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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
March 03, 2020 Filed Mar 5, 2020 22:51 UTC
LAYTON THOMASDirector · Chairman
PurchaseCommon Stock 100,000 $8.11 $811,260.00
Disclosure

SEC source: 0001209191-20-016719 · doc4.xml · nonDerivative · entry 1

LAYTON THOMAS · CIK 0001079457 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 100,000

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.97 to $8.33 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 · ownership.nature: Held by Thomas Layton, Trustee of the Thomas H Layton Separate Property Revocable Trust dtd 11/29/99.

Read SEC document
March 03, 2020 Filed Mar 5, 2020 19:48 UTC
MARRIOTT DANDirector
Disposition to issuerCommon Stock 124,867 $8.13 $1,015,168.71
Disclosure

SEC source: 0000899243-20-007267 · doc4.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 676,955

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F2 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $8.00 to $8.45 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
March 02, 2020 Filed Mar 3, 2020 20:25 UTC
Kinion Brian KChief Financial Officer
SaleCommon Stock 2,397 $8.43 $20,205.75
Disclosure

SEC source: 0001209191-20-015794 · doc4.xml · nonDerivative · entry 2

Kinion Brian K · CIK 0001667999 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,806

F3 · kind: Represents the number of shares 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 $8.30 to $8.66 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
March 02, 2020 Filed Mar 4, 2020 01:29 UTC
Brown HaydenDirector · President & CEO
SaleCommon Stock 3,116 $8.43 $26,266.63
Disclosure

SEC source: 0001209191-20-015805 · doc4.xml · nonDerivative · entry 2

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,330

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 $8.30 to $8.66 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
March 02, 2020 Filed Mar 4, 2020 01:33 UTC SaleCommon Stock 13,718 $8.43 $115,637.25
Disclosure

SEC source: 0001209191-20-015814 · doc4.xml · nonDerivative · entry 4

Kasriel Stephane · CIK 0001753417 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,567

F4 · kind: A portion of the shares were sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of the RSUs listed in Table II. This portion of the 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.

F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.30 to $8.66 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
February 29, 2020 Filed Mar 3, 2020 20:25 UTC
Kinion Brian KChief Financial Officer
Exercise / conversionRestricted Stock Units (RSU) · Derivative 5,548 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015794 · doc4.xml · derivative · entry 4

Kinion Brian K · CIK 0001667999 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,548 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: The RSU vested 100% on the date of grant.

F5 · derivative.expiration_date: The RSU vested 100% on the date of grant.

Read SEC document
February 29, 2020 Filed Mar 3, 2020 20:25 UTC
Kinion Brian KChief Financial Officer
GrantRestricted Stock Units (RSU) · Derivative 5,548 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015794 · doc4.xml · derivative · entry 3

Kinion Brian K · CIK 0001667999 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,548

Underlying: Common Stock · 5,548 shares

Expires not disclosed

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: The RSU vested 100% on the date of grant.

F5 · derivative.expiration_date: The RSU vested 100% on the date of grant.

Read SEC document
February 29, 2020 Filed Mar 3, 2020 20:25 UTC
Kinion Brian KChief Financial Officer
Exercise / conversionCommon Stock 5,548 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-015794 · doc4.xml · nonDerivative · entry 1

Kinion Brian K · CIK 0001667999 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,203

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 761 shares acquired under the Issuer's employee stock purchase plan (the "ESPP") on May 14, 2019 and 894 shares acquired under the ESPP on November 14, 2019.

Read SEC document
February 29, 2020 Filed Mar 4, 2020 01:29 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionRestricted Stock Units (RSU) · Derivative 7,985 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015805 · doc4.xml · derivative · entry 4

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,985 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 RSU vested 100% on the date of grant.

F4 · derivative.expiration_date: The RSU vested 100% on the date of grant.

Read SEC document
February 29, 2020 Filed Mar 4, 2020 01:29 UTC
Brown HaydenDirector · President & CEO
GrantRestricted Stock Units (RSU) · Derivative 7,985 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015805 · doc4.xml · derivative · entry 3

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,985

Underlying: Common Stock · 7,985 shares

Expires not disclosed

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 RSU vested 100% on the date of grant.

F4 · derivative.expiration_date: The RSU vested 100% on the date of grant.

