
November 10, 2020 Filed Nov 10, 2020 18:58 UTC
Gilpin EricSenior VP, Sales
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 10,000 $0.00 Strike: $3.23 $0.00
Disclosure

SEC source: 0001209191-20-057763 · doc4.xml · derivative · entry 12

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,000

Underlying: Common Stock · 10,000 shares

Expires 2026-04-19

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.

F8 · derivative.exercise_date: The stock option vested with respect to 1/5th of the total shares on April 20, 2017, and then 1/60th of the total shares vest monthly thereafter, subject to the continuing employment of the Reporting Person on each vesting date.

Read SEC document
November 10, 2020 Filed Nov 10, 2020 18:58 UTC
Gilpin EricSenior VP, Sales
SaleCommon Stock 500 $27.91 $13,956.00
Disclosure

SEC source: 0001209191-20-057763 · doc4.xml · nonDerivative · entry 9

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,606

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F7 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.61 to $28.34 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 10, 2020 Filed Nov 10, 2020 18:58 UTC
Gilpin EricSenior VP, Sales
SaleCommon Stock 8,500 $27.26 $231,721.90
Disclosure

SEC source: 0001209191-20-057763 · doc4.xml · nonDerivative · entry 8

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,106

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F6 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.60 to $27.54 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 10, 2020 Filed Nov 10, 2020 18:58 UTC
Gilpin EricSenior VP, Sales
SaleCommon Stock 1,000 $25.98 $25,975.00
Disclosure

SEC source: 0001209191-20-057763 · doc4.xml · nonDerivative · entry 7

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,606

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.50 to $26.37 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 10, 2020 Filed Nov 10, 2020 18:58 UTC
Gilpin EricSenior VP, Sales
Exercise / conversionCommon Stock 10,000 $3.23 $32,300.00
Disclosure

SEC source: 0001209191-20-057763 · doc4.xml · nonDerivative · entry 6

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,606

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
November 10, 2020 Filed Nov 12, 2020 23:13 UTC GrantCommon Stock 5,349 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-058113 · doc4.xml · nonDerivative · entry 2

Vazquez-Ubarri Anilu · CIK 0001829068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,614

F1 · kind: Represents an award of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive 1 share of the Issuer's common stock upon settlement.

F3 · shares: The RSUs fully vest on the earlier of (a) the date immediately prior to the Issuer's 2021 annual meeting of stockholders and (b) November 10, 2021, subject to continued service through such vesting date.

Read SEC document
November 10, 2020 Filed Nov 12, 2020 23:13 UTC GrantCommon Stock 14,265 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-058113 · doc4.xml · nonDerivative · entry 1

Vazquez-Ubarri Anilu · CIK 0001829068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,265

F1 · kind: Represents an award of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive 1 share of the Issuer's common stock upon settlement.

F2 · shares: The RSUs vest as to 1/3 of the total number of shares on each of November 10, 2021 and November 10, 2022 and then 1/3 of the total number of shares vest on the earlier of (a) the date immediately prior to the Issuer's 2023 annual meeting of stockholders and (b) December 31, 2023, in each case subject to continued service through each vesting date.

Read SEC document
November 06, 2020 Filed Nov 10, 2020 18:58 UTC
Gilpin EricSenior VP, Sales
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 50,000 $0.00 Strike: $4.04 $0.00
Disclosure

SEC source: 0001209191-20-057763 · doc4.xml · derivative · entry 11

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-02-05

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.

F9 · derivative.exercise_date: The stock option vested with respect to 1/60th of the total shares on March 6, 2018, and then 1/60th of the total shares vest monthly thereafter, subject to the continuing employment of the Reporting Person on each vesting date.

Read SEC document
November 06, 2020 Filed Nov 10, 2020 18:58 UTC
Gilpin EricSenior VP, Sales
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 40,000 $0.00 Strike: $3.23 $0.00
Disclosure

SEC source: 0001209191-20-057763 · doc4.xml · derivative · entry 10

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,000

Underlying: Common Stock · 40,000 shares

Expires 2026-04-19

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.

F8 · derivative.exercise_date: The stock option vested with respect to 1/5th of the total shares on April 20, 2017, and then 1/60th of the total shares vest monthly thereafter, subject to the continuing employment of the Reporting Person on each vesting date.

