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Nasdaq · USD

VISN

Vistance Networks, Inc.

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4717
SEC CIK
0001517228
Parsed reports
477

Last 12 months

Inside the activity.

1 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202611
Sep 202601
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
May 06, 2022 Filed May 10, 2022 16:09 UTC GrantCommon Stock 16,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-028053 · doc4.xml · nonDerivative · entry 1

DRENDEL FRANK M · CIK 0001196634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,388,895

F1 · acquired: Reflects restricted stock units granted pursuant to the issuer's non-employee director compensation plan, which vest the earlier to occur of (i) May 6, 2023; and (ii) the date of the issuer's 2023 annual stockholders' meeting, subject to the director's continued membership on the Board of Directors on such date.

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May 06, 2022 Filed May 10, 2022 20:17 UTC
Manning TomDirector
GrantCommon Stock 16,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-028066 · doc4.xml · nonDerivative · entry 1

Manning Tom · CIK 0001343053 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,820

F1 · acquired: Reflects restricted stock units granted pursuant to the issuer's non-employee director compensation plan, which vest the earlier to occur of (i) May 6, 2023; and (ii) the date of the issuer's 2023 annual stockholders' meeting, subject to the director's continued membership on the Board of Directors on such date.

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May 06, 2022 Filed May 10, 2022 20:16 UTC GrantCommon Stock 16,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-028064 · doc4.xml · nonDerivative · entry 1

Yates Timothy T · CIK 0001354697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,581

F1 · acquired: Reflects restricted stock units granted pursuant to the issuer's non-employee director compensation plan, which vest the earlier to occur of (i) May 6, 2023; and (ii) the date of the issuer's 2023 annual stockholders' meeting, subject to the director's continued membership on the Board of Directors on such date.

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May 06, 2022 Filed May 10, 2022 20:20 UTC GrantCommon Stock 16,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-028070 · doc4.xml · nonDerivative · entry 1

Maguire Joanne M · CIK 0001368472 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,323

F1 · acquired: Reflects restricted stock units granted pursuant to the issuer's non-employee director compensation plan, which vest the earlier to occur of (i) May 6, 2023; and (ii) the date of the issuer's 2023 annual stockholders' meeting, subject to the director's continued membership on the Board of Directors on such date.

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May 06, 2022 Filed May 10, 2022 20:25 UTC GrantCommon Stock 16,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-028075 · doc4.xml · nonDerivative · entry 1

Roman Derrick A. · CIK 0001848498 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,932

F1 · acquired: Reflects restricted stock units granted pursuant to the issuer's non-employee director compensation plan, which vest the earlier to occur of (i) May 6, 2023; and (ii) the date of the issuer's 2023 annual stockholders' meeting, subject to the director's continued membership on the Board of Directors on such date.

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May 06, 2022 Filed May 10, 2022 20:23 UTC
Chan Mary SDirector
GrantCommon Stock 16,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-028073 · doc4.xml · nonDerivative · entry 1

Chan Mary S · CIK 0001641154 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,089

F1 · acquired: Reflects restricted stock units granted pursuant to the issuer's non-employee director compensation plan, which vest the earlier to occur of (i) May 6, 2023; and (ii) the date of the issuer's 2023 annual stockholders' meeting, subject to the director's continued membership on the Board of Directors on such date.

Read SEC document
May 03, 2022 Filed May 5, 2022 16:03 UTC
Choi Justin CSVP, Chief Legal Officer & Sec
Exercise / conversionPerformance Share Units · Derivative 22,680 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-027340 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,920

Underlying: Common Stock · 22,680 shares

Expires 2024-10-01

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.

F1 · kind: On May 3, 2021, the reporting person was granted 75,600 performance share units, which vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $17.50 to a high of $40, and the reporting person's continued employment with the issuer, over the period from 05/03/2021 to 10/01/2024. On July 27, 2021, each of the $17.50 stock price hurdle and the $20.00 stock price hurdle was achieved and, on May 3, 2022, the continued employment requirement was met, resulting in vesting of 22,680 performance share units.