Read SEC document
February 29, 2020 Filed Mar 4, 2020 01:29 UTC
Brown HaydenDirector · President & CEO
Exercise / conversionCommon Stock 7,985 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-015805 · doc4.xml · nonDerivative · entry 1

Brown Hayden · CIK 0001753662 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,446

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
February 29, 2020 Filed Mar 4, 2020 01:33 UTC Exercise / conversionRestricted Stock Units (RSU) · Derivative 13,718 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015814 · doc4.xml · derivative · entry 8

Kasriel Stephane · CIK 0001753417 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,718 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F8 · derivative.exercise_date: The RSU vested 100% on the date of grant.

F8 · derivative.expiration_date: The RSU vested 100% on the date of grant.

Read SEC document
February 29, 2020 Filed Mar 4, 2020 01:33 UTC GrantRestricted Stock Units (RSU) · Derivative 13,718 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015814 · doc4.xml · derivative · entry 7

Kasriel Stephane · CIK 0001753417 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,718

Underlying: Common Stock · 13,718 shares

Expires not disclosed

F3 · 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 RSU vested 100% on the date of grant.

F8 · derivative.expiration_date: The RSU vested 100% on the date of grant.

Read SEC document
February 29, 2020 Filed Mar 4, 2020 01:33 UTC Exercise / conversionCommon Stock 13,718 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-015814 · doc4.xml · nonDerivative · entry 3

Kasriel Stephane · CIK 0001753417 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,285

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

F3 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
February 28, 2020 Filed Mar 4, 2020 01:33 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 60,000 $0.00 Strike: $3.04 $0.00
Disclosure

SEC source: 0001209191-20-015814 · doc4.xml · derivative · entry 6

Kasriel Stephane · CIK 0001753417 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,289

Underlying: Common Stock · 60,000 shares

Expires 2022-06-24

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.

F7 · derivative.exercise_date: The stock option is fully vested and immediately exercisable.

Read SEC document
February 28, 2020 Filed Mar 4, 2020 01:33 UTC SaleCommon Stock 60,000 $8.72 $523,230.00
Disclosure

SEC source: 0001209191-20-015814 · doc4.xml · nonDerivative · entry 2

Kasriel Stephane · CIK 0001753417 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,567

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 $8.31 to $8.91 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
February 28, 2020 Filed Mar 4, 2020 01:33 UTC Exercise / conversionCommon Stock 60,000 $3.04 $182,400.00
Disclosure

SEC source: 0001209191-20-015814 · doc4.xml · nonDerivative · entry 1

Kasriel Stephane · CIK 0001753417 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341,567

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
January 21, 2020 Filed Jan 23, 2020 00:20 UTC
Brown HaydenDirector · President and CEO
SaleCommon Stock 1,123 $9.95 $11,168.68
Disclosure

SEC source: 0001567619-20-001386 · doc1.xml · nonDerivative · entry 2

Brown Hayden · CIK 0001753662 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,461

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 $9.931 to $9.975 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
January 18, 2020 Filed Jan 23, 2020 00:20 UTC
Brown HaydenDirector · President and CEO
Exercise / conversionRestricted Stock Units (RSU) · Derivative 2,585 $0.00 $0.00
Disclosure

SEC source: 0001567619-20-001386 · doc1.xml · derivative · entry 3

Brown Hayden · CIK 0001753662 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,438

Underlying: Common Stock · 2,585 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 continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.

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

Read SEC document
January 18, 2020 Filed Jan 23, 2020 00:20 UTC
Brown HaydenDirector · President and CEO
Exercise / conversionCommon Stock 2,585 $0.00 $0.00
Disclosure

SEC source: 0001567619-20-001386 · doc1.xml · nonDerivative · entry 1

Brown Hayden · CIK 0001753662 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,584

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, 2019 Filed Dec 20, 2019 22:15 UTC
Brown HaydenDirector · Chief Marketing & Product Ofcr
Exercise / conversionRestricted Stock Units (RSU) · Derivative 3,860 $0.00 $0.00
Disclosure

SEC source: 0001567619-19-023486 · doc1.xml · derivative · entry 3

Brown Hayden · CIK 0001753662 · Director · Chief Marketing & Product Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,180

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.