Read SEC document
November 06, 2020 Filed Nov 10, 2020 18:58 UTC
Gilpin EricSenior VP, Sales
SaleCommon Stock 10,223 $29.26 $299,127.02
Disclosure

SEC source: 0001209191-20-057763 · doc4.xml · nonDerivative · entry 5

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,606

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.19 to $29.40 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 06, 2020 Filed Nov 10, 2020 18:58 UTC
Gilpin EricSenior VP, Sales
SaleCommon Stock 64,853 $28.54 $1,850,593.33
Disclosure

SEC source: 0001209191-20-057763 · doc4.xml · nonDerivative · entry 4

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,829

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.19 to $29.18 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 06, 2020 Filed Nov 10, 2020 18:58 UTC
Gilpin EricSenior VP, Sales
SaleCommon Stock 14,924 $27.79 $414,799.15
Disclosure

SEC source: 0001209191-20-057763 · doc4.xml · nonDerivative · entry 3

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,682

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.17 to $28.15 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
November 06, 2020 Filed Nov 10, 2020 18:58 UTC
Gilpin EricSenior VP, Sales
Exercise / conversionCommon Stock 50,000 $4.04 $202,000.00
Disclosure

SEC source: 0001209191-20-057763 · doc4.xml · nonDerivative · entry 2

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,606

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
November 06, 2020 Filed Nov 10, 2020 18:58 UTC
Gilpin EricSenior VP, Sales
Exercise / conversionCommon Stock 40,000 $3.23 $129,200.00
Disclosure

SEC source: 0001209191-20-057763 · doc4.xml · nonDerivative · entry 1

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,606

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
October 19, 2020 Filed Oct 20, 2020 21:03 UTC
Brown HaydenDirector · President & CEO
SaleCommon Stock 1,314 $20.65 $27,134.10
Disclosure

SEC source: 0001209191-20-055383 · doc4.xml · nonDerivative · entry 2

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,723

F2 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of the RSUs listed in Table II. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.56 to $20.74 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
October 18, 2020 Filed Oct 20, 2020 21:03 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionRestricted Stock Units (RSU) · Derivative 2,586 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-055383 · doc4.xml · derivative · entry 3

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,682

Underlying: Common Stock · 2,586 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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: The RSUs will vest in equal quarterly installments over three years beginning on January 18, 2020, subject to the Reporting Person's continuing employment with the Issuer on each vesting date.

F4 · derivative.expiration_date: The RSUs will vest in equal quarterly installments over three years beginning on January 18, 2020, subject to the Reporting Person's continuing employment with the Issuer on each vesting date.

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October 18, 2020 Filed Oct 20, 2020 21:03 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionCommon Stock 2,586 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-055383 · doc4.xml · nonDerivative · entry 1

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 410,037

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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 20:51 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionRestricted Stock Units (RSU) · Derivative 54,395 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-051486 · doc4.xml · derivative · entry 5

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 707,137

Underlying: Common Stock · 54,395 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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: 6.25% of the total shares vested on March 18, 2020, and then 6.25% of the total shares vest on each quarterly anniversary thereafter, subject to the Reporting Person's continued employment as the Chief Executive Officer of the Issuer.

F5 · derivative.expiration_date: 6.25% of the total shares vested on March 18, 2020, and then 6.25% of the total shares vest on each quarterly anniversary thereafter, subject to the Reporting Person's continued employment as the Chief Executive Officer of the Issuer.

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September 18, 2020 Filed Sep 22, 2020 20:51 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionRestricted Stock Units (RSU) · Derivative 3,860 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-051486 · doc4.xml · derivative · entry 4

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,600

Underlying: Common Stock · 3,860 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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: 6.25% of the total shares vested on June 18, 2019, and then 6.25% of the total shares vest on each quarterly anniversary thereafter, subject to the Reporting Person's continued employment with the Issuer.

F4 · derivative.expiration_date: 6.25% of the total shares vested on June 18, 2019, and then 6.25% of the total shares vest on each quarterly anniversary thereafter, subject to the Reporting Person's continued employment with the Issuer.

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September 18, 2020 Filed Sep 22, 2020 20:51 UTC
Brown HaydenDirector · President & CEO
SaleCommon Stock 30,558 $15.17 $463,509.86
Disclosure

SEC source: 0001209191-20-051486 · doc4.xml · nonDerivative · entry 3

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 407,451

F2 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of the RSUs listed in Table II. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.05 to $15.28 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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September 18, 2020 Filed Sep 22, 2020 20:51 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionCommon Stock 54,395 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-051486 · doc4.xml · nonDerivative · entry 2

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 438,009

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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 20:51 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionCommon Stock 3,860 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-051486 · doc4.xml · nonDerivative · entry 1

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 383,614

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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
August 20, 2020 Filed Aug 20, 2020 20:06 UTC
Gilpin EricSenior VP, Sales
SaleCommon Stock 3,754 $15.01 $56,350.17
Disclosure

SEC source: 0001209191-20-047838 · doc4.xml · nonDerivative · entry 3

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,606

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.75 to $15.52 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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August 18, 2020 Filed Aug 20, 2020 20:06 UTC
Gilpin EricSenior VP, Sales
Exercise / conversionRestricted Stock Units (RSU) · Derivative 6,735 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047838 · doc4.xml · derivative · entry 4

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,289

Underlying: Common Stock · 6,735 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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: The RSUs vest in equal quarterly installments over four years beginning on May 18, 2020, subject to the continuing employment of the Reporting Person on each vesting date.

