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Nasdaq · USD

WATT

Energous Corp

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Tapewire entity
7121
SEC CIK
0001575793
Parsed reports
327

Last 12 months

Inside the activity.

1 purchase rows · 0 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 202610
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 09, 2020 Filed Oct 14, 2020 20:27 UTC GrantCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-054777 · doc4.xml · nonDerivative · entry 1

Griffin Robert J · CIK 0001603902 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,559

F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the issuer's common stock upon settlement.

F2 · shares: The RSU vests as to 100% of the award on January 2, 2021, subject to the reporting person's continued service to the Issuer through such date. The RSU was granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy.

F2 · price: The RSU vests as to 100% of the award on January 2, 2021, subject to the reporting person's continued service to the Issuer through such date. The RSU was granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy.

Read SEC document
October 09, 2020 Filed Oct 14, 2020 20:23 UTC GrantCommon Stock 9,315 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-054774 · doc4.xml · nonDerivative · entry 1

Au Reynette K. · CIK 0001787464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,378

F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the issuer's common stock upon settlement.

F2 · shares: The RSU vests as to 100% of the award on January 2, 2021, subject to the reporting person's continued service to the Issuer through such date. The RSU was granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy.

F2 · price: The RSU vests as to 100% of the award on January 2, 2021, subject to the reporting person's continued service to the Issuer through such date. The RSU was granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy.

Read SEC document
September 28, 2020 Filed Oct 1, 2020 00:27 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 2,891 $3.02 $8,730.82
Disclosure

SEC source: 0001209191-20-052521 · doc4.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,894

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
August 26, 2020 Filed Aug 29, 2020 00:21 UTC GrantCommon Stock 20,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-048692 · doc4.xml · nonDerivative · entry 1

Griffin Robert J · CIK 0001603902 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,559

F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: The RSU vests on January 4, 2021, subject to the reporting person's continued service to the Issuer. The RSU was granted to the Reporting Person on August 26, 2020 pursuant to the Company's nonemployee director compensation policy.

Read SEC document
August 18, 2020 Filed Aug 18, 2020 20:47 UTC
Sereda Brian JSenior Vice President & CFO
SaleCommon Stock 4,050 $3.94 $15,957.00
Disclosure

SEC source: 0001209191-20-047379 · doc4.xml · nonDerivative · entry 2

Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,065

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
August 18, 2020 Filed Aug 19, 2020 00:47 UTC
Sahejpal NeerajSenior VP, Product Marketing
SaleCommon Stock 3,150 $3.94 $12,411.00
Disclosure

SEC source: 0001209191-20-047378 · doc4.xml · nonDerivative · entry 2

Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,470

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
August 15, 2020 Filed Aug 18, 2020 20:44 UTC Exercise / conversionRestricted Stock Units · Derivative 14,021 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047376 · doc4.xml · derivative · entry 2

NOONEN MICHAEL · CIK 0001085396 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,042

Underlying: Common Stock · 14,021 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive 1 share of the issuer's common stock upon settlement.

F2 · derivative.exercise_date: The RSUs vest as to 1/3 of the total shares annually on the first three anniversaries of August 15, 2019.

F2 · derivative.expiration_date: The RSUs vest as to 1/3 of the total shares annually on the first three anniversaries of August 15, 2019.

Read SEC document
August 15, 2020 Filed Aug 18, 2020 20:44 UTC Exercise / conversionCommon Stock 14,021 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047376 · doc4.xml · nonDerivative · entry 1

NOONEN MICHAEL · CIK 0001085396 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,021

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

Read SEC document
August 15, 2020 Filed Aug 19, 2020 00:45 UTC Exercise / conversionRestricted Stock Units · Derivative 14,021 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047377 · doc4.xml · derivative · entry 3

Patel Rahul G. · CIK 0001785783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,042

Underlying: Common Stock · 14,021 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive 1 share of the issuer's common stock upon settlement.

F3 · derivative.exercise_date: The RSUs vest as to 1/3 of the total shares annually on the first three anniversaries of August 15, 2019.

F3 · derivative.expiration_date: The RSUs vest as to 1/3 of the total shares annually on the first three anniversaries of August 15, 2019.