F4 · derivative.exercise_date: Each performance share unit reflects the right to receive one share of common stock. The performance share units vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $17.50 to a high of $40, and the reporting person's continued employment with the issuer, over the period from 05/03/2021 to 10/01/2024.

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May 03, 2022 Filed May 5, 2022 16:03 UTC
Choi Justin CSVP, Chief Legal Officer & Sec
Tax withholdingCommon Stock 11,814 $6.39 $75,491.46
Disclosure

SEC source: 0001209191-22-027340 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,675

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

F2 · balance_after: As previously reported, includes (a) 35,267 restricted stock units that were granted on 05/03/2021 and will vest ratably on 05/03/2023 and 05/03/2024, and (b) 52,100 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, each subject to the reporting person's continued employment with the issuer.

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May 03, 2022 Filed May 5, 2022 16:03 UTC
Choi Justin CSVP, Chief Legal Officer & Sec
Exercise / conversionCommon Stock 22,680 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-027340 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,489

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

F1 · kind: On May 3, 2021, the reporting person was granted 75,600 performance share units, which vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $17.50 to a high of $40, and the reporting person's continued employment with the issuer, over the period from 05/03/2021 to 10/01/2024. On July 27, 2021, each of the $17.50 stock price hurdle and the $20.00 stock price hurdle was achieved and, on May 3, 2022, the continued employment requirement was met, resulting in vesting of 22,680 performance share units.

F2 · balance_after: As previously reported, includes (a) 35,267 restricted stock units that were granted on 05/03/2021 and will vest ratably on 05/03/2023 and 05/03/2024, and (b) 52,100 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, each subject to the reporting person's continued employment with the issuer.

Read SEC document
April 01, 2022 Filed Apr 5, 2022 20:13 UTC
Treadway Charles L.Director · President and CEO
Exercise / conversionPerformance Share Units · Derivative 220,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-022977 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 770,000

Underlying: Common Stock · 220,000 shares

Expires 2024-10-01

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.

F1 · kind: On October 1, 2020, the reporting person was granted 1,100,000 performance share units, which vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 10/01/2020 to 10/01/2024. On July 27, 2021, the $20.00 stock price hurdle was achieved and, on April 1, 2022, the continued employment requirement was met, resulting in vesting of 220,000 performance share units.

F4 · derivative.exercise_date: Each performance share unit reflects the right to receive one share of common stock. The performance share units vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 10/01/2020 to 10/01/2024.

Read SEC document
April 01, 2022 Filed Apr 5, 2022 20:13 UTC
Treadway Charles L.Director · President and CEO
Tax withholdingCommon Stock 75,296 $7.69 $579,026.24
Disclosure

SEC source: 0001209191-22-022977 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,152,375

F3 · kind: Reflects shares withheld to cover taxes incurred upon the vesting of the performance share units.

F2 · balance_after: As previously reported, includes (a) 333,334 restricted stock units that were granted on 10/01/2020 and will vest in equal installments on 10/01/2022 and 10/01/2023, and (b) 391,700 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, each subject to the reporting person's continued employment with the issuer.

Read SEC document
April 01, 2022 Filed Apr 5, 2022 20:13 UTC
Treadway Charles L.Director · President and CEO
Exercise / conversionCommon Stock 220,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-022977 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,227,671

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

F1 · kind: On October 1, 2020, the reporting person was granted 1,100,000 performance share units, which vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 10/01/2020 to 10/01/2024. On July 27, 2021, the $20.00 stock price hurdle was achieved and, on April 1, 2022, the continued employment requirement was met, resulting in vesting of 220,000 performance share units.

F2 · balance_after: As previously reported, includes (a) 333,334 restricted stock units that were granted on 10/01/2020 and will vest in equal installments on 10/01/2022 and 10/01/2023, and (b) 391,700 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, each subject to the reporting person's continued employment with the issuer.

