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Nasdaq · USD

VISN

Vistance Networks, Inc.

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4717
SEC CIK
0001517228
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477

Last 12 months

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1 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
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Aug 202611
Sep 202601
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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 24, 2025 Filed Feb 26, 2025 16:21 UTC GrantCommon Stock 2,231 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-027787 · ownership.xml · nonDerivative · entry 1

Crawford Jennifer L. · CIK 0002020400 · SVP & CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,314

F1 · acquired: On March 1, 2022, the reporting person was granted 3,200 performance share units, which number could be increased or decreased based upon the Company's satisfaction of certain performance criteria during the applicable performance period. The performance criteria was partially met, resulting in a total of 2,231 performance share units earned. The performance share units will vest on 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 2,434 restricted stock units that were granted 03/01/2022 and will vest on 06/01/2025; (b) 2,084 restricted stock units that were granted on 06/01/2022 and will vest on 06/01/2025; (c) 15,278 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; and (d) 60,000 restricted stock units that were granted on 06/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; each subject to the reporting person's continued employment with the issuer.

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February 24, 2025 Filed Feb 26, 2025 21:39 UTC
Treadway Charles L.Director · President and CEO
GrantCommon Stock 163,795 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-027845 · ownership.xml · nonDerivative · entry 1

Treadway Charles L. · CIK 0001458881 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,377,001

F1 · acquired: On March 1, 2022, the reporting person was granted 235,000 performance share units, which number could be increased or decreased based upon the Company's satisfaction of certain performance criteria during the applicable performance period. The performance criteria was partially met, resulting in a total of 163,795 performance share units earned. The performance share units will vest on 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 130,567 restricted stock units that were granted 03/01/2022 and will vest on 06/01/2025; (b) 281,734 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 317,467 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (d) 660,000 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; and (e) 1,340,000 restricted stock units that were granted on 06/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; each subject to the reporting person's continued employment with the issuer.

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February 24, 2025 Filed Feb 26, 2025 16:36 UTC GrantCommon Stock 61,532 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-027840 · ownership.xml · nonDerivative · entry 1

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,364,486.465

F1 · acquired: On March 1, 2022, the reporting person was granted 50,000 performance share units and, on June 1, 2022, the reporting person was granted 38,280 performance share units, which number, in each case, could be increased or decreased based upon the Company's satisfaction of certain performance criteria during the applicable performance period. The performance criteria was partially met, resulting in a total of 61,532 performance share units earned. The performance share units will vest on 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 27,800 restricted stock units that were granted 03/01/2022 and will vest on 06/01/2025; (b) 80,334 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 90,534 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (d) 188,100 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; and (e) 591,900 restricted stock units that were granted on 06/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; each subject to the reporting person's continued employment with the issuer.

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February 24, 2025 Filed Feb 26, 2025 16:33 UTC
Choi Justin CSVP, Chief Legal Officer & Sec
GrantCommon Stock 35,618 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-027828 · ownership.xml · nonDerivative · entry 1

Choi Justin C · CIK 0001355816 · SVP, Chief Legal Officer & Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 749,593

F1 · acquired: On March 1, 2022, the reporting person was granted 31,300 performance share units and, on June 1, 2022, the reporting person was granted 19,800 performance share units, which number, in each case, could be increased or decreased based upon the Company's satisfaction of certain performance criteria during the applicable performance period. The performance criteria was partially met, resulting in a total of 35,618 performance share units earned. The performance share units will vest on 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 17,367 restricted stock units that were granted 03/01/2022 and will vest on 06/01/2025; (b) 53,534 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 60,334 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (d) 125,400 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; and (e) 254,600 restricted stock units that were granted on 06/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; each subject to the reporting person's continued employment with the issuer.

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February 24, 2025 Filed Feb 26, 2025 21:41 UTC GrantCommon Stock 32,759 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-027849 · ownership.xml · nonDerivative · entry 1

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,148,789

F1 · acquired: On March 1, 2022, the reporting person was granted 47,000 performance share units, which number could be increased or decreased based upon the Company's satisfaction of certain performance criteria during the applicable performance period. The performance criteria was partially met, resulting in a total of 32,759 performance share units earned. The performance share units will vest on 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 26,134 restricted stock units that were granted 03/01/2022 and will vest on 06/01/2025; (b) 36,667 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 41,334 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (d) 85,800 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; and (e) 174,200 restricted stock units that were granted on 06/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; each subject to the reporting person's continued employment with the issuer.