Read SEC document
August 15, 2020 Filed Aug 19, 2020 00:45 UTC Exercise / conversionCommon Stock 14,021 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047377 · doc4.xml · nonDerivative · entry 1

Patel Rahul G. · CIK 0001785783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,021

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

Read SEC document
August 14, 2020 Filed Aug 18, 2020 20:47 UTC
Sereda Brian JSenior Vice President & CFO
SaleCommon Stock 11,075 $3.30 $36,547.50
Disclosure

SEC source: 0001209191-20-047379 · doc4.xml · nonDerivative · entry 1

Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,115

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
August 14, 2020 Filed Aug 19, 2020 00:47 UTC
Sahejpal NeerajSenior VP, Product Marketing
SaleCommon Stock 10,177 $3.30 $33,584.10
Disclosure

SEC source: 0001209191-20-047378 · doc4.xml · nonDerivative · entry 1

Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,620

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
August 14, 2020 Filed Aug 19, 2020 00:45 UTC SaleCommon Stock 7,712 $3.30 $25,449.60
Disclosure

SEC source: 0001209191-20-047377 · doc4.xml · nonDerivative · entry 2

Patel Rahul G. · CIK 0001785783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,309

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Certain shares were sold by the Reporting Person to cover tax obligations in connection with the vesting of restricted stock units.

Read SEC document
August 14, 2020 Filed Aug 19, 2020 00:43 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 19,296 $3.30 $63,676.80
Disclosure

SEC source: 0001209191-20-047375 · doc4.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 395,785

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
June 26, 2020 Filed Jun 30, 2020 20:05 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 5,413 $2.84 $15,372.92
Disclosure

SEC source: 0001209191-20-039433 · doc4.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 415,081

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units and 401(k) contributions to be made by the Reporting Person.

Read SEC document
May 15, 2020 Filed May 19, 2020 20:08 UTC
Sereda Brian JSenior Vice President & CFO
SaleCommon Stock 11,075 $1.84 $20,378.00
Disclosure

SEC source: 0001209191-20-030758 · doc4.xml · nonDerivative · entry 1

Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,190

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
May 15, 2020 Filed May 20, 2020 00:04 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 24,322 $1.84 $44,752.48
Disclosure

SEC source: 0001209191-20-030752 · doc4.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 420,494

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units and 401(k) contributions to be made by the Reporting Person.

Read SEC document
May 15, 2020 Filed May 20, 2020 00:06 UTC
Sahejpal NeerajSenior VP, Product Marketing
SaleCommon Stock 10,177 $1.84 $18,725.68
Disclosure

SEC source: 0001209191-20-030755 · doc4.xml · nonDerivative · entry 1

Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,797

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
May 13, 2020 Filed May 15, 2020 00:55 UTC SaleCommon Stock 5,685 $1.80 $10,233.00
Disclosure

SEC source: 0001209191-20-029408 · doc4.xml · nonDerivative · entry 1

Alexopoulos Nicolaos G. · CIK 0001603430 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,839

F1 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $1.7901 and the highest price at which shares were sold was $1.81. The reporting person undertakes to provide upon request to the staff of the Securities Exchange Commission, the issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the ranges set forth herein.

Read SEC document
March 27, 2020 Filed Mar 31, 2020 21:32 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 8,125 $0.79 $6,418.75
Disclosure

SEC source: 0001209191-20-021880 · doc4.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,816

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

Read SEC document
March 17, 2020 Filed Mar 18, 2020 01:58 UTC
Sahejpal NeerajSenior VP, Product Marketing
GrantCommon Stock 19,504 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-019877 · doc4.xml · nonDerivative · entry 2

Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,974

F1 · shares: The restricted stock units ("RSUs") vest as to one eighth (1/8th) of the total number of shares on May 15, 2020 and upon the completion of each three month period thereafter until the RSUs are fully vested, subject the Reporting Person's continued service to the Issuer through each vesting date.

F2 · shares: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock upon settlement.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock upon settlement.

Read SEC document
March 13, 2020 Filed Mar 17, 2020 21:55 UTC
Sereda Brian JSenior Vice President & CFO
GrantCommon Stock 174,019 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-019876 · doc4.xml · nonDerivative · entry 1

Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,265

F1 · shares: The restricted stock units ("RSUs") vest as to one eighth (1/8th) of the total number of shares on May 15, 2020 and upon the completion of each three month period thereafter until the RSUs are fully vested, subject the Reporting Person's continued service to the Issuer through each vesting date.

F2 · shares: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock upon settlement.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock upon settlement.