Read SEC document
April 01, 2022 Filed Apr 5, 2022 20:15 UTC Exercise / conversionPerformance Share Units · Derivative 44,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-022991 · doc4.xml · derivative · entry 2

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,000

Underlying: Common Stock · 44,000 shares

Expires 2024-10-01

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.

F1 · kind: On October 1, 2020, the reporting person was granted 220,000 performance share units, which vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 10/01/2020 to 10/01/2024. On July 27, 2021, the $20.00 stock price hurdle was achieved and, on April 1, 2022, the continued employment requirement was met, resulting in vesting of 44,000 performance share units. The reporting person declined the opportunity to have shares withheld to cover taxes incurred in connection with the vesting of the performance share units and, instead, personally paid the required tax obligation in cash.

F3 · derivative.exercise_date: Each performance share unit reflects the right to receive one share of common stock. The performance share units vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 10/01/2020 to 10/01/2024.

Read SEC document
April 01, 2022 Filed Apr 5, 2022 20:15 UTC Exercise / conversionCommon Stock 44,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-022991 · doc4.xml · nonDerivative · entry 1

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 544,030

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

F1 · kind: On October 1, 2020, the reporting person was granted 220,000 performance share units, which vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 10/01/2020 to 10/01/2024. On July 27, 2021, the $20.00 stock price hurdle was achieved and, on April 1, 2022, the continued employment requirement was met, resulting in vesting of 44,000 performance share units. The reporting person declined the opportunity to have shares withheld to cover taxes incurred in connection with the vesting of the performance share units and, instead, personally paid the required tax obligation in cash.

F2 · balance_after: As previously reported, includes (a) 66,667 restricted stock units that were granted on 10/01/2020 and will vest ratably on 10/01/2022 and 10/01/2023, and (b) 78,400 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, each subject to the reporting person's continued employment with the issuer.

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March 31, 2022 Filed Jul 27, 2022 16:30 UTC
TC Group, LLC10% owner
OtherSeries A Convertible Preferred Stock · Derivative 14,521 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-026843 · doc4.xml · derivative · entry 5

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: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,070,665

Underlying: Common Stock · 528,036 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 11, 2022 Filed Mar 14, 2022 20:28 UTC
Treadway Charles L.Director · President and CEO
PurchaseCommon Stock 73,965 $6.78 $501,541.87
Disclosure

SEC source: 0001209191-22-018474 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,007,671

F1 · price: The price shown is the weighted average prices of the shares purchased in this transaction. The price range for this transaction is $6.745 to $6.7892. 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) 333,334 restricted stock units that were granted on 10/01/2020 and will vest in equal installments on 10/01/2022 and 10/01/2023, and (b) 391,700 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, each subject to the reporting person's continued employment with the issuer.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 16:07 UTC PurchaseCommon Stock 44,000 $6.83 $300,511.20
Disclosure

SEC source: 0001209191-22-018785 · doc4.xml · nonDerivative · entry 1

DRENDEL FRANK M · CIK 0001196634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,372,228

F1 · balance_after: As previously reported, includes 9,793 restricted stock units that were granted on 05/07/2021 and will vest the earlier to occur of (i) May 7, 2022; and (ii) the date of the issuer's 2022 annual stockholders' meeting, subject to the director's continued membership on the Board of Directors on such date.

Read SEC document
March 10, 2022 Filed Mar 14, 2022 20:04 UTC PurchaseCommon Stock 6,000 $7.26 $43,584.60
Disclosure

SEC source: 0001209191-22-018432 · doc4.xml · nonDerivative · entry 1

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,030

F1 · price: The price shown is the weighted average price of the shares purchased in this transaction. The price range for this transaction is $7.145 to $7.325. 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) 66,667 restricted stock units that were granted on 10/01/2020 and will vest ratably on 10/01/2022 and 10/01/2023, and (b) 78,400 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, each subject to the reporting person's continued employment with the issuer.

Read SEC document
March 08, 2022 Filed Mar 8, 2022 22:58 UTC PurchaseCommon Stock 4,000 $7.44 $29,740.00
Disclosure

SEC source: 0001209191-22-017220 · doc4.xml · nonDerivative · entry 2

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 494,030

F3 · price: 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 sold at each separate price for this transaction.