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February 24, 2025 Filed Feb 26, 2025 21:31 UTC
Mingle Robyn TSVP and Chief HR Officer
GrantCommon Stock 19,168 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-027821 · ownership.xml · nonDerivative · entry 1

Mingle Robyn T · CIK 0001531828 · SVP and Chief HR Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 431,276

F1 · acquired: On March 1, 2022, the reporting person was granted 27,500 performance share units, which number could be increased or decreased based upon the Company's satisfaction of certain performance criteria during the applicable performance period. The performance criteria was partially met, resulting in a total of 19,168 performance share units earned. The performance share units will vest on 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 15,300 restricted stock units that were granted 03/01/2022 and will vest on 06/01/2025; (b) 31,000 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 34,934 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (d) 72,600 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; and (e) 147,400 restricted stock units that were granted on 06/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; each subject to the reporting person's continued employment with the issuer.

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February 24, 2025 Filed Feb 26, 2025 21:28 UTC
Giordano BartolomeoSVP & President, NICS
GrantCommon Stock 8,713 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-027809 · ownership.xml · nonDerivative · entry 1

Giordano Bartolomeo · CIK 0001965783 · SVP & President, NICS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 381,663

F1 · acquired: On March 1, 2022, the reporting person was granted 12,500 performance share units, which number could be increased or decreased based upon the Company's satisfaction of certain performance criteria during the applicable performance period. The performance criteria was partially met, resulting in a total of 8,713 performance share units earned. The performance share units will vest on 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 9,734 restricted stock units that were granted 03/01/2022 and will vest on 06/01/2025; (b) 33,867 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 38,134 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (d) 79,200 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; and (e) 160,800 restricted stock units that were granted on 06/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; each subject to the reporting person's continued employment with the issuer.

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February 24, 2025 Filed Feb 26, 2025 21:26 UTC
Sucharczuk GuySVP & President, ANS
GrantCommon Stock 20,910 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-027801 · ownership.xml · nonDerivative · entry 1

Sucharczuk Guy · CIK 0001913770 · SVP & President, ANS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 462,237

F1 · acquired: On March 1, 2022, the reporting person was granted 30,000 performance share units, which number could be increased or decreased based upon the Company's satisfaction of certain performance criteria during the applicable performance period. The performance criteria was partially met, resulting in a total of 20,910 performance share units earned. The performance share units will vest on 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 16,667 restricted stock units that were granted 03/01/2022 and will vest on 06/01/2025; (b) 33,867 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 38,134 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (d) 79,200 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; and (e) 160,800 restricted stock units that were granted on 06/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; each subject to the reporting person's continued employment with the issuer.

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February 24, 2025 Filed Feb 26, 2025 21:23 UTC
ter Linde KoenSVP & President, CCS
GrantCommon Stock 9,619 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-027793 · ownership.xml · nonDerivative · entry 1

ter Linde Koen · CIK 0001976132 · SVP & President, CCS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 485,919

F1 · acquired: On March 1, 2022, the reporting person was granted 13,800 performance share units, which number could be increased or decreased based upon the Company's satisfaction of certain performance criteria during the applicable performance period. The performance criteria was partially met, resulting in a total of 9,619 performance share units earned. The performance share units will vest on 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 10,700 restricted stock units that were granted 03/01/2022 and will vest on 06/01/2025; (b) 95,267 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 79,200 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; and (d) 160,800 restricted stock units that were granted on 06/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; each subject to the reporting person's continued employment with the issuer.

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December 31, 2024 Filed Jan 3, 2025 16:30 UTC
TC Group, LLC10% owner
OtherSeries A Convertible Preferred Stock · Derivative 16,646 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-25-000262 · ownership.xml · derivative · entry 1

Carlyle Group Inc. · CIK 0001527166 · 10% owner

Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner

Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner

Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner

CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner

TC Group, LLC · CIK 0000933790 · 10% owner

TC Group Sub L.P. · CIK 0001548639 · 10% owner

TC Group VII S1, L.L.C. · CIK 0001772672 · 10% owner

TC Group VII S1, L.P. · CIK 0001772631 · 10% owner

Carlyle Partners VII S1 Holdings, L.P. · CIK 0001772667 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,227,328

Underlying: Common Stock · 605,308 shares

Expires not disclosed

F1 · derivative.exercise_price: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F2 · kind: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears.