Read SEC document
March 13, 2020 Filed Mar 18, 2020 01:58 UTC
Sahejpal NeerajSenior VP, Product Marketing
GrantCommon Stock 149,321 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-019877 · doc4.xml · nonDerivative · entry 1

Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,470

F1 · shares: The restricted stock units ("RSUs") vest as to one eighth (1/8th) of the total number of shares on May 15, 2020 and upon the completion of each three month period thereafter until the RSUs are fully vested, subject the Reporting Person's continued service to the Issuer through each vesting date.

F2 · shares: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock upon settlement.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock upon settlement.

Read SEC document
March 13, 2020 Filed Mar 18, 2020 01:54 UTC
Johnston CesarCOO & EVP, Engineering
GrantCommon Stock 205,187 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-019875 · doc4.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 452,941

F1 · shares: The restricted stock units ("RSUs") vest as to one eighth (1/8th) of the total number of shares on May 15, 2020 and upon the completion of each three month period thereafter until the RSUs are fully vested, subject the Reporting Person's continued service to the Issuer through each vesting date.

F2 · shares: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock upon settlement.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock upon settlement.

Read SEC document
February 21, 2020 Filed Feb 26, 2020 20:06 UTC
Sereda Brian JSenior Vice President & CFO
SaleCommon Stock 2,625 $1.84 $4,830.00
Disclosure

SEC source: 0001209191-20-013248 · doc4.xml · nonDerivative · entry 1

Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,246

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
February 21, 2020 Filed Feb 27, 2020 01:04 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 3,750 $1.84 $6,900.00
Disclosure

SEC source: 0001209191-20-013247 · doc4.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,754

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
February 21, 2020 Filed Feb 27, 2020 01:03 UTC
Sahejpal NeerajSenior VP, Product Marketing
SaleCommon Stock 3,075 $1.84 $5,658.00
Disclosure

SEC source: 0001209191-20-013245 · doc4.xml · nonDerivative · entry 1

Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,149

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
February 21, 2020 Filed Mar 17, 2020 21:59 UTC Amendment
Sereda Brian JSenior Vice President & CFO
SaleCommon Stock 2,625 $1.84 $4,830.00
Disclosure

SEC source: 0001209191-20-019878 · doc4a.xml · nonDerivative · entry 1

Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,246

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is required for the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

Read SEC document
February 14, 2020 Filed Feb 19, 2020 18:54 UTC
Sereda Brian JSenior Vice President & CFO
SaleCommon Stock 3,716 $1.74 $6,465.84
Disclosure

SEC source: 0001567619-20-004352 · doc1.xml · nonDerivative · entry 1

Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,871

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
February 14, 2020 Filed Feb 20, 2020 00:33 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 7,110 $1.74 $12,371.40
Disclosure

SEC source: 0001567619-20-004356 · doc1.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,504

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
February 14, 2020 Filed Feb 20, 2020 00:32 UTC
Sahejpal NeerajSenior VP, Product Marketing
SaleCommon Stock 3,141 $1.74 $5,465.34
Disclosure

SEC source: 0001567619-20-004355 · doc1.xml · nonDerivative · entry 1

Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,224

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units.

Read SEC document
January 02, 2020 Filed Jan 6, 2020 20:23 UTC
Sereda Brian JSenior Vice President & CFO
SaleCommon Stock 4,463 $1.98 $8,836.74
Disclosure

SEC source: 0001567619-20-000663 · doc1.xml · nonDerivative · entry 1

Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,587

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock unit grant that was previously reported in Table I on the Form 4 filed on March 12, 2018. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

Read SEC document
January 02, 2020 Filed Jan 7, 2020 01:21 UTC
Sahejpal NeerajSenior VP, Product Marketing
SaleCommon Stock 3,675 $1.98 $7,276.50
Disclosure

SEC source: 0001567619-20-000662 · doc1.xml · nonDerivative · entry 1

Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,365

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock unit grant that was previously reported in Table I on the Form 4 filed on March 12, 2018. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

Read SEC document
January 02, 2020 Filed Jan 7, 2020 01:21 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 8,550 $1.98 $16,929.00
Disclosure

SEC source: 0001567619-20-000661 · doc1.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,614

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock unit grant that was previously reported in Table I on the Form 4 filed on March 12, 2018. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

Read SEC document
December 27, 2019 Filed Dec 31, 2019 22:42 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 4,063 $1.78 $7,232.14
Disclosure

SEC source: 0001567619-19-023776 · doc1.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,164

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock unit grant that was previously reported in Table I on the Form 4 filed on March 28, 2019. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