F2 · balance_after: As previously reported, includes (a) 66,667 restricted stock units that were granted on 10/01/2020 and will vest ratably on 10/01/2022 and 10/01/2023, and (b) 78,400 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, each subject to the reporting person's continued employment with the issuer.

Read SEC document
March 04, 2022 Filed Mar 8, 2022 22:58 UTC PurchaseCommon Stock 6,000 $8.87 $53,215.80
Disclosure

SEC source: 0001209191-22-017220 · doc4.xml · nonDerivative · entry 1

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 490,030

F1 · price: The price shown is the weighted average prices of the shares purchased in this transaction. The price range for this transaction is $8.775 to $8.95. 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 sold at each separate price for this transaction.

F2 · balance_after: As previously reported, includes (a) 66,667 restricted stock units that were granted on 10/01/2020 and will vest ratably on 10/01/2022 and 10/01/2023, and (b) 78,400 restricted stock units that were granted on 03/01/2022 and will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, each subject to the reporting person's continued employment with the issuer.

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March 03, 2022 Filed Mar 3, 2022 16:10 UTC
Choi Justin CSVP, Chief Legal Officer & Sec
PurchaseCommon Stock 8,000 $9.05 $72,397.60
Disclosure

SEC source: 0001209191-22-015389 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,809

F3 · price: The price shown is the weighted average price of the shares purchased in this transaction. The price range for this transaction is $9.0450 to $9.0499. 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 52,900 restricted stock units that will vest ratably on 05/03/2022, 05/03/2023, and 05/03/2024, subject to the reporting person's continued employment with the issuer.

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March 01, 2022 Filed Mar 3, 2022 16:21 UTC
Clark Brooke B.SVP & Chief Accounting Officer
Tax withholdingCommon Stock 3,181 $8.68 $27,611.08
Disclosure

SEC source: 0001209191-22-015419 · doc4.xml · nonDerivative · entry 2

Clark Brooke B. · CIK 0001749670 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,870

F2 · balance_after: As previously reported, includes (a) 3,250 restricted stock units that were granted on 02/01/2021 and will vest on 02/01/2023; (b) 9,773 restricted stock units that were granted 06/01/2020 and will vest on 03/01/2023; and (c) 19,379 restricted stock units that were granted on 06/01/2021 and will vest ratably on 06/01/2022, 06/01/2023 and 06/01/2024, each subject to the reporting person's continued employment with the issuer.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 16:21 UTC
Clark Brooke B.SVP & Chief Accounting Officer
GrantCommon Stock 16,700 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-015419 · doc4.xml · nonDerivative · entry 1

Clark Brooke B. · CIK 0001749670 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,051

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 3,250 restricted stock units that were granted on 02/01/2021 and will vest on 02/01/2023; (b) 9,773 restricted stock units that were granted 06/01/2020 and will vest on 03/01/2023; and (c) 19,379 restricted stock units that were granted on 06/01/2021 and will vest ratably on 06/01/2022, 06/01/2023 and 06/01/2024, each subject to the reporting person's continued employment with the issuer.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 21:07 UTC
Treadway Charles L.Director · President and CEO
GrantCommon Stock 391,700 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-015383 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 933,706

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes 333,334 restricted stock units that were granted on 10/01/2020 and will vest in equal installments on 10/01/2022 and 10/01/2023, subject to the reporting person's continued employment with the issuer.

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March 01, 2022 Filed Mar 3, 2022 16:13 UTC GrantCommon Stock 83,400 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-015398 · doc4.xml · nonDerivative · entry 1

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,511

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes (a) 41,267 restricted stock units that were granted on 01/04/2021 and will vest ratably on 01/04/2023 and 01/04/2024, and (b) 17,500 restricted stock units that wree granted on 12/01/2021 and will vest ratably on 12/01/2022, 12/01/2023 and 12/02/2024, each subject to the reporting person's continued employment with the issuer.