F2 · price: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears.

F1 · derivative.exercise_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F1 · derivative.expiration_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F3 · ownership.nature: Carlyle Partners VII S1 Holdings, L.P. is the record holder of the securities reported herein.

F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII S1 Holdings, L.P. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by Carlyle Partners VII S1 Holdings, L.P. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein, if any.

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December 01, 2024 Filed Dec 3, 2024 16:01 UTC Tax withholdingCommon Stock 1,421 $4.77 $6,778.17
Disclosure

SEC source: 0000950170-24-132724 · ownership.xml · nonDerivative · entry 1

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,302,954.465

F1 · kind: Reflects shares withheld to cover taxes incurred upon the vesting of restricted stock units.

F2 · balance_after: As previously reported, includes (a) 27,800 restricted stock units that were granted on 03/01/2022 and will vest on 06/01/2025; (b) 80,334 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 90,534 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (d) 188,100 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; and (e) 591,900 restricted stock untis that were granted on 06/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, each subject to the reporting person's continued employment with the issuer.

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September 30, 2024 Filed Oct 2, 2024 16:30 UTC
TC Group, LLC10% owner
OtherSeries A Convertible Preferred Stock · Derivative 16,421 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-24-039215 · ownership.xml · derivative · entry 1

Carlyle Group Inc. · CIK 0001527166 · 10% owner

Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner

Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner

Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner

CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner

TC Group, LLC · CIK 0000933790 · 10% owner

TC Group Sub L.P. · CIK 0001548639 · 10% owner

TC Group VII S1, L.L.C. · CIK 0001772672 · 10% owner

TC Group VII S1, L.P. · CIK 0001772631 · 10% owner

Carlyle Partners VII S1 Holdings, L.P. · CIK 0001772667 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,210,682

Underlying: Common Stock · 597,126 shares

Expires not disclosed

F1 · derivative.exercise_price: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F2 · kind: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears.

F2 · price: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears.

F1 · derivative.exercise_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F1 · derivative.expiration_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F3 · ownership.nature: Carlyle Partners VII S1 Holdings, L.P. ("Carlyle Partners VII") is the record holder of the securities reported herein.

F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by Carlyle Partners VII. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein, if any.

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June 30, 2024 Filed Jul 2, 2024 16:30 UTC
TC Group, LLC10% owner
OtherSeries A Convertible Preferred Stock · Derivative 16,198 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-24-026021 · ownership.xml · derivative · entry 1

Carlyle Group Inc. · CIK 0001527166 · 10% owner

Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner

Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner

Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner

CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner

TC Group, LLC · CIK 0000933790 · 10% owner

TC Group Sub L.P. · CIK 0001548639 · 10% owner

TC Group VII S1, L.L.C. · CIK 0001772672 · 10% owner

TC Group VII S1, L.P. · CIK 0001772631 · 10% owner

Carlyle Partners VII S1 Holdings, L.P. · CIK 0001772667 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,194,261

Underlying: Common Stock · 589,017 shares

Expires not disclosed

F1 · derivative.exercise_price: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F2 · kind: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears.

F2 · price: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears.

F1 · derivative.exercise_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F1 · derivative.expiration_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F3 · ownership.nature: Carlyle Partners VII S1 Holdings, L.P. is the record holder of the securities reported herein.

F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII S1 Holdings, L.P.

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June 01, 2024 Filed Jun 4, 2024 16:18 UTC GrantCommon Stock 60,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-068697 · ownership.xml · nonDerivative · entry 1

Crawford Jennifer L. · CIK 0002020400 · SVP & CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 128,083

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: Includes (a) 2,434 restricted stock units that were granted on 03/01/2022 and will vest on 06/01/2025; (b) 2,084 restricted stock units that were granted on 06/01/2022 and will vest on 06/01/2025; (c) 15,278 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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June 01, 2024 Filed Jun 4, 2024 20:29 UTC
Treadway Charles L.Director · President and CEO
GrantCommon Stock 1,340,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-068723 · ownership.xml · nonDerivative · entry 1

Treadway Charles L. · CIK 0001458881 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,213,206

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 130,567 restricted stock units that were granted on 03/01/2022 and will vest on 06/01/2025; (b) 281,734 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 317,467 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; and (d) 660,000 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, each subject to the reporting person's continued employment with the issuer.

