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USIO

Usio, Inc.

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2166
SEC CIK
0001088034
Parsed reports
272

Last 12 months

Inside the activity.

0 purchase rows · 16 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 2026010
Feb 202600
Mar 202606
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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
February 21, 2023 Filed Feb 21, 2023 22:22 UTC
Carter Greg MEVP Payment Acceptance
GrantCommon Stock 100,000 $1.75 $175,000.00
Disclosure

SEC source: 0001812744-23-000001 · primary_doc.xml · nonDerivative · entry 1

Carter Greg M · CIK 0001812744 · EVP Payment Acceptance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,000

F1 · shares: Vests 02/21/2033 or change of control.

Read SEC document
February 21, 2023 Filed Feb 22, 2023 16:44 UTC
Frost Houston KorthSenior Vice President
GrantRestricted Stock Units · Derivative 4,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001627479-23-000002 · primary_doc.xml · derivative · entry 4

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,500

Underlying: Common Stock · 4,000 shares

Expires 2033-02-21

F4 · shares: Restricted stock units vest on 2/21/2026 or on change of control.

Read SEC document
February 21, 2023 Filed Feb 22, 2023 16:44 UTC
Frost Houston KorthSenior Vice President
GrantRestricted Stock Units · Derivative 4,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001627479-23-000002 · primary_doc.xml · derivative · entry 3

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 4,000 shares

Expires 2033-02-21

F3 · shares: Restricted stock units vest on 2/21/2025 or on change of control.

Read SEC document
February 21, 2023 Filed Feb 22, 2023 16:44 UTC
Frost Houston KorthSenior Vice President
GrantRestricted Stock Units · Derivative 4,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001627479-23-000002 · primary_doc.xml · derivative · entry 2

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 4,000 shares

Expires 2033-02-21

F2 · shares: Restricted stock units vest on 2/21/2024 or on change of control.

Read SEC document
February 21, 2023 Filed Feb 22, 2023 16:44 UTC
Frost Houston KorthSenior Vice President
GrantCommon Stock 100,000 $1.75 $175,000.00
Disclosure

SEC source: 0001627479-23-000002 · primary_doc.xml · nonDerivative · entry 1

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 666,527

F1 · shares: Shares vest on 2/21/2033 or on change of control.

Read SEC document
February 08, 2023 Filed Feb 22, 2023 16:11 UTC
Frost Houston KorthSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001627479-23-000001 · primary_doc.xml · derivative · entry 2

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Common Stock · 500 shares

Expires 2032-02-08

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 2/8/2022 and vested on 2/8/2023.

Read SEC document
February 08, 2023 Filed Feb 22, 2023 16:11 UTC
Frost Houston KorthSenior Vice President
Exercise / conversionCommon Stock 500 $2.05 $1,025.00
Disclosure

SEC source: 0001627479-23-000001 · primary_doc.xml · nonDerivative · entry 1

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 566,527

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 2/8/2022 and vested on 2/8/2023.

Read SEC document
November 18, 2022 Filed Nov 21, 2022 19:40 UTC
HOCH LOUIS ADirector · Chairman, President and CEO · 10% owner
Exercise / conversionRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001089351-22-000002 · primary_doc.xml · derivative · entry 3

HOCH LOUIS A · CIK 0001089351 · Director · Chairman, President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 10,000 shares

Expires 2031-11-18

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested 11/18/2022

Read SEC document
November 18, 2022 Filed Nov 21, 2022 19:40 UTC
HOCH LOUIS ADirector · Chairman, President and CEO · 10% owner
Tax withholdingCommon Stock 3,935 $2.35 $9,247.25
Disclosure

SEC source: 0001089351-22-000002 · primary_doc.xml · nonDerivative · entry 2

HOCH LOUIS A · CIK 0001089351 · Director · Chairman, President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,690,656

F2 · shares: The reporting person returned 3,935 shares to the issuer at the closing price on 11/18/2022 of $2.35 to cover taxes due.