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March 01, 2022 Filed Mar 3, 2022 16:10 UTC
Choi Justin CSVP, Chief Legal Officer & Sec
GrantCommon Stock 52,100 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-015389 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,809

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes 52,900 restricted stock units that will vest ratably on 05/03/2022, 05/03/2023, and 05/03/2024, subject to the reporting person's continued employment with the issuer.

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March 01, 2022 Filed Mar 3, 2022 21:05 UTC GrantCommon Stock 78,400 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-015369 · doc4.xml · nonDerivative · entry 1

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 484,030

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes 66,667 restricted stock units that were granted on 10/01/2020 and will vest ratably on 10/01/2022 and 10/01/2023, subject to the reporting person's continued employment with the issuer.

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March 01, 2022 Filed Mar 3, 2022 21:24 UTC
Mingle Robyn TSVP and Chief HR Officer
GrantCommon Stock 45,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-015425 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,811

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, subject to the reporting person's continued employment with the issuer.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 21:16 UTC
Carlson John R.SVP & Chief Commercial Officer
GrantCommon Stock 50,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-015404 · doc4.xml · nonDerivative · entry 1

Carlson John R. · CIK 0001832384 · SVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,157

F1 · shares: Reflects restricted stock units that will vest ratably on 06/01/2023, 06/01/2024 and 06/01/2025, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes 53,334 restricted stock units that were granted on 12/01/2020 and will vest in equal installments on 12/01/2022 and 12/01/2023, subject to the reporting person's continued employment with the issuer.

Read SEC document
February 25, 2022 Filed Mar 1, 2022 21:10 UTC PurchaseCommon Stock 7,500 $9.96 $74,699.25
Disclosure

SEC source: 0001209191-22-013975 · doc4.xml · nonDerivative · entry 1

Roman Derrick A. · CIK 0001848498 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,265

F1 · balance_after: As previously reported, includes 9,793 restricted stock units granted pursuant to the issuer's non-employee director compensation plan, which vest the earlier to occur of (i) May 7, 2022; and (ii) the date of the issuer's 2022 annual stockholders' meeting, subject to the director's continued membership on the Board of Directors on such date.

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February 24, 2022 Filed Feb 25, 2022 21:02 UTC PurchaseCommon Stock 5,000 $9.73 $48,627.50
Disclosure

SEC source: 0001209191-22-013105 · doc4.xml · nonDerivative · entry 2

Yates Timothy T · CIK 0001354697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,914

F3 · price: The price shown is the weighted average price of the shares sold in this transaction. The price range for this transaction is $9.50 to $9.96. 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 9,793 restricted stock units granted pursuant to the issuer's non-employee director compensation plan, which vest the earlier to occur of (i) May 7, 2022; and (ii) the date of the issuer's 2022 annual stockholders' meeting, subject to the director's continued membership on the Board of Directors on such date.

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February 23, 2022 Filed Feb 25, 2022 21:02 UTC PurchaseCommon Stock 5,000 $10.06 $50,304.00
Disclosure

SEC source: 0001209191-22-013105 · doc4.xml · nonDerivative · entry 1

Yates Timothy T · CIK 0001354697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,914

F1 · price: The price shown is the weighted average price of the shares sold in this transaction. The price range for this transaction is $9.92 to $10.17. 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 9,793 restricted stock units granted pursuant to the issuer's non-employee director compensation plan, which vest the earlier to occur of (i) May 7, 2022; and (ii) the date of the issuer's 2022 annual stockholders' meeting, subject to the director's continued membership on the Board of Directors on such date.

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February 01, 2022 Filed Feb 2, 2022 16:03 UTC
Clark Brooke B.SVP & Chief Accounting Officer
Tax withholdingCommon Stock 1,138 $9.60 $10,924.80
Disclosure

SEC source: 0001209191-22-006335 · doc4.xml · nonDerivative · entry 1

Clark Brooke B. · CIK 0001749670 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,351

F1 · balance_after: As previously reported, includes (a) 3,250 restricted stock units that were granted on 02/01/2021 and will vest on 02/01/2023; (b) 19,546 restricted stock units that were granted on 06/01/2020 and will vest on 03/01/2022 and 03/01/2023; and (c) 19,379 restricted stock units that were granted on 06/01/2021 and will vest equally on 06/01/2022, 06/01/2023 and 06/01/2024; each subject to the reporting person's continued employment with the issuer.