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June 01, 2024 Filed Jun 4, 2024 16:23 UTC GrantCommon Stock 591,900 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-068707 · ownership.xml · nonDerivative · entry 1

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,304,375.465

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 5,834 restricted stock units that were granted on 12/01/2021 and will vest on 12/01/2024; (b) 27,800 restricted stock units that were granted on 03/01/2022 and will vest on 06/01/2025; (c) 80,334 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (d) 90,534 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; and (e) 188,100 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, each subject to the reporting person's continued employment with the issuer.

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June 01, 2024 Filed Jun 4, 2024 16:25 UTC
Firouzbakht FaridSVP & President, OWN
GrantCommon Stock 160,800 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-068711 · ownership.xml · nonDerivative · entry 1

Firouzbakht Farid · CIK 0001303596 · SVP & President, OWN

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 488,602

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 16,667 restricted stock units that were granted on 03/01/2022 and will vest on 06/01/2025; (b) 33,867 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 38,134 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; and (d) 79,200 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, each subject to the reporting person's continued employment with the issuer.

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June 01, 2024 Filed Jun 4, 2024 16:16 UTC
Choi Justin CSVP, Chief Legal Officer & Sec
Tax withholdingCommon Stock 21,771 $1.44 $31,350.24
Disclosure

SEC source: 0000950170-24-068690 · ownership.xml · nonDerivative · entry 2

Choi Justin C · CIK 0001355816 · SVP, Chief Legal Officer & Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 713,975

F3 · shares: Reflects shares withheld to cover taxes incurred upon the vesting of restricted stock units.

F2 · balance_after: As previously reported, includes (a) 17,367 restricted stock units that were granted 03/01/2022 and will vest on 06/01/2025; (b) 53,534 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 60,334 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; and (d) 125,400 restricted stock units that were granted 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; each subject to the reporting person's continued employment with the issuer.

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June 01, 2024 Filed Jun 4, 2024 16:16 UTC
Choi Justin CSVP, Chief Legal Officer & Sec
GrantCommon Stock 254,600 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-068690 · ownership.xml · nonDerivative · entry 1

Choi Justin C · CIK 0001355816 · SVP, Chief Legal Officer & Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 735,746

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 17,367 restricted stock units that were granted 03/01/2022 and will vest on 06/01/2025; (b) 53,534 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 60,334 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; and (d) 125,400 restricted stock units that were granted 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; each subject to the reporting person's continued employment with the issuer.

Read SEC document
June 01, 2024 Filed Jun 4, 2024 20:11 UTC GrantCommon Stock 174,200 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-068667 · ownership.xml · nonDerivative · entry 1

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,116,030

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 26,134 restricted stock units that were granted on 03/01/2022 and will vest on 06/01/2025; (b) 36,667 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 41,334 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; and (d) 85,800 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, each subject to the reporting person's continued employment with the issuer.

Read SEC document
June 01, 2024 Filed Jun 4, 2024 20:31 UTC
Mingle Robyn TSVP and Chief HR Officer
GrantCommon Stock 147,400 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-068732 · ownership.xml · nonDerivative · entry 1

Mingle Robyn T · CIK 0001531828 · SVP and Chief HR Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 412,108

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 15,300 restricted stock units that were granted on 03/01/2022 and will vest on 06/01/2025; (b) 31,000 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 34,934 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; and (d) 72,600 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, each subject to the reporting person's continued employment with the issuer.

Read SEC document
June 01, 2024 Filed Jun 4, 2024 20:27 UTC
Sucharczuk GuySVP & President, ANS
GrantCommon Stock 160,800 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-068716 · ownership.xml · nonDerivative · entry 1

Sucharczuk Guy · CIK 0001913770 · SVP & President, ANS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 441,327

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 16,667 restricted stock units that were granted on 03/01/2022 and will vest on 06/01/2025; (b) 33,867 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 38,134 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; and (d) 79,200 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, each subject to the reporting person's continued employment with the issuer.

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June 01, 2024 Filed Jun 4, 2024 20:20 UTC
ter Linde KoenSVP & President, CCS
GrantCommon Stock 160,800 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-068704 · ownership.xml · nonDerivative · entry 1

ter Linde Koen · CIK 0001976132 · SVP & President, CCS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 476,300

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 10,700 restricted stock units that were granted on 03/01/2022 and will vest on 06/01/2025; (b) 95,267 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; and (c) 79,200 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, each subject to the reporting person's continued employment with the issuer.

