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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

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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
August 16, 2022 Filed Aug 16, 2022 21:39 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 44,950 $1.60 $71,920.00
Disclosure

SEC source: 0001792549-22-000001 · 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: 3,007,405

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's 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 his or its 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 of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of 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 issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, 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
August 15, 2022 Filed Aug 16, 2022 21:12 UTC SaleCommon Stock 144,042 $1.69 $243,430.98
Disclosure

SEC source: 0001754074-22-000001 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,052,355

Read SEC document
August 15, 2022 Filed Aug 16, 2022 21:39 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 144,042 $1.69 $243,430.98
Disclosure

SEC source: 0001792549-22-000001 · 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: 3,052,355

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's 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 his or its 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 of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of 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 issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, 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
August 12, 2022 Filed Aug 16, 2022 21:12 UTC SaleCommon Stock 129,352 $1.73 $223,778.96
Disclosure

SEC source: 0001754074-22-000001 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,196,397

Read SEC document
August 12, 2022 Filed Aug 16, 2022 21:39 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 129,352 $1.73 $223,778.96
Disclosure

SEC source: 0001792549-22-000001 · 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: 3,196,397

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's 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 his or its 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 of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of 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 issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, 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
April 01, 2022 Filed Apr 5, 2022 19:42 UTC
Rollins BradDirector
Exercise / conversionRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001706146-22-000001 · primary_doc.xml · derivative · entry 2

Rollins Brad · CIK 0001706146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,000

Underlying: Common Stock · 10,000 shares

Expires 2030-04-01

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
April 01, 2022 Filed Apr 5, 2022 19:42 UTC
Rollins BradDirector
Exercise / conversionCommon Stock 10,000 $3.51 $35,100.00
Disclosure

SEC source: 0001706146-22-000001 · primary_doc.xml · nonDerivative · entry 1

Rollins Brad · CIK 0001706146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,667

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 conversion of restricted stock units granted to him on 4/1/2020 and vested 4/1/2022 for services on the issuer's board of directors.

Read SEC document
April 01, 2022 Filed Apr 5, 2022 19:32 UTC Exercise / conversionRestricted Stock Units · Derivative 3,333 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001772093-22-000001 · primary_doc.xml · derivative · entry 2

Bender Blaise · CIK 0001772093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,333

Underlying: Common Stock · 3,333 shares

Expires 2030-04-01

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

F2 · shares: The reporting person received these restricted stock units granted to him on 4/1/2020 and vested 4/1/2021 for services on the issuer's board of directors.

Read SEC document
April 01, 2022 Filed Apr 5, 2022 19:32 UTC Exercise / conversionCommon Stock 3,333 $3.51 $11,698.83
Disclosure

SEC source: 0001772093-22-000001 · primary_doc.xml · nonDerivative · entry 1

Bender Blaise · CIK 0001772093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,334

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 conversion of restricted stock units granted to him on 4/1/2020 and vested 4/1/2022 for services on the issuer's board of directors.

Read SEC document
February 08, 2022 Filed Feb 9, 2022 23:51 UTC
Frost Houston KorthSenior Vice President
GrantRestricted Stock Units · Derivative 500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001627479-22-000001 · primary_doc.xml · derivative · entry 2

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 500 shares

Expires 2032-02-08

F2 · shares: Restricted stock units vest on 02/08/2024 or on change of control.

Read SEC document
February 08, 2022 Filed Feb 9, 2022 23:51 UTC
Frost Houston KorthSenior Vice President
GrantRestricted Stock Units · Derivative 500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001627479-22-000001 · primary_doc.xml · derivative · entry 1

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

Underlying: Common Stock · 500 shares

Expires 2032-02-08

F1 · shares: Restricted stock units vest on 02/08/2023 or on change of control.

Read SEC document
January 06, 2022 Filed Jan 7, 2022 22:07 UTC Exercise / conversionRestricted Stock Units · Derivative 40,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001690416-22-000001 · primary_doc.xml · derivative · entry 3

Jewell Lowell Thomas · CIK 0001690416 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 40,000 shares

Expires 2027-01-06

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.