Read SEC document
January 04, 2022 Filed Jan 7, 2022 13:17 UTC Exercise / conversionPerformance Share Units · Derivative 12,380 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-002337 · doc4.xml · derivative · entry 3

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,420

Underlying: Common Stock · 12,380 shares

Expires 2025-01-04

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

F1 · kind: On January 4, 2021, the reporting person was granted 123,800 performance share units, which vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 01/04/2021 to 01/04/2025. On March 31, 2021, the $15.00 stock price hurdle was achieved and, on January 4, 2022, the continued employment requirement was met, resulting in vesting of 12,380 performance share units.

F3 · derivative.exercise_date: Each performance share unit reflects the right to receive one share of common stock. The performance share units vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 01/04/2021 to 01/04/2025.

Read SEC document
January 04, 2022 Filed Jan 7, 2022 13:17 UTC Tax withholdingCommon Stock 8,669 $11.63 $100,820.47
Disclosure

SEC source: 0001209191-22-002337 · doc4.xml · nonDerivative · entry 2

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,111

F2 · balance_after: As previously reported, includes (a) 41,267 restricted stock units that were granted on 01/04/2021 and will vest equally on 01/04/2023 and 01/04/2024, and (b) 17,500 restricted stock units that were granted on 12/01/2021 and will vest in three equal installments on 12/01/2022, 12/02/2023 and 12/01/2024, each subject to the reporting person's continued employment with the issuer.

Read SEC document
January 04, 2022 Filed Jan 7, 2022 13:17 UTC Exercise / conversionCommon Stock 12,380 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-002337 · doc4.xml · nonDerivative · entry 1

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,780

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

F1 · kind: On January 4, 2021, the reporting person was granted 123,800 performance share units, which vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 01/04/2021 to 01/04/2025. On March 31, 2021, the $15.00 stock price hurdle was achieved and, on January 4, 2022, the continued employment requirement was met, resulting in vesting of 12,380 performance share units.

F2 · balance_after: As previously reported, includes (a) 41,267 restricted stock units that were granted on 01/04/2021 and will vest equally on 01/04/2023 and 01/04/2024, and (b) 17,500 restricted stock units that were granted on 12/01/2021 and will vest in three equal installments on 12/01/2022, 12/02/2023 and 12/01/2024, each subject to the reporting person's continued employment with the issuer.

Read SEC document
December 31, 2021 Filed Jul 27, 2022 16:30 UTC
TC Group, LLC10% owner
OtherSeries A Convertible Preferred Stock · Derivative 14,325 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-026843 · doc4.xml · derivative · entry 4

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: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,056,144

Underlying: Common Stock · 520,909 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
December 01, 2021 Filed Dec 3, 2021 16:31 UTC GrantCommon Stock 17,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-067835 · doc4.xml · nonDerivative · entry 1

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,400

F1 · kind: Reflects restricted stock units that vest in three equal installments on 12/01/2022, 12/01/2023 and 12/01/2024, subject to the reporting person's continued employment with the issuer.

F2 · balance_after: As previously reported, includes 61,900 restricted stock units that were granted on 01/04/2021 and will vest in equal installments on 01/04/2022, 01/04/2023 and 01/04/2024, subject to the reporting person's continued employment with the issuer.

Read SEC document
December 01, 2021 Filed Dec 3, 2021 21:29 UTC
Carlson John R.SVP & Chief Commercial Officer
Exercise / conversionPerformance Share Units · Derivative 16,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-067831 · doc4.xml · derivative · entry 3

Carlson John R. · CIK 0001832384 · SVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,000

Underlying: Common Stock · 16,000 shares

Expires 2024-12-01

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.