F3 · derivative.exercise_date: 6.25% of the RSUs vested on June 18, 2019, and the remainder will vest as to an additional 6.25% of the RSUs on each quarterly anniversary thereafter, subject to, on each vesting date, the Reporting Person's (i) continued employment with the Issuer and (ii) continued leadership of the Issuer's marketing and product departments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.

F3 · derivative.expiration_date: 6.25% of the RSUs vested on June 18, 2019, and the remainder will vest as to an additional 6.25% of the RSUs on each quarterly anniversary thereafter, subject to, on each vesting date, the Reporting Person's (i) continued employment with the Issuer and (ii) continued leadership of the Issuer's marketing and product departments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.

Read SEC document
December 18, 2019 Filed Dec 20, 2019 22:15 UTC
Brown HaydenDirector · Chief Marketing & Product Ofcr
SaleCommon Stock 1,380 $10.82 $14,931.60
Disclosure

SEC source: 0001567619-19-023486 · doc1.xml · nonDerivative · entry 2

Brown Hayden · CIK 0001753662 · Director · Chief Marketing & Product Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,999

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.

Read SEC document
December 18, 2019 Filed Dec 20, 2019 22:15 UTC
Brown HaydenDirector · Chief Marketing & Product Ofcr
Exercise / conversionCommon Stock 3,860 $0.00 $0.00
Disclosure

SEC source: 0001567619-19-023486 · doc1.xml · nonDerivative · entry 1

Brown Hayden · CIK 0001753662 · Director · Chief Marketing & Product Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,379

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 17, 2019 Filed Dec 18, 2019 02:48 UTC
Kasriel StephaneDirector · President & CEO
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 60,000 $0.00 Strike: $3.04 $0.00
Disclosure

SEC source: 0001567619-19-023292 · doc1.xml · derivative · entry 6

Kasriel Stephane · CIK 0001753417 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,289

Underlying: Common Stock · 60,000 shares

Expires 2022-06-24

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 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F4 · derivative.exercise_date: The stock option is fully vested and immediately exercisable.

Read SEC document
December 17, 2019 Filed Dec 18, 2019 02:48 UTC
Kasriel StephaneDirector · President & CEO
SaleCommon Stock 60,000 $10.57 $634,446.00
Disclosure

SEC source: 0001567619-19-023292 · doc1.xml · nonDerivative · entry 3

Kasriel Stephane · CIK 0001753417 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,567

F1 · kind: The transactions reported on this Form 4 were 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 $10.39 to $10.675 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 17, 2019 Filed Dec 18, 2019 02:48 UTC
Kasriel StephaneDirector · President & CEO
Exercise / conversionCommon Stock 60,000 $3.04 $182,400.00
Disclosure

SEC source: 0001567619-19-023292 · doc1.xml · nonDerivative · entry 2

Kasriel Stephane · CIK 0001753417 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341,567

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 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

Read SEC document
December 13, 2019 Filed Dec 18, 2019 02:48 UTC
Kasriel StephaneDirector · President & CEO
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 76,386 $0.00 Strike: $2.76 $0.00
Disclosure

SEC source: 0001567619-19-023292 · doc1.xml · derivative · entry 5

Kasriel Stephane · CIK 0001753417 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,779

Underlying: Common Stock · 76,386 shares

Expires 2024-04-06

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

F4 · derivative.exercise_date: The stock option is fully vested and immediately exercisable.

Read SEC document
December 13, 2019 Filed Dec 18, 2019 02:48 UTC
Kasriel StephaneDirector · President & CEO
Exercise / conversionCommon Stock 76,386 $2.76 $210,825.36
Disclosure

SEC source: 0001567619-19-023292 · doc1.xml · nonDerivative · entry 1

Kasriel Stephane · CIK 0001753417 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,567

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

Read SEC document
December 12, 2019 Filed Dec 16, 2019 23:27 UTC
Brown HaydenDirector · Chief Marketing & Product Ofcr
GrantRestricted Stock Units (RSU) · Derivative 870,322 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001567619-19-023156 · doc1.xml · derivative · entry 1

Brown Hayden · CIK 0001753662 · Director · Chief Marketing & Product Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 870,322

Underlying: Common Stock · 870,322 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: 6.25% of the RSUs will vest on March 18, 2020, and the remainder will vest as to an additional 6.25% of the RSUs on each quarterly anniversary thereafter, subject to, on each vesting date, the Reporting Person's continued employment as Chief Executive Officer with the Issuer through each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.