Read SEC document
January 06, 2022 Filed Jan 7, 2022 22:07 UTC Disposition to issuerCommon Stock 11,361 $4.21 $47,829.81
Disclosure

SEC source: 0001690416-22-000001 · primary_doc.xml · nonDerivative · entry 2

Jewell Lowell Thomas · CIK 0001690416 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 562,222

F2 · shares: The issuer repurchased the shares at the closing price on January 6, 2022 to cover payroll taxes due.

Read SEC document
January 06, 2022 Filed Jan 7, 2022 22:07 UTC Exercise / conversionCommon Stock 40,000 $4.21 $168,400.00
Disclosure

SEC source: 0001690416-22-000001 · primary_doc.xml · nonDerivative · entry 1

Jewell Lowell Thomas · CIK 0001690416 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 573,583

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

F1 · shares: The reporting person received these shares of common stock due to a conversion of restricted stock units granted to him on January 6, 2017 and vested on January 6, 2022 for services as the Issuer's CFO.

Read SEC document
December 07, 2021 Filed Dec 8, 2021 19:24 UTC SaleCommon Stock 2,000 $5.55 $11,100.00
Disclosure

SEC source: 0001089352-21-000038 · primary_doc.xml · nonDerivative · entry 2

LONG MICHAEL R · CIK 0001089352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,901,873

F1 · shares: This sale was effected pursuant to a Rule 10(b)5-1 trading plan.

Read SEC document
December 06, 2021 Filed Dec 8, 2021 19:24 UTC SaleCommon Stock 2,000 $5.60 $11,200.00
Disclosure

SEC source: 0001089352-21-000038 · primary_doc.xml · nonDerivative · entry 1

LONG MICHAEL R · CIK 0001089352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,903,873

F1 · shares: This sale was effected pursuant to a Rule 10(b)5-1 trading plan.

Read SEC document
December 02, 2021 Filed Dec 3, 2021 17:05 UTC SaleCommon Stock 2,000 $6.51 $13,020.00
Disclosure

SEC source: 0001089352-21-000037 · primary_doc.xml · nonDerivative · entry 2

LONG MICHAEL R · CIK 0001089352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,905,873

F1 · shares: This sale was effected pursuant to a Rule 10(b)5-1 trading plan.

Read SEC document
December 01, 2021 Filed Dec 3, 2021 17:05 UTC SaleCommon Stock 999 $7.50 $7,492.50
Disclosure

SEC source: 0001089352-21-000037 · primary_doc.xml · nonDerivative · entry 1

LONG MICHAEL R · CIK 0001089352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,907,873

F1 · shares: This sale was effected pursuant to a Rule 10(b)5-1 trading plan.

Read SEC document
November 30, 2021 Filed Nov 30, 2021 16:39 UTC SaleCommon Stock 2,000 $7.90 $15,800.00
Disclosure

SEC source: 0001089352-21-000036 · primary_doc.xml · nonDerivative · entry 3

LONG MICHAEL R · CIK 0001089352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,908,872

F1 · shares: This sale was effected pursuant to a Rule 10(b)5-1 trading plan.

Read SEC document
November 30, 2021 Filed Dec 2, 2021 00:39 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 320 $7.91 $2,531.20
Disclosure

SEC source: 0001792549-21-000006 · 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: 3,325,749

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting advisor ("TCM", and (ii) Collin McBirney, TCM's 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 issuer's 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 30, 2021 Filed Dec 1, 2021 23:47 UTC SaleCommon Stock 320 $7.91 $2,531.20
Disclosure

SEC source: 0001754074-21-000008 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,325,749

Read SEC document
November 29, 2021 Filed Nov 30, 2021 16:39 UTC SaleCommon Stock 2,000 $8.17 $16,340.00
Disclosure

SEC source: 0001089352-21-000036 · primary_doc.xml · nonDerivative · entry 2

LONG MICHAEL R · CIK 0001089352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,910,872

F1 · shares: This sale was effected pursuant to a Rule 10(b)5-1 trading plan.