F1 · kind: On December 1, 2020, the reporting person was granted 160,000 performance share units, which vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 12/01/2020 to 12/01/2024. On March 31, 2021, the $15.00 stock price hurdle was achieved and, on December 1, 2021, the continued employment requirement was met, resulting in vesting of 16,000 performance share units.

F3 · derivative.exercise_date: Each performance share unit reflects the right to receive one share of common stock. The performance share units vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 12/01/2020 to 12/01/2024.

Read SEC document
December 01, 2021 Filed Dec 3, 2021 21:29 UTC
Carlson John R.SVP & Chief Commercial Officer
Tax withholdingCommon Stock 12,843 $10.03 $128,815.29
Disclosure

SEC source: 0001209191-21-067831 · doc4.xml · nonDerivative · entry 2

Carlson John R. · CIK 0001832384 · SVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,157

F2 · balance_after: As previously reported, includes 53,334 restricted stock units that were granted on 12/01/2020 and will vest in equal installments on 12/01/2022 and 12/01/2023, subject to the reporting person's continued employment with the issuer.

Read SEC document
December 01, 2021 Filed Dec 3, 2021 21:29 UTC
Carlson John R.SVP & Chief Commercial Officer
Exercise / conversionCommon Stock 16,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-067831 · doc4.xml · nonDerivative · entry 1

Carlson John R. · CIK 0001832384 · SVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,000

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

F1 · kind: On December 1, 2020, the reporting person was granted 160,000 performance share units, which vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 12/01/2020 to 12/01/2024. On March 31, 2021, the $15.00 stock price hurdle was achieved and, on December 1, 2021, the continued employment requirement was met, resulting in vesting of 16,000 performance share units.

F2 · balance_after: As previously reported, includes 53,334 restricted stock units that were granted on 12/01/2020 and will vest in equal installments on 12/01/2022 and 12/01/2023, subject to the reporting person's continued employment with the issuer.

Read SEC document
November 22, 2021 Filed Nov 22, 2021 22:51 UTC PurchaseCommon Stock 5,000 $9.77 $48,874.00
Disclosure

SEC source: 0001209191-21-066175 · doc4.xml · nonDerivative · entry 3

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 410,677

F4 · price: The price shown is the weighted average price of the shares sold in this transaction. The price range for this transaction is $9.765 to $9.79. 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 sold at each separate price for this transaction.

F2 · balance_after: As previously reported, includes 66,667 restricted stock units that were granted on 10/01/2020 and will vest ratably on 10/01/2022 and 10/01/2023, subject to the reporting person's continued employment with the issuer.

Read SEC document
November 19, 2021 Filed Nov 22, 2021 22:51 UTC PurchaseCommon Stock 20,000 $9.73 $194,564.00
Disclosure

SEC source: 0001209191-21-066175 · doc4.xml · nonDerivative · entry 2

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 405,677

F3 · price: The price shown is the weighted average price of the shares sold in this transaction. The price range for this transaction is $9.705 to $9.76. 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 sold at each separate price for this transaction.

F2 · balance_after: As previously reported, includes 66,667 restricted stock units that were granted on 10/01/2020 and will vest ratably on 10/01/2022 and 10/01/2023, subject to the reporting person's continued employment with the issuer.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 20:48 UTC PurchaseCommon Stock 25,000 $9.80 $244,905.00
Disclosure

SEC source: 0001209191-21-066276 · doc4.xml · nonDerivative · entry 1

Lorentzen Kyle David · CIK 0001441085 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,900

F1 · price: The price shown is the weighted average price of the shares sold in this transaction. The price range for this transaction is $9.785 to $9.815. 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 sold at each separate price for this transaction.

F2 · balance_after: As previously reported, includes 61,900 restricted stock units that were granted on 01/04/2021 and will vest in equal installments on 01/04/2022, 01/04/2023 and 01/04/2024, subject to the reporting person's continued employment with the issuer.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 22:51 UTC PurchaseCommon Stock 10,000 $9.88 $98,802.00
Disclosure

SEC source: 0001209191-21-066175 · doc4.xml · nonDerivative · entry 1

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 385,677

F1 · price: The price shown is the weighted average price of the shares sold in this transaction. The price range for this transaction is $9.87 to $9.89. 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 sold at each separate price for this transaction.