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June 01, 2024 Filed Jun 4, 2024 20:13 UTC
Giordano BartolomeoSVP & President, NICS
Tax withholdingCommon Stock 18,860 $1.44 $27,158.40
Disclosure

SEC source: 0000950170-24-068674 · ownership.xml · nonDerivative · entry 2

Giordano Bartolomeo · CIK 0001965783 · SVP & President, NICS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 372,950

F3 · shares: Reflects shares withheld to cover taxes incurred upon the vesting of restricted stock units.

F2 · balance_after: As previously reported, includes (a) 9,734 restricted stock units that were granted on 03/01/2022 and will vest on 06/01/2025; (b) 33,867 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 38,134 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; and (d) 79,200 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, each subject to the reporting person's continued employment with the issuer.

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June 01, 2024 Filed Jun 4, 2024 20:13 UTC
Giordano BartolomeoSVP & President, NICS
GrantCommon Stock 160,800 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-068674 · ownership.xml · nonDerivative · entry 1

Giordano Bartolomeo · CIK 0001965783 · SVP & President, NICS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 391,810

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 9,734 restricted stock units that were granted on 03/01/2022 and will vest on 06/01/2025; (b) 33,867 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; (c) 38,134 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2025 and 06/01/2026; and (d) 79,200 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, each subject to the reporting person's continued employment with the issuer.

Read SEC document
May 03, 2024 Filed May 7, 2024 19:13 UTC
Choi Justin CSVP, Chief Legal Officer & Sec
Tax withholdingCommon Stock 5,167 $0.99 $5,125.66
Disclosure

SEC source: 0000950170-24-054920 · ownership.xml · nonDerivative · entry 1

Choi Justin C · CIK 0001355816 · SVP, Chief Legal Officer & Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 481,146

F1 · shares: Reflects shares withheld to cover taxes incurred upon the vesting of restricted stock units.

F2 · balance_after: As previously reported, includes (a) 34,734 restricted stock units that were granted 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (b) 80,300 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; (c) 90,500 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; and (d) 125,400 restricted stock units that were granted 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027; each subject to the reporting person's continued employment with the issuer.

Read SEC document
March 31, 2024 Filed Apr 2, 2024 16:05 UTC
TC Group, LLC10% owner
OtherSeries A Convertible Preferred Stock · Derivative 15,978 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-040133 · ownership.xml · derivative · entry 1

Carlyle Group Inc. · CIK 0001527166 · 10% owner

Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner

Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner

Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner

CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner

TC Group, LLC · CIK 0000933790 · 10% owner

TC Group Sub L.P. · CIK 0001548639 · 10% owner

TC Group VII S1, L.L.C. · CIK 0001772672 · 10% owner

TC Group VII S1, L.P. · CIK 0001772631 · 10% owner

Carlyle Partners VII S1 Holdings, L.P. · CIK 0001772667 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,178,063

Underlying: Common Stock · 581,017 shares

Expires not disclosed

F1 · derivative.exercise_price: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F2 · kind: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears.

F2 · price: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears.

F1 · derivative.exercise_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F1 · derivative.expiration_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F3 · ownership.nature: Carlyle Partners VII S1 Holdings, L.P. is the record holder of the securities reported herein.

F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII S1 Holdings, L.P.

Read SEC document
March 27, 2024 Filed Mar 29, 2024 15:06 UTC PurchaseCommon Stock 11,600 $1.25 $14,500.00
Disclosure

SEC source: 0000950170-24-038562 · ownership.xml · nonDerivative · entry 1

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 712,475.465

F1 · balance_after: As previously reported, includes (a) 5,834 restricted stock units that were granted on 12/01/2021 and will vest on 12/01/2024; (b) 55,600 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (c) 120,500 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025, and 06/01/2026; (d) 135,800 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; and (e) 188,100 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, each subject to the reporting person's continued employment with the issuer.

Read SEC document
March 13, 2024 Filed Mar 14, 2024 20:58 UTC PurchaseCommon Stock 92,127 $1.60 $147,154.46
Disclosure

SEC source: 0000950170-24-031627 · ownership.xml · nonDerivative · entry 2

KRAUSE L WILLIAM · CIK 0001055438 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 320,000

F3 · price: The price shown is the weighted average price of the shares purchased in this transaction. The price range for this transaction is $1.580 to $1.600. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price for this transaction.