Read SEC document
November 18, 2022 Filed Nov 21, 2022 19:40 UTC
HOCH LOUIS ADirector · Chairman, President and CEO · 10% owner
Exercise / conversionCommon Stock 10,000 $2.35 $23,500.00
Disclosure

SEC source: 0001089351-22-000002 · primary_doc.xml · nonDerivative · entry 1

HOCH LOUIS A · CIK 0001089351 · Director · Chairman, President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,694,591

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested 11/18/2022

Read SEC document
November 18, 2022 Filed Nov 21, 2022 22:50 UTC
Frost Houston KorthSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 2,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001627479-22-000003 · primary_doc.xml · derivative · entry 2

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 2,000 shares

Expires 2031-11-18

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested on 11/18/2022.

Read SEC document
November 18, 2022 Filed Nov 21, 2022 22:50 UTC
Frost Houston KorthSenior Vice President
Exercise / conversionCommon Stock 2,000 $2.35 $4,700.00
Disclosure

SEC source: 0001627479-22-000003 · primary_doc.xml · nonDerivative · entry 1

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 566,027

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested on 11/18/2022.

Read SEC document
November 18, 2022 Filed Nov 21, 2022 21:39 UTC
Carter Greg MEVP Payment Acceptance
Exercise / conversionRestricted Stock Units · Derivative 3,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001812744-22-000001 · primary_doc.xml · derivative · entry 2

Carter Greg M · CIK 0001812744 · EVP Payment Acceptance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 3,000 shares

Expires 2031-11-18

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested 11/18/2022

Read SEC document
November 18, 2022 Filed Nov 21, 2022 21:39 UTC
Carter Greg MEVP Payment Acceptance
Exercise / conversionCommon Stock 3,000 $2.35 $7,050.00
Disclosure

SEC source: 0001812744-22-000001 · primary_doc.xml · nonDerivative · entry 1

Carter Greg M · CIK 0001812744 · EVP Payment Acceptance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,000

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested 11/18/2022

Read SEC document
November 18, 2022 Filed Nov 21, 2022 19:51 UTC Exercise / conversionRestricted Stock Units · Derivative 7,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001690416-22-000002 · primary_doc.xml · derivative · entry 3

Jewell Lowell Thomas · CIK 0001690416 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 7,000 shares

Expires 2031-11-18

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested 11/18/2022

Read SEC document
November 18, 2022 Filed Nov 21, 2022 19:51 UTC Tax withholdingCommon Stock 1,705 $2.35 $4,006.75
Disclosure

SEC source: 0001690416-22-000002 · primary_doc.xml · nonDerivative · entry 2

Jewell Lowell Thomas · CIK 0001690416 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567,517

F2 · shares: The reporting person returned 1,705 shares to the issuer at the closing price on 11/18/2022 of $2.35 to cover taxes due.

Read SEC document
November 18, 2022 Filed Nov 21, 2022 19:51 UTC Exercise / conversionCommon Stock 7,000 $2.35 $16,450.00
Disclosure

SEC source: 0001690416-22-000002 · primary_doc.xml · nonDerivative · entry 1

Jewell Lowell Thomas · CIK 0001690416 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 562,222

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested 11/18/2022

Read SEC document
November 18, 2022 Filed Nov 28, 2022 21:56 UTC
Rollins BradDirector
Exercise / conversionRestricted Stock Units · Derivative 4,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001706146-22-000002 · primary_doc.xml · derivative · entry 2

Rollins Brad · CIK 0001706146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 4,000 shares

Expires 2031-11-18

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested 11/18/2022

Read SEC document
November 18, 2022 Filed Nov 28, 2022 21:56 UTC
Rollins BradDirector
Exercise / conversionCommon Stock 4,000 $2.35 $9,400.00
Disclosure

SEC source: 0001706146-22-000002 · primary_doc.xml · nonDerivative · entry 1

Rollins Brad · CIK 0001706146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,667

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested 11/18/2022

Read SEC document
November 18, 2022 Filed Nov 28, 2022 21:49 UTC Exercise / conversionRestricted Stock Units · Derivative 4,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001823064-22-000003 · primary_doc.xml · derivative · entry 2

Beyer del la Garza Ernesto R · CIK 0001823064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 4,000 shares

Expires 2031-11-18

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested 11/18/2022.