F2 · derivative.expiration_date: 6.25% of the RSUs will vest on March 18, 2020, and the remainder will vest as to an additional 6.25% of the RSUs on each quarterly anniversary thereafter, subject to, on each vesting date, the Reporting Person's continued employment as Chief Executive Officer with the Issuer through each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.

Read SEC document
November 26, 2019 Filed Nov 26, 2019 20:39 UTC
MARRIOTT DANDirector
Disposition to issuerCommon Stock 28,781 $11.57 $332,996.17
Disclosure

SEC source: 0000899243-19-028185 · doc4.xml · nonDerivative · entry 3

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 801,822

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F4 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $11.50 to $11.64 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
November 25, 2019 Filed Nov 26, 2019 20:39 UTC
MARRIOTT DANDirector
Disposition to issuerCommon Stock 250,000 $11.67 $2,917,500.00
Disclosure

SEC source: 0000899243-19-028185 · doc4.xml · nonDerivative · entry 2

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 830,603

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F3 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $11.43 to $11.76 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
November 22, 2019 Filed Nov 26, 2019 20:39 UTC
MARRIOTT DANDirector
Disposition to issuerCommon Stock 200,012 $11.28 $2,256,135.36
Disclosure

SEC source: 0000899243-19-028185 · doc4.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 1,080,603

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F2 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $11.25 to $11.49 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
November 19, 2019 Filed Nov 21, 2019 22:39 UTC
Kasriel StephaneDirector · President & CEO
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 60,000 $0.00 Strike: $3.04 $0.00
Disclosure

SEC source: 0001567619-19-022040 · doc1.xml · derivative · entry 4

Kasriel Stephane · CIK 0001753417 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,289

Underlying: Common Stock · 60,000 shares

Expires 2022-06-24

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 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F5 · derivative.exercise_date: The stock option is fully vested and immediately exercisable.

Read SEC document
November 19, 2019 Filed Nov 21, 2019 22:39 UTC
Kasriel StephaneDirector · President & CEO
SaleCommon Stock 60,000 $11.70 $702,294.00
Disclosure

SEC source: 0001567619-19-022040 · doc1.xml · nonDerivative · entry 2

Kasriel Stephane · CIK 0001753417 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,181

F1 · kind: The transactions reported on this Form 4 were 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 $11.51 to $11.86 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 19, 2019 Filed Nov 21, 2019 22:39 UTC
Kasriel StephaneDirector · President & CEO
Exercise / conversionCommon Stock 60,000 $3.04 $182,400.00
Disclosure

SEC source: 0001567619-19-022040 · doc1.xml · nonDerivative · entry 1

Kasriel Stephane · CIK 0001753417 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,181

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 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · balance_after: Includes 275 shares acquired under the Issuer's employee stock purchase plan on November 14, 2019.

Read SEC document
November 18, 2019 Filed Nov 20, 2019 20:50 UTC
Yuan Han-ShenSVP, Engineering
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 9,578 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0001567619-19-021981 · doc1.xml · derivative · entry 3

Yuan Han-Shen · CIK 0001753419 · SVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,918

Underlying: Common Stock · 9,578 shares

Expires 2027-09-25

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 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F4 · derivative.exercise_date: The stock option vested and became exercisable, and shall continue to vest and become exercisable, with respect to 1/60th of the shares each month following the September 26, 2017 vesting commencement date, subject to the continuing employment of the Reporting Person on each vesting date.

Read SEC document
November 18, 2019 Filed Nov 20, 2019 20:50 UTC
Yuan Han-ShenSVP, Engineering
SaleCommon Stock 9,578 $12.00 $114,939.83
Disclosure

SEC source: 0001567619-19-021981 · doc1.xml · nonDerivative · entry 2

Yuan Han-Shen · CIK 0001753419 · SVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,333

F1 · kind: The transactions reported on this Form 4 were 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 $12.00 to $12.005 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, 2019 Filed Nov 20, 2019 20:50 UTC
Yuan Han-ShenSVP, Engineering
Exercise / conversionCommon Stock 9,578 $3.68 $35,247.04
Disclosure

SEC source: 0001567619-19-021981 · doc1.xml · nonDerivative · entry 1

Yuan Han-Shen · CIK 0001753419 · SVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,911

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 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · balance_after: Includes 1,067 shares acquired under the Issuer's employee stock purchase plan on November 14, 2019.