F2 · balance_after: As previously disclosed, includes 47,170 restricted stock units granted pursuant to the issuer's non-employee director compensation plan, which vest on May 9, 2024, subject to the director's continued membership on the Board of Directors on such date.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 20:58 UTC PurchaseCommon Stock 57,300 $1.59 $90,952.29
Disclosure

SEC source: 0000950170-24-031627 · ownership.xml · nonDerivative · entry 1

KRAUSE L WILLIAM · CIK 0001055438 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 227,873

F1 · price: The price shown is the weighted average price of the shares purchased in this transaction. The price range for this transaction is $1.580 to $1.590. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price for this transaction.

F2 · balance_after: As previously disclosed, includes 47,170 restricted stock units granted pursuant to the issuer's non-employee director compensation plan, which vest on May 9, 2024, subject to the director's continued membership on the Board of Directors on such date.

Read SEC document
March 05, 2024 Filed Mar 7, 2024 21:17 UTC PurchaseCommon Stock 15,000 $1.05 $15,769.50
Disclosure

SEC source: 0000950170-24-027977 · ownership.xml · nonDerivative · entry 1

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 941,830

F1 · price: The price shown is the weighted average price of the shares purchased in this transaction. The price range for this transaction is $1.035 to $1.085. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price for this transaction.

F2 · balance_after: As previously reported, includes (a) 52,267 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (b) 55,000 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; (c) 62,000 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; and (d) 85,800 restricted stock units that were granted on 03/01/2024 and will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, each subject to the reporting person's continued employment with the issuer.

Read SEC document
March 01, 2024 Filed Mar 5, 2024 23:05 UTC
Treadway Charles L.Director · President and CEO
GrantCommon Stock 660,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-026448 · ownership.xml · nonDerivative · entry 1

Treadway Charles L. · CIK 0001458881 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,873,206

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 261,134 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (b) 422,600 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; and (c) 476,200 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

Read SEC document
March 01, 2024 Filed Mar 5, 2024 19:10 UTC GrantCommon Stock 188,100 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-026544 · ownership.xml · nonDerivative · entry 1

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 700,875.465

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 5,834 restricted stock units that were granted on 12/01/2021 and will vest on 12/01/2024; (b) 55,600 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (c) 120,500 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025, and 06/01/2026, and (d) 135,800 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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March 01, 2024 Filed Mar 5, 2024 18:23 UTC
Firouzbakht FaridSVP & President, OWN
GrantCommon Stock 79,200 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-026483 · ownership.xml · nonDerivative · entry 1

Firouzbakht Farid · CIK 0001303596 · SVP & President, OWN

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 327,802

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 33,334 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025, (b) 50,800 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026, and (c) 57,200 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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March 01, 2024 Filed Mar 5, 2024 18:20 UTC
Choi Justin CSVP, Chief Legal Officer & Sec
GrantCommon Stock 125,400 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-026479 · ownership.xml · nonDerivative · entry 1

Choi Justin C · CIK 0001355816 · SVP, Chief Legal Officer & Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 486,313

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 17,634 restricted stock units that were granted on 05/03/2021 and will vest on 05/03/2024; (b) 34,734 restricted stock units that were granted 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (c) 80,300 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; and (d) 90,500 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; each subject to the reporting person's continued employment with the issuer.

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March 01, 2024 Filed Mar 5, 2024 23:16 UTC GrantCommon Stock 85,800 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-026474 · ownership.xml · nonDerivative · entry 1

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 926,830

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 52,267 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (b) 55,000 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; and (c) 62,000 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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March 01, 2024 Filed Mar 5, 2024 23:29 UTC
ter Linde KoenSVP & President, CCS
GrantCommon Stock 79,200 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-026493 · ownership.xml · nonDerivative · entry 1

ter Linde Koen · CIK 0001976132 · SVP & President, CCS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315,500

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 8,156 restricted stock units that were granted on 06/01/2021 and will vest on 06/01/2024; (b) 21,400 restricted stock units that were granted on 03/01/2022 and will vest equally on 06/01/2024 and 06/01/2025; and (c) 142,900 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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March 01, 2024 Filed Mar 5, 2024 23:25 UTC
Giordano BartolomeoSVP & President, NICS
GrantCommon Stock 79,200 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-026488 · ownership.xml · nonDerivative · entry 1