Read SEC document
November 18, 2022 Filed Nov 28, 2022 21:49 UTC Exercise / conversionCommon Stock 4,000 $2.35 $9,400.00
Disclosure

SEC source: 0001823064-22-000003 · primary_doc.xml · nonDerivative · entry 1

Beyer del la Garza Ernesto R · CIK 0001823064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,666

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested 11/18/2022.

Read SEC document
November 18, 2022 Filed Nov 28, 2022 21:41 UTC Exercise / conversionRestricted Stock Units · Derivative 4,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001772093-22-000002 · primary_doc.xml · derivative · entry 3

Bender Blaise · CIK 0001772093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,333

Underlying: Common Stock · 4,000 shares

Expires 2031-11-18

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested 11/18/2022

Read SEC document
November 18, 2022 Filed Nov 28, 2022 21:41 UTC Tax withholdingCommon Stock 1,200 $2.35 $2,820.00
Disclosure

SEC source: 0001772093-22-000002 · primary_doc.xml · nonDerivative · entry 2

Bender Blaise · CIK 0001772093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,134

F2 · shares: The reporting person returned 1,200 shares to the issuer at the closing price on 11/18/2022 of $2.35 to cover taxes due.

Read SEC document
November 18, 2022 Filed Nov 28, 2022 21:41 UTC Exercise / conversionCommon Stock 4,000 $2.35 $9,400.00
Disclosure

SEC source: 0001772093-22-000002 · primary_doc.xml · nonDerivative · entry 1

Bender Blaise · CIK 0001772093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,334

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 11/18/2021 and vested 11/18/2022

Read SEC document
November 11, 2022 Filed Nov 14, 2022 23:34 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 357,529 $2.06 $736,509.74
Disclosure

SEC source: 0001792549-22-000005 · primary_doc.xml · nonDerivative · entry 3

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 2,427,912

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser (TCM), and (ii) Collin McBirney, TCMs managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10 percent of the issuers outstanding shares of common stock. Each reporting person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of its or his pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of common stock reported in Table I on this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the Fund). As a greater than 10 percent beneficial owner, the Fund is separately reporting its holdings in the issuers securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. McBirney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
November 11, 2022 Filed Nov 14, 2022 22:39 UTC SaleCommon Stock 357,529 $2.06 $736,509.74
Disclosure

SEC source: 0001754074-22-000004 · primary_doc.xml · nonDerivative · entry 3

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,427,912

Read SEC document
November 10, 2022 Filed Nov 14, 2022 23:34 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 39,994 $1.93 $77,188.42
Disclosure

SEC source: 0001792549-22-000005 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 2,785,441

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser (TCM), and (ii) Collin McBirney, TCMs managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10 percent of the issuers outstanding shares of common stock. Each reporting person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of its or his pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of common stock reported in Table I on this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the Fund). As a greater than 10 percent beneficial owner, the Fund is separately reporting its holdings in the issuers securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. McBirney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
November 10, 2022 Filed Nov 14, 2022 22:39 UTC SaleCommon Stock 39,994 $1.93 $77,188.42
Disclosure

SEC source: 0001754074-22-000004 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,785,441

Read SEC document
November 09, 2022 Filed Nov 14, 2022 23:34 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 112,508 $2.11 $237,391.88
Disclosure

SEC source: 0001792549-22-000005 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 2,825,435