Read SEC document
November 18, 2019 Filed Nov 21, 2019 01:49 UTC
Brown HaydenChief Marketing & Product Ofcr
SaleCommon Stock 1,067 $11.83 $12,619.09
Disclosure

SEC source: 0001567619-19-021980 · doc1.xml · nonDerivative · entry 1

Brown Hayden · CIK 0001753662 · Chief Marketing & Product Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,519

F1 · kind: The transactions reported on this Form 4 were 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 $11.82 to $11.83 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.

F3 · balance_after: Includes 1,067 shares acquired under the Issuer's employee stock purchase plan on November 14, 2019.

Read SEC document
November 13, 2019 Filed Nov 14, 2019 18:55 UTC
MARRIOTT DANDirector
Disposition to issuerCommon Stock 6,701 $12.01 $80,479.01
Disclosure

SEC source: 0000899243-19-027304 · doc4.xml · nonDerivative · entry 2

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 1,280,615

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F3 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $12.00 to $12.04 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
November 12, 2019 Filed Nov 14, 2019 18:55 UTC
MARRIOTT DANDirector
Disposition to issuerCommon Stock 167,507 $12.14 $2,033,534.98
Disclosure

SEC source: 0000899243-19-027304 · doc4.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 1,287,316

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F2 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $12.01 to $12.35 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
November 07, 2019 Filed Nov 12, 2019 14:10 UTC
SIGMA PARTNERS 6 LPFormer 10% holder
Sigma Associates 6, L.P.Former 10% holder
SIGMA INVESTORS 6 LPFormer 10% holder
OtherCommon Stock 610,965 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-062479 · a4.xml · nonDerivative · entry 5

SIGMA PARTNERS 6 LP · CIK 0001141280 · Former 10% holder

Sigma Associates 6, L.P. · CIK 0001408169 · Former 10% holder

SIGMA INVESTORS 6 LP · CIK 0001162426 · Former 10% holder

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Sigma Management 6, L.L.C.

Disclosed balance after: 0

F10 · kind: Represents an in-kind distribution by the General Partner to the Managing Members and their affiliated entities.

F10 · price: Represents an in-kind distribution by the General Partner to the Managing Members and their affiliated entities.

F7 · ownership.nature: Robert E. Davoli, Lawrence G. Finch, Clifford L. Haas, John R. Mandile, Gregory C. Gretsch, Peter Solvik, Robert Spinner and Wade Woodson are the managing members of the General Partner (the "Managing Members"). Each Managing Member disclaims beneficial ownership of all securities held by Sigma Partners 6, Sigma Associates 6 and Sigma Investors 6, except to the extent of each Managing Member's pecuniary interest therein. Mr. Gretsch is a director of the Issuer and, accordingly, files separate Section 16 reports.

F9 · ownership.nature: These shares are held by the General Partner. Robert E. Davoli, Lawrence G. Finch, Clifford L. Haas, John R. Mandile, Gregory C. Gretsch, Peter Solvik, Robert Spinner and Wade Woodson are the managing members of the General Partner.

Read SEC document
November 07, 2019 Filed Nov 12, 2019 14:10 UTC
SIGMA PARTNERS 6 LPFormer 10% holder
Sigma Associates 6, L.P.Former 10% holder
SIGMA INVESTORS 6 LPFormer 10% holder
OtherCommon Stock 610,965 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-062479 · a4.xml · nonDerivative · entry 4

SIGMA PARTNERS 6 LP · CIK 0001141280 · Former 10% holder

Sigma Associates 6, L.P. · CIK 0001408169 · Former 10% holder

SIGMA INVESTORS 6 LP · CIK 0001162426 · Former 10% holder

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Sigma Management 6, L.L.C.

Disclosed balance after: 610,965

F8 · kind: Represents a receipt of shares from an in-kind distribution by Sigma Partners 6 and Sigma Investors 6, to the General Partner without receipt of consideration.