Giordano Bartolomeo · CIK 0001965783 · SVP & President, NICS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,010

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 7,122 restricted stock units that were granted on 06/01/2021 and will vest on 06/01/2024; (b) 19,467 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (c) 50,800 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025, and 06/01/2026; and (d) 57,200 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025, and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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March 01, 2024 Filed Mar 5, 2024 23:13 UTC
Mingle Robyn TSVP and Chief HR Officer
GrantCommon Stock 72,600 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-026464 · ownership.xml · nonDerivative · entry 1

Mingle Robyn T · CIK 0001531828 · SVP and Chief HR Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 264,708

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 30,600 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (b) 46,500 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; and (c) 52,400 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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March 01, 2024 Filed Mar 5, 2024 23:09 UTC GrantCommon Stock 19,800 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-026458 · ownership.xml · nonDerivative · entry 1

Oracion Laurie S. · CIK 0001927634 · SVP & CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,645

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 1,221 restricted stock units that were granted on 06/01/2021 and will vest on 06/01/2024; (b) 6,250 restricted stock units that were granted on 06/01/2022 and will vest in equal installments on 06/01/2024 and 06/01/2025; (c) 12,700 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025, and 06/01/2026; and (d) 14,300 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025, and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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March 01, 2024 Filed Mar 5, 2024 23:07 UTC
Sucharczuk GuySVP & President, ANS
GrantCommon Stock 79,200 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-026453 · ownership.xml · nonDerivative · entry 1

Sucharczuk Guy · CIK 0001913770 · SVP & President, ANS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,527

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2025, 06/01/2026 and 06/01/2027, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 6,460 restricted stock units that were granted on 06/01/2021 and will vest on 06/01/2024; (b) 33,334 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (c) 50,800 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025, and 06/01/2026; and (d) 57,200 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025, and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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January 04, 2024 Filed Jan 8, 2024 17:44 UTC Tax withholdingCommon Stock 6,118 $2.73 $16,702.14
Disclosure

SEC source: 0000950170-24-003050 · ownership.xml · nonDerivative · entry 1

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 512,775.465

F1 · kind: Reflects shares withheld to cover taxes incurred upon the vesting of restricted stock units.

F2 · balance_after: As previously reported, includes (a) 5,834 restricted stock units that were granted on 12/01/2021 and will vest on 12/01/2024; (b) 55,600 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (c) 120,500 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025, and 06/01/2026, and (d) 135,800 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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December 31, 2023 Filed Jan 3, 2024 16:15 UTC
TC Group, LLC10% owner
OtherSeries A Convertible Preferred Stock · Derivative 15,761 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-000906 · ownership.xml · derivative · entry 1

Carlyle Group Inc. · CIK 0001527166 · 10% owner

Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner

Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner

Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner

CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner

TC Group, LLC · CIK 0000933790 · 10% owner

TC Group Sub L.P. · CIK 0001548639 · 10% owner

TC Group VII S1, L.L.C. · CIK 0001772672 · 10% owner

TC Group VII S1, L.P. · CIK 0001772631 · 10% owner

Carlyle Partners VII S1 Holdings, L.P. · CIK 0001772667 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,162,085

Underlying: Common Stock · 573,126 shares

Expires not disclosed

F1 · derivative.exercise_price: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F2 · kind: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears.

F2 · price: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears.

F1 · derivative.exercise_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F1 · derivative.expiration_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F3 · ownership.nature: Carlyle Partners VII S1 Holdings, L.P. is the record holder of the securities reported herein.

F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII S1 Holdings, L.P.

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December 07, 2023 Filed Dec 8, 2023 22:44 UTC
ter Linde KoenSVP & President, CCS
PurchaseCommon Stock 13,513 $1.84 $24,857.16
Disclosure

SEC source: 0000950170-23-069125 · ownership.xml · nonDerivative · entry 1

ter Linde Koen · CIK 0001976132 · SVP & President, CCS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 236,300

F1 · balance_after: Includes (a) 8,156 restricted stock units that were granted on 06/01/2021 and will vest on 06/01/2024; (b) 21,400 restricted stock units that were granted on 03/01/2022 and will vest equally on 06/01/2024 and 06/01/2025; and (c) 142,900 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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December 01, 2023 Filed Dec 5, 2023 16:34 UTC Tax withholdingCommon Stock 2,296 $1.89 $4,339.44
Disclosure

SEC source: 0000950170-23-068206 · ownership.xml · nonDerivative · entry 1

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 518,893.465

F1 · kind: Reflects shares withheld to cover taxes incurred upon the vesting of restricted stock units.