F2 · balance_after: As previously reported, includes 66,667 restricted stock units that were granted on 10/01/2020 and will vest ratably on 10/01/2022 and 10/01/2023, subject to the reporting person's continued employment with the issuer.

Read SEC document
November 10, 2021 Filed Nov 11, 2021 02:02 UTC PurchaseCommon Stock 20,000 $9.55 $190,964.00
Disclosure

SEC source: 0001209191-21-064006 · doc4.xml · nonDerivative · entry 3

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,677

F4 · price: The price shown is the weighted average price of the shares sold in this transaction. The price range for this transaction is $9.39 to $9.75. 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 sold at each separate price for this transaction.

F2 · balance_after: As previously reported, includes 66,667 restricted stock units that were granted on 10/01/2020 and will vest ratably on 10/01/2022 and 10/01/2023, subject to the reporting person's continued employment with the issuer.

Read SEC document
November 09, 2021 Filed Nov 11, 2021 02:02 UTC PurchaseCommon Stock 15,000 $9.77 $146,617.50
Disclosure

SEC source: 0001209191-21-064006 · doc4.xml · nonDerivative · entry 2

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,677

F3 · price: The price shown is the weighted average price of the shares sold in this transaction. The price range for this transaction is $9.65 to $9.90. 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 sold at each separate price for this transaction.

F2 · balance_after: As previously reported, includes 66,667 restricted stock units that were granted on 10/01/2020 and will vest ratably on 10/01/2022 and 10/01/2023, subject to the reporting person's continued employment with the issuer.

Read SEC document
November 08, 2021 Filed Nov 9, 2021 16:09 UTC
Choi Justin CSVP, Chief Legal Officer & Sec
PurchaseCommon Stock 15,384 $9.75 $149,989.38
Disclosure

SEC source: 0001209191-21-063600 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,709

F1 · price: The price shown is the weighted average price of the shares purchased in this transaction. The price range for this transaction is $9.745 to $9.75 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 52,900 restricted stock units that will vest in three equal installments on 05/03/2022, 05/03/2023, and 05/03/2024, subject to the reporting person's continued employment with the issuer.

Read SEC document
November 08, 2021 Filed Nov 11, 2021 02:02 UTC PurchaseCommon Stock 30,000 $9.96 $298,719.00
Disclosure

SEC source: 0001209191-21-064006 · doc4.xml · nonDerivative · entry 1

Watts Claudius E. IV · CIK 0001408738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,677

F1 · price: The price shown is the weighted average price of the shares sold in this transaction. The price range for this transaction is $9.73 to $10.10. 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 sold at each separate price for this transaction.

F2 · balance_after: As previously reported, includes 66,667 restricted stock units that were granted on 10/01/2020 and will vest ratably on 10/01/2022 and 10/01/2023, subject to the reporting person's continued employment with the issuer.

Read SEC document
October 01, 2021 Filed Oct 5, 2021 21:53 UTC
Treadway Charles L.Director · President and CEO
Exercise / conversionPerformance Share Units · Derivative 110,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-059636 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 990,000

Underlying: Common Stock · 110,000 shares

Expires 2024-10-01

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.

F1 · kind: On October 1, 2020, the reporting person was granted 1,100,000 performance share units, which vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 10/01/2020 to 10/01/2024. On March 31, 2021, the $15.00 stock price hurdle was achieved and, on October 1, 2021, the continued employment requirement was met, resulting in vesting of 110,000 performance share units.

F3 · derivative.exercise_date: Each performance share unit reflects the right to receive one share of common stock. The performance share units vest upon the achievement of certain hurdles relating to the issuer's stock price ranging from a low of $15 to a high of $40, and the reporting person's continued employment with the issuer, over the four-year period from 10/01/2020 to 10/01/2024.

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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.