F8 · price: Represents a receipt of shares from an in-kind distribution by Sigma Partners 6 and Sigma Investors 6, to the General Partner without receipt of consideration.

F7 · ownership.nature: Robert E. Davoli, Lawrence G. Finch, Clifford L. Haas, John R. Mandile, Gregory C. Gretsch, Peter Solvik, Robert Spinner and Wade Woodson are the managing members of the General Partner (the "Managing Members"). Each Managing Member disclaims beneficial ownership of all securities held by Sigma Partners 6, Sigma Associates 6 and Sigma Investors 6, except to the extent of each Managing Member's pecuniary interest therein. Mr. Gretsch is a director of the Issuer and, accordingly, files separate Section 16 reports.

F9 · ownership.nature: These shares are held by the General Partner. Robert E. Davoli, Lawrence G. Finch, Clifford L. Haas, John R. Mandile, Gregory C. Gretsch, Peter Solvik, Robert Spinner and Wade Woodson are the managing members of the General Partner.

Read SEC document
November 07, 2019 Filed Nov 12, 2019 14:10 UTC
SIGMA PARTNERS 6 LPFormer 10% holder
Sigma Associates 6, L.P.Former 10% holder
SIGMA INVESTORS 6 LPFormer 10% holder
OtherCommon Stock 34,430 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-062479 · a4.xml · nonDerivative · entry 3

SIGMA PARTNERS 6 LP · CIK 0001141280 · Former 10% holder

Sigma Associates 6, L.P. · CIK 0001408169 · Former 10% holder

SIGMA INVESTORS 6 LP · CIK 0001162426 · Former 10% holder

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Sigma Investors 6, L.P.

Disclosed balance after: 94,296

F5 · kind: Represents an in-kind distribution to the partners of Sigma Investors 6, L.P. ("Sigma Investors 6") without the receipt of consideration.

F5 · price: Represents an in-kind distribution to the partners of Sigma Investors 6, L.P. ("Sigma Investors 6") without the receipt of consideration.

F6 · ownership.nature: These shares are held by Sigma Investors 6. The General Partner is the general partner of Sigma Investors 6. The General Partner disclaims beneficial ownership of such shares, except to the extent of the General Partner's pecuniary interest therein.

F7 · ownership.nature: Robert E. Davoli, Lawrence G. Finch, Clifford L. Haas, John R. Mandile, Gregory C. Gretsch, Peter Solvik, Robert Spinner and Wade Woodson are the managing members of the General Partner (the "Managing Members"). Each Managing Member disclaims beneficial ownership of all securities held by Sigma Partners 6, Sigma Associates 6 and Sigma Investors 6, except to the extent of each Managing Member's pecuniary interest therein. Mr. Gretsch is a director of the Issuer and, accordingly, files separate Section 16 reports.

Read SEC document
November 07, 2019 Filed Nov 12, 2019 14:10 UTC
SIGMA PARTNERS 6 LPFormer 10% holder
Sigma Associates 6, L.P.Former 10% holder
SIGMA INVESTORS 6 LPFormer 10% holder
OtherCommon Stock 194,032 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-062479 · a4.xml · nonDerivative · entry 2

SIGMA PARTNERS 6 LP · CIK 0001141280 · Former 10% holder

Sigma Associates 6, L.P. · CIK 0001408169 · Former 10% holder

SIGMA INVESTORS 6 LP · CIK 0001162426 · Former 10% holder

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Sigma Associates 6, L.P.

Disclosed balance after: 528,378

F3 · kind: Represents an in-kind distribution to the partners of Sigma Associates 6, L.P. ("Sigma Associates 6") without the receipt of consideration.

F3 · price: Represents an in-kind distribution to the partners of Sigma Associates 6, L.P. ("Sigma Associates 6") without the receipt of consideration.

F4 · ownership.nature: These shares are held by Sigma Associates 6. The General Partner is the general partner of Sigma Associates 6. The General Partner disclaims beneficial ownership of such shares, except to the extent of the General Partner's pecuniary interest therein.

F7 · ownership.nature: Robert E. Davoli, Lawrence G. Finch, Clifford L. Haas, John R. Mandile, Gregory C. Gretsch, Peter Solvik, Robert Spinner and Wade Woodson are the managing members of the General Partner (the "Managing Members"). Each Managing Member disclaims beneficial ownership of all securities held by Sigma Partners 6, Sigma Associates 6 and Sigma Investors 6, except to the extent of each Managing Member's pecuniary interest therein. Mr. Gretsch is a director of the Issuer and, accordingly, files separate Section 16 reports.