Read SEC document
November 29, 2021 Filed Dec 2, 2021 00:39 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 14,018 $7.98 $111,863.64
Disclosure

SEC source: 0001792549-21-000006 · 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: 3,326,069

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting advisor ("TCM", and (ii) Collin McBirney, TCM's 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 issuer's 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 29, 2021 Filed Dec 1, 2021 23:47 UTC SaleCommon Stock 14,018 $7.98 $111,863.64
Disclosure

SEC source: 0001754074-21-000008 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,326,069

Read SEC document
November 26, 2021 Filed Nov 26, 2021 21:14 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 7,117 $8.00 $56,936.00
Disclosure

SEC source: 0001792549-21-000005 · 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: 3,340,087

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's 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 his or its 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 of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of 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 issuer's 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 26, 2021 Filed Nov 26, 2021 20:53 UTC SaleCommon Stock 7,117 $8.00 $56,936.00
Disclosure

SEC source: 0001754074-21-000007 · primary_doc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,340,087

Read SEC document
November 26, 2021 Filed Nov 30, 2021 16:39 UTC SaleCommon Stock 2,000 $8.22 $16,440.00
Disclosure

SEC source: 0001089352-21-000036 · primary_doc.xml · nonDerivative · entry 1

LONG MICHAEL R · CIK 0001089352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,912,872

F1 · shares: This sale was effected pursuant to a Rule 10(b)5-1 trading plan.

Read SEC document
November 24, 2021 Filed Nov 26, 2021 21:14 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 99,682 $8.17 $814,401.94
Disclosure

SEC source: 0001792549-21-000005 · 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: 3,347,204

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's 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 his or its 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 of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of 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 issuer's 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 24, 2021 Filed Nov 26, 2021 20:53 UTC SaleCommon Stock 99,682 $8.17 $814,401.94
Disclosure

SEC source: 0001754074-21-000007 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,347,204

Read SEC document
November 23, 2021 Filed Nov 26, 2021 21:14 UTC
Topline Capital Management, LLCSee Explanation in Footnotes
McBirney CollinSee Explanation in Footnotes
SaleCommon Stock 28,114 $7.93 $222,944.02
Disclosure

SEC source: 0001792549-21-000005 · 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: 3,446,886

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's 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 his or its 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 of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of 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 issuer's 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 23, 2021 Filed Nov 26, 2021 20:53 UTC SaleCommon Stock 28,114 $7.93 $222,944.02
Disclosure

SEC source: 0001754074-21-000007 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,446,886

Read SEC document
November 22, 2021 Filed Nov 22, 2021 16:43 UTC SaleCommon Stock 2,000 $7.59 $15,180.00
Disclosure

SEC source: 0001089352-21-000034 · primary_doc.xml · nonDerivative · entry 3

LONG MICHAEL R · CIK 0001089352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,918,872

F1 · shares: This sale was effected pursuant to a Rule 10(b)5-1 trading plan.

Read SEC document
November 22, 2021 Filed Nov 22, 2021 21:53 UTC
HOCH LOUIS ADirector · President and CEO · 10% owner
SaleCommon Stock 2,000 $8.44 $16,880.00
Disclosure

SEC source: 0001089351-21-000001 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,710,825

F2 · shares: This trade was effected pursuant to a 10(b)5-1 plan effective June 14, 2021.

Read SEC document
November 19, 2021 Filed Nov 22, 2021 16:43 UTC SaleCommon Stock 2,000 $6.45 $12,900.00
Disclosure

SEC source: 0001089352-21-000034 · primary_doc.xml · nonDerivative · entry 2

LONG MICHAEL R · CIK 0001089352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,920,872

F1 · shares: This sale was effected pursuant to a Rule 10(b)5-1 trading plan.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 16:43 UTC SaleCommon Stock 2,000 $6.15 $12,300.00
Disclosure

SEC source: 0001089352-21-000034 · primary_doc.xml · nonDerivative · entry 1

LONG MICHAEL R · CIK 0001089352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,922,872

F1 · shares: This sale was effected pursuant to a Rule 10(b)5-1 trading plan.