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser (TCM), and (ii) Collin McBirney, TCMs managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10 percent of the issuers outstanding shares of common stock. Each reporting person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of its or his pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of common stock reported in Table I on this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the Fund). As a greater than 10 percent beneficial owner, the Fund is separately reporting its holdings in the issuers securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. McBirney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 22:39 UTC SaleCommon Stock 112,508 $2.11 $237,391.88
Disclosure

SEC source: 0001754074-22-000004 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,825,435

Read SEC document
October 19, 2022 Filed Oct 21, 2022 21:15 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 47,974 $2.13 $102,184.62
Disclosure

SEC source: 0001792549-22-000004 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 2,937,943

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser (TCM), and (ii) Collin McBirney, TCMs managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of common stock. Each reporting person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of its or his pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of common stock reported in Table I on this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the Fund). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuers securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. McBirney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
October 19, 2022 Filed Oct 21, 2022 21:08 UTC SaleCommon Stock 47,974 $2.13 $102,184.62
Disclosure

SEC source: 0001754074-22-000003 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,937,943

Read SEC document
October 06, 2022 Filed Oct 7, 2022 20:48 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 11,771 $1.68 $19,775.28
Disclosure

SEC source: 0001792549-22-000003 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 2,985,917

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCMs managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of common stock. Each reporting person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of its or his pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of common stock reported in Table I on this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the Fund). As a greater than 10 percent beneficial owner, the Fund is separately reporting its holdings in the issuers securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. McBirney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

Read SEC document
October 06, 2022 Filed Oct 7, 2022 20:35 UTC SaleCommon Stock 11,771 $1.68 $19,775.28
Disclosure

SEC source: 0001792549-22-000002 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,985,917

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October 05, 2022 Filed Oct 7, 2022 20:48 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 9,717 $1.74 $16,907.58
Disclosure

SEC source: 0001792549-22-000003 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 2,997,688

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCMs managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of common stock. Each reporting person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of its or his pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of common stock reported in Table I on this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the Fund). As a greater than 10 percent beneficial owner, the Fund is separately reporting its holdings in the issuers securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. McBirney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

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October 05, 2022 Filed Oct 7, 2022 20:35 UTC SaleCommon Stock 9,717 $1.74 $16,907.58
Disclosure

SEC source: 0001792549-22-000002 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,997,688

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October 04, 2022 Filed Oct 6, 2022 16:36 UTC
HOCH LOUIS ADirector · Chairman, President and CEO · 10% owner
Tax withholdingCommon Stock 26,234 $1.63 $42,761.42
Disclosure

SEC source: 0001089351-22-000001 · primary_doc.xml · nonDerivative · entry 1

HOCH LOUIS A · CIK 0001089351 · Director · Chairman, President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,684,591

F1 · shares: Non-market transaction. Shares originally granted to employee on 10/4/2012 with a vesting date of 10/4/2022. Filer returned 26,234 shares to issuer for payment of payroll taxes due to the vesting of shares.

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August 29, 2022 Filed Sep 6, 2022 19:00 UTC Amendment Exercise / conversionRestricted Stock Units · Derivative 22,222 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001823064-22-000002 · primary_doc.xml · derivative · entry 3

Beyer del la Garza Ernesto R · CIK 0001823064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 22,222 shares

Expires 2030-08-27

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 8/29/2020 and vested 8/29/2022 for services on the issuer's board of directors.

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August 29, 2022 Filed Sep 6, 2022 19:00 UTC Amendment Tax withholdingCommon Stock 4,444 $1.52 $6,754.88
Disclosure

SEC source: 0001823064-22-000002 · primary_doc.xml · nonDerivative · entry 2

Beyer del la Garza Ernesto R · CIK 0001823064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,222

F2 · shares: The reporting person returned 4,444 shares to the issuer at the closing price on 8/29/2022 of $1.52 to cover taxes due.