Read SEC document
November 07, 2019 Filed Nov 12, 2019 14:10 UTC
SIGMA PARTNERS 6 LPFormer 10% holder
Sigma Associates 6, L.P.Former 10% holder
SIGMA INVESTORS 6 LPFormer 10% holder
OtherCommon Stock 2,344,880 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-062479 · a4.xml · nonDerivative · entry 1

SIGMA PARTNERS 6 LP · CIK 0001141280 · Former 10% holder

Sigma Associates 6, L.P. · CIK 0001408169 · Former 10% holder

SIGMA INVESTORS 6 LP · CIK 0001162426 · Former 10% holder

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Sigma Partners 6, L.P.

Disclosed balance after: 6,594,415

F1 · kind: Represents an in-kind distribution to the partners of Sigma Partners 6, L.P. ("Sigma Partners 6") without the receipt of consideration.

F1 · price: Represents an in-kind distribution to the partners of Sigma Partners 6, L.P. ("Sigma Partners 6") without the receipt of consideration.

F2 · ownership.nature: These shares are held by Sigma Partners 6. Sigma Management 6, L.L.C. (the "General Partner") is the general partner of Sigma Partners 6. The General Partner disclaims beneficial ownership of such shares, except to the extent of the General Partner's pecuniary interest therein.

F7 · ownership.nature: Robert E. Davoli, Lawrence G. Finch, Clifford L. Haas, John R. Mandile, Gregory C. Gretsch, Peter Solvik, Robert Spinner and Wade Woodson are the managing members of the General Partner (the "Managing Members"). Each Managing Member disclaims beneficial ownership of all securities held by Sigma Partners 6, Sigma Associates 6 and Sigma Investors 6, except to the extent of each Managing Member's pecuniary interest therein. Mr. Gretsch is a director of the Issuer and, accordingly, files separate Section 16 reports.

Read SEC document
September 20, 2019 Filed Sep 23, 2019 16:20 UTC
Yuan Han-ShenSVP, Engineering
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 11,175 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0001567619-19-018653 · doc1.xml · derivative · entry 6

Yuan Han-Shen · CIK 0001753419 · SVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 402,496

Underlying: Common Stock · 11,175 shares

Expires 2027-09-25

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 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F4 · derivative.exercise_date: The stock option vested and became exercisable, and shall continue to vest and become exercisable, with respect to 1/60th of the shares each month following the September 26, 2017 vesting commencement date, subject to the continuing employment of the Reporting Person on each vesting date.

Read SEC document
September 20, 2019 Filed Sep 23, 2019 16:20 UTC
Yuan Han-ShenSVP, Engineering
SaleCommon Stock 11,175 $13.82 $154,401.62
Disclosure

SEC source: 0001567619-19-018653 · doc1.xml · nonDerivative · entry 4

Yuan Han-Shen · CIK 0001753419 · SVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,266

F1 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · shares: Represents the aggregate of sales effected on the same day at different prices.

F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.6704 to $14.15 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
September 20, 2019 Filed Sep 23, 2019 16:20 UTC
Yuan Han-ShenSVP, Engineering
Exercise / conversionCommon Stock 11,175 $3.68 $41,124.00
Disclosure

SEC source: 0001567619-19-018653 · doc1.xml · nonDerivative · entry 3

Yuan Han-Shen · CIK 0001753419 · SVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,441

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 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

Read SEC document
September 19, 2019 Filed Sep 23, 2019 16:20 UTC
Yuan Han-ShenSVP, Engineering
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0001567619-19-018653 · doc1.xml · derivative · entry 5

Yuan Han-Shen · CIK 0001753419 · SVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413,671

Underlying: Common Stock · 50,000 shares

Expires 2027-09-25

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 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F4 · derivative.exercise_date: The stock option vested and became exercisable, and shall continue to vest and become exercisable, with respect to 1/60th of the shares each month following the September 26, 2017 vesting commencement date, subject to the continuing employment of the Reporting Person on each vesting date.

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.