F2 · balance_after: As previously reported, includes (a) 20,634 restricted stock units that were granted on 01/04/2021 and will vest on 01/04/2024; (b) 5,834 restricted stock units that were granted on 12/01/2021 and will vest on 12/01/2024; (c) 55,600 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (d) 120,500 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025, and 06/01/2026, and (e) 135,800 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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November 30, 2023 Filed Dec 4, 2023 21:58 UTC PurchaseCommon Stock 25,000 $1.67 $41,630.00
Disclosure

SEC source: 0000950170-23-067813 · ownership.xml · nonDerivative · entry 1

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 841,030

F1 · price: The price shown is the weighted average price of the shares purchased in this transaction. The price range for this transaction is $1.66 to $1.67. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price for this transaction.

F2 · balance_after: As previously reported, includes (a) 52,267 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (b) 55,000 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; and (c) 62,000 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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November 27, 2023 Filed Nov 29, 2023 16:11 UTC
Choi Justin CSVP, Chief Legal Officer & Sec
PurchaseCommon Stock 28,600 $1.74 $49,749.70
Disclosure

SEC source: 0000950170-23-066739 · ownership.xml · nonDerivative · entry 1

Choi Justin C · CIK 0001355816 · SVP, Chief Legal Officer & Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 360,913

F1 · price: The price shown is the weighted average price of the shares purchased in this transaction. The price range for this transaction is $1.72 to $1.765. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price for this transaction.

F2 · balance_after: As previously reported, includes (a) 17,634 restricted stock units that were granted on 05/03/2021 and will vest on 05/03/2024; (b) 34,734 restricted stock units that were granted 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (c) 80,300 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; and (d) 90,500 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; each subject to the reporting person's continued employment with the issuer.

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November 21, 2023 Filed Nov 22, 2023 22:29 UTC PurchaseCommon Stock 20,000 $1.74 $34,768.00
Disclosure

SEC source: 0000950170-23-065909 · ownership.xml · nonDerivative · entry 1

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 816,030

F1 · price: The price shown is the weighted average price of the shares purchased in this transaction. The price range for this transaction is $1.73 to $1.745. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price for this transaction.

F2 · balance_after: As previously reported, includes (a) 52,267 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; (b) 55,000 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026; and (c) 62,000 restricted stock units that were granted on 06/01/2023 and will vest ratably on 06/01/2024, 06/01/2025 and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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November 17, 2023 Filed Nov 21, 2023 21:08 UTC PurchaseCommon Stock 60,000 $1.86 $111,318.00
Disclosure

SEC source: 0000950170-23-065486 · ownership.xml · nonDerivative · entry 1

Yates Timothy T · CIK 0001354697 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,751

F1 · price: The price shown is the weighted average price of the shares purchased in this transaction. The price range for this transaction is $1.705 to $1.915. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price for this transaction.

F2 · balance_after: As previously reported, includes 47,170 restricted stock units granted on May 11, 2023, pursuant to the issuer's non-employee director compensation plan, which vest the earlier to occur of (i) May 11, 2024; and (ii) the date of the issuer's 2024 annual stockholders' meeting, subject to the director's continued membership on the Board of Directors on such date.

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November 17, 2023 Filed Nov 27, 2023 16:27 UTC PurchaseCommon Stock 40,000 $1.85 $73,956.00
Disclosure

SEC source: 0000950170-23-066135 · ownership.xml · nonDerivative · entry 1

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 521,189.465

F1 · price: The price shown is the weighted average price of the shares purchased in this transaction. The price range for this transaction is $1.84 to $1.85. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price for this transaction.

F2 · balance_after: As previously reported, includes (a) 20,634 restricted stock units that were granted on 01/04/2021 and will vest on 01/04/2024; (b) 11,667 restricted stock units that were granted on 12/01/2021 and will vest ratably on 12/01/2023 and 12/01/2024;(c) 55,600 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2024 and 06/01/2025; and (d) 120,500 restricted stock units that were granted on 03/01/2023 and will vest ratably on 06/01/2024, 06/01/2025, and 06/01/2026, each subject to the reporting person's continued employment with the issuer.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.