F6 · derivative.expiration_date: The RSUs vest in equal quarterly installments over four years beginning on May 18, 2020, subject to the continuing employment of the Reporting Person on each vesting date.

Read SEC document
August 18, 2020 Filed Aug 20, 2020 20:06 UTC
Gilpin EricSenior VP, Sales
SaleCommon Stock 2,981 $15.03 $44,814.86
Disclosure

SEC source: 0001209191-20-047838 · doc4.xml · nonDerivative · entry 2

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,360

F2 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of the RSUs listed in Table II. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.95 to $15.115 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 18, 2020 Filed Aug 20, 2020 20:06 UTC
Gilpin EricSenior VP, Sales
Exercise / conversionCommon Stock 6,735 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-047838 · doc4.xml · nonDerivative · entry 1

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,341

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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
August 11, 2020 Filed Aug 11, 2020 21:28 UTC PurchaseCommon Stock 100,000 $14.03 $1,402,990.00
Disclosure

SEC source: 0001209191-20-046265 · doc4.xml · nonDerivative · entry 5

GRETSCH GREGORY C. · CIK 0001517236 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Gregory C. Gretsch Trust, UAD 1/28/00

Disclosed balance after: 716,795

F7 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.945 to $14.13 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F4 · ownership.nature: The shares are held by the Gregory C. Gretsch Trust, UAD 1/28/00, of which the Reporting Person is the trustee.

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August 10, 2020 Filed Aug 11, 2020 21:28 UTC PurchaseCommon Stock 221,900 $14.95 $3,317,493.76
Disclosure

SEC source: 0001209191-20-046265 · doc4.xml · nonDerivative · entry 4

GRETSCH GREGORY C. · CIK 0001517236 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 959,272

F6 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.46 to $15.00 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
August 07, 2020 Filed Aug 8, 2020 00:38 UTC SaleCommon Stock 5,975 $14.49 $86,566.40
Disclosure

SEC source: 0001209191-20-045791 · doc4.xml · nonDerivative · entry 1

Srinivasan Leela · CIK 0001780545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,045

F1 · kind: The sale of shares is for the sole purpose of covering the Reporting Person's tax liability resulting from the settlement of restricted stock units.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.435 to $14.60 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 07, 2020 Filed Aug 11, 2020 21:28 UTC PurchaseCommon Stock 25,944 $14.90 $386,487.77
Disclosure

SEC source: 0001209191-20-046265 · doc4.xml · nonDerivative · entry 3

GRETSCH GREGORY C. · CIK 0001517236 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trusts for Children

Disclosed balance after: 25,944

F5 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.76 to $14.98 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
August 07, 2020 Filed Aug 11, 2020 21:28 UTC PurchaseCommon Stock 100,000 $14.76 $1,476,130.00
Disclosure

SEC source: 0001209191-20-046265 · doc4.xml · nonDerivative · entry 2

GRETSCH GREGORY C. · CIK 0001517236 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Gregory C. Gretsch Trust, UAD 1/28/00

Disclosed balance after: 616,795

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.44 to $14.9285 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · balance_after: This number includes the in-kind distribution of 28,222 and 21,301 shares to the Reporting Person on June 2, 2020 and August 5, 2020, respectively, by the Sigma Entities, which shares the Reporting Person previously reported as indirectly held through the Sigma Entities.

F4 · ownership.nature: The shares are held by the Gregory C. Gretsch Trust, UAD 1/28/00, of which the Reporting Person is the trustee.

Read SEC document
August 07, 2020 Filed Aug 11, 2020 21:28 UTC PurchaseCommon Stock 100,000 $14.76 $1,476,130.00
Disclosure

SEC source: 0001209191-20-046265 · doc4.xml · nonDerivative · entry 1

GRETSCH GREGORY C. · CIK 0001517236 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 737,372

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.44 to $14.9285 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: This number includes the in-kind distribution of 97,135 and 74,634 shares to the Reporting Person on June 2, 2020 and August 5, 2020, respectively, by entities affiliated with Sigma Management 6, LLC (the "Sigma Entities"), which shares the Reporting Person previously reported as indirectly held through the Sigma Entities.

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August 06, 2020 Filed Aug 10, 2020 18:05 UTC
Gilpin EricSenior VP, Sales
SaleCommon Stock 100 $14.98 $1,498.00
Disclosure

SEC source: 0001209191-20-045998 · doc4.xml · nonDerivative · entry 2

Gilpin Eric · CIK 0001809355 · Senior VP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,606

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

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.