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November 18, 2021 Filed Nov 22, 2021 21:53 UTC
HOCH LOUIS ADirector · President and CEO · 10% owner
GrantRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001089351-21-000001 · primary_doc.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 10,000 shares

Expires 2031-11-18

F5 · shares: Restricted stock units vests 11/18/2024.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 21:53 UTC
HOCH LOUIS ADirector · President and CEO · 10% owner
GrantRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001089351-21-000001 · primary_doc.xml · derivative · entry 4

HOCH LOUIS A · CIK 0001089351 · Director · 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

F4 · shares: Restricted stock units vests 11/18/2023.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 21:53 UTC
HOCH LOUIS ADirector · President and CEO · 10% owner
GrantRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001089351-21-000001 · primary_doc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-11-18

F3 · shares: Restricted stock units vests 11/18/2022.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 21:53 UTC
HOCH LOUIS ADirector · President and CEO · 10% owner
GrantCommon Stock 100,000 $6.39 $639,000.00
Disclosure

SEC source: 0001089351-21-000001 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,712,825

F1 · shares: Vests 11/18/2031 or change of control or per terms of employment agreement.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 21:47 UTC
Frost Houston KorthSenior Vice President
GrantRestricted Stock Units · Derivative 2,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001627479-21-000004 · primary_doc.xml · derivative · entry 4

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 2,000 shares

Expires 2031-11-18

F4 · shares: Restricted stock units vest on 11/18/2024 or on change of control.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 21:47 UTC
Frost Houston KorthSenior Vice President
GrantRestricted Stock Units · Derivative 2,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001627479-21-000004 · primary_doc.xml · derivative · entry 3

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 2,000 shares

Expires 2031-11-18

F3 · shares: Restricted stock units vest on 11/18/2023 or on change of control.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 21:47 UTC
Frost Houston KorthSenior Vice President
GrantRestricted Stock Units · Derivative 2,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001627479-21-000004 · primary_doc.xml · derivative · entry 2

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2031-11-18

F2 · shares: Restricted stock units vest on 11/18/2022 or on change of control.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 21:47 UTC
Frost Houston KorthSenior Vice President
GrantCommon Stock 25,000 $6.39 $159,750.00
Disclosure

SEC source: 0001627479-21-000004 · primary_doc.xml · nonDerivative · entry 1

Frost Houston Korth · CIK 0001627479 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 539,027

F1 · shares: Shares vest on 11/18/2031 or on change of control.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 18:48 UTC GrantRestricted Stock Units · Derivative 7,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001690416-21-000002 · primary_doc.xml · derivative · entry 4

Jewell Lowell Thomas · CIK 0001690416 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 7,000 shares

Expires 2031-11-18

F4 · shares: Restricted stock units vests 11/18/2024 or change of control.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 18:48 UTC GrantRestricted Stock Units · Derivative 7,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001690416-21-000002 · 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

F3 · shares: Restricted stock units vests 11/18/2023 or change of control.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 18:48 UTC GrantRestricted Stock Units · Derivative 7,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001690416-21-000002 · primary_doc.xml · derivative · entry 2

Jewell Lowell Thomas · CIK 0001690416 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 7,000 shares

Expires 2031-11-18

F2 · shares: Restricted stock units vests 11/18/2022 or change of control.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 18:48 UTC GrantCommon Stock 50,000 $6.39 $319,500.00
Disclosure

SEC source: 0001690416-21-000002 · primary_doc.xml · nonDerivative · entry 1

Jewell Lowell Thomas · CIK 0001690416 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 533,583

F1 · shares: Vests 11/18/2031 or change of control.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 17:49 UTC GrantRestricted Stock Units · Derivative 4,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001772093-21-000002 · primary_doc.xml · derivative · entry 3

Bender Blaise · CIK 0001772093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,666

Underlying: Common Stock · 4,000 shares

Expires 2031-11-18

F3 · shares: Restricted stock units vests 11/18/2024 or change of control.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 17:49 UTC GrantRestricted Stock Units · Derivative 4,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001772093-21-000002 · primary_doc.xml · derivative · entry 2

Bender Blaise · CIK 0001772093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,666

Underlying: Common Stock · 4,000 shares

Expires 2031-11-18

F2 · shares: Restricted stock units vests 11/18/2023 or change of control.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 17:49 UTC GrantRestricted Stock Units · Derivative 4,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001772093-21-000002 · primary_doc.xml · derivative · entry 1

Bender Blaise · CIK 0001772093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,666

Underlying: Common Stock · 4,000 shares

Expires 2031-11-18

F1 · shares: Restricted stock units vests 11/18/2022 or change of control.

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.