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August 29, 2022 Filed Sep 6, 2022 19:00 UTC Amendment Exercise / conversionCommon Stock 22,222 $1.52 $33,777.44
Disclosure

SEC source: 0001823064-22-000002 · primary_doc.xml · nonDerivative · entry 1

Beyer del la Garza Ernesto R · CIK 0001823064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,666

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 · shares: The reporting person received these shares of common stock due to the vesting and subsequent conversion of restricted stock units granted to him on 8/29/2020 and vested 8/29/2022 for services on the issuer's board of directors.

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August 29, 2022 Filed Sep 6, 2022 13:15 UTC Exercise / conversionRestricted Stock Units · Derivative 22,222 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001823064-22-000001 · primary_doc.xml · derivative · entry 3

Beyer del la Garza Ernesto R · CIK 0001823064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 22,222 shares

Expires 2030-08-27

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
August 29, 2022 Filed Sep 6, 2022 13:15 UTC OtherCommon Stock 4,444 $1.52 $6,754.88
Disclosure

SEC source: 0001823064-22-000001 · primary_doc.xml · nonDerivative · entry 2

Beyer del la Garza Ernesto R · CIK 0001823064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,222

F2 · shares: The reporting person returned 4,444 shares to the issuer at the closing price on 8/29/2022 of $1.52 to cover taxes due.

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August 29, 2022 Filed Sep 6, 2022 13:15 UTC Exercise / conversionCommon Stock 22,222 $1.52 $33,777.44
Disclosure

SEC source: 0001823064-22-000001 · primary_doc.xml · nonDerivative · entry 1

Beyer del la Garza Ernesto R · CIK 0001823064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,666

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 · shares: The reporting person received these shares of common stock due to the conversion of restricted stock units granted to him on 8/29/2020 and vested 8/29/2022 for services on the issuer's board of directors.

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August 24, 2022 Filed Aug 24, 2022 21:09 UTC
Frost Houston KorthSenior Vice President
PurchaseCommon Stock 5,000 $1.43 $7,125.00
Disclosure

SEC source: 0001627479-22-000002 · primary_doc.xml · nonDerivative · entry 6

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 564,027

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August 24, 2022 Filed Aug 24, 2022 21:09 UTC
Frost Houston KorthSenior Vice President
PurchaseCommon Stock 5,000 $1.43 $7,159.00
Disclosure

SEC source: 0001627479-22-000002 · primary_doc.xml · nonDerivative · entry 5

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 559,027

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August 23, 2022 Filed Aug 24, 2022 21:09 UTC
Frost Houston KorthSenior Vice President
PurchaseCommon Stock 5,000 $1.44 $7,198.00
Disclosure

SEC source: 0001627479-22-000002 · primary_doc.xml · nonDerivative · entry 4

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 554,027

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August 22, 2022 Filed Aug 24, 2022 21:09 UTC
Frost Houston KorthSenior Vice President
PurchaseCommon Stock 5,000 $1.50 $7,489.50
Disclosure

SEC source: 0001627479-22-000002 · primary_doc.xml · nonDerivative · entry 3

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 549,027

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August 22, 2022 Filed Aug 24, 2022 21:09 UTC
Frost Houston KorthSenior Vice President
PurchaseCommon Stock 2,500 $1.51 $3,775.00
Disclosure

SEC source: 0001627479-22-000002 · primary_doc.xml · nonDerivative · entry 2

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 544,027

Read SEC document
August 22, 2022 Filed Aug 24, 2022 21:09 UTC
Frost Houston KorthSenior Vice President
PurchaseCommon Stock 2,500 $1.52 $3,801.00
Disclosure

SEC source: 0001627479-22-000002 · primary_doc.xml · nonDerivative · entry 1

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 541,527

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August 16, 2022 Filed Aug 16, 2022 21:12 UTC SaleCommon Stock 44,950 $1.60 $71,920.00
Disclosure

SEC source: 0001754074-22-000001 · primary_doc.xml · nonDerivative · entry 3

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,007,405

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.