Read SEC document
December 17, 2019 Filed Dec 20, 2019 00:56 UTC
Sahejpal NeerajSenior VP, Product Marketing
SaleCommon Stock 900 $1.89 $1,701.00
Disclosure

SEC source: 0001567619-19-023464 · doc1.xml · nonDerivative · entry 1

Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,040

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock unit grant that was previously reported in Table I on the Form 4 filed on March 25, 2019. This sale is required for the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

Read SEC document
December 04, 2019 Filed Dec 5, 2019 06:14 UTC
RIZZONE STEPHEN RDirector · CEO and President
PurchaseCommon Stock 10,250 $1.95 $19,986.48
Disclosure

SEC source: 0001567619-19-022673 · doc1.xml · nonDerivative · entry 1

RIZZONE STEPHEN R · CIK 0001043906 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 585,970

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.945 to $1.95 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

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December 02, 2019 Filed Dec 5, 2019 01:04 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 22,306 $2.01 $44,877.44
Disclosure

SEC source: 0001567619-19-022670 · doc1.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,227

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.00 to $2.0321 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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November 22, 2019 Filed Nov 25, 2019 17:01 UTC
RIZZONE STEPHEN RDirector · CEO and President
PurchaseCommon Stock 21,580 $2.07 $44,746.13
Disclosure

SEC source: 0001567619-19-022194 · doc1.xml · nonDerivative · entry 1

RIZZONE STEPHEN R · CIK 0001043906 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 575,720

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.073 to $2.075 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

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November 15, 2019 Filed Nov 18, 2019 19:52 UTC SaleCommon Stock 11,500 $2.15 $24,739.95
Disclosure

SEC source: 0001567619-19-021799 · doc1.xml · nonDerivative · entry 2

Gaulding John · CIK 0001234527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,818

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.15 to $2.16 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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November 15, 2019 Filed Nov 18, 2019 19:56 UTC
Sereda Brian JSenior Vice President & CFO
SaleCommon Stock 3,336 $2.10 $7,005.60
Disclosure

SEC source: 0001567619-19-021802 · doc1.xml · nonDerivative · entry 1

Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,050

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock unit grant that was previously reported in Table I on the Form 4 filed on March 25, 2019. This sale is required for the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

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November 15, 2019 Filed Nov 19, 2019 00:53 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 6,375 $2.10 $13,387.50
Disclosure

SEC source: 0001567619-19-021800 · doc1.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,533

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock unit grant that was previously reported in Table I on the Form 4 filed on March 25, 2019. This sale is required for the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

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November 15, 2019 Filed Nov 19, 2019 00:54 UTC
Sahejpal NeerajSenior VP, Product Marketing
SaleCommon Stock 2,669 $2.10 $5,604.90
Disclosure

SEC source: 0001567619-19-021801 · doc1.xml · nonDerivative · entry 1

Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,940

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock unit grant that was previously reported in Table I on the Form 4 filed on March 25, 2019. This sale is required for the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

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November 14, 2019 Filed Nov 18, 2019 19:52 UTC SaleCommon Stock 13,350 $2.18 $29,103.00
Disclosure

SEC source: 0001567619-19-021799 · doc1.xml · nonDerivative · entry 1

Gaulding John · CIK 0001234527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,318

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November 13, 2019 Filed Nov 15, 2019 19:14 UTC SaleCommon Stock 31,160 $2.21 $68,957.08
Disclosure

SEC source: 0001567619-19-021715 · doc1.xml · nonDerivative · entry 1

Gaulding John · CIK 0001234527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,668

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.21 to $2.23 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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September 27, 2019 Filed Oct 2, 2019 01:11 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 4,063 $3.32 $13,489.16
Disclosure

SEC source: 0001567619-19-019008 · doc1.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,908

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock unit grant that was previously reported in Table I on the Form 4 filed on April 3, 2019. This sale is required for the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

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August 28, 2019 Filed Sep 9, 2019 23:56 UTC GrantCommon Stock 42,063 $0.00 $0.00
Disclosure

SEC source: 0001567619-19-018079 · doc1.xml · nonDerivative · entry 1

Au Reynette K. · CIK 0001787464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,063

F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive 1 share of the issuer's common stock upon settlement. The RSUs vest in three equal annual installments on August 28, 2020, 2021, and 2022, subject to the reporting person's continued service to the Issuer. The RSUs were granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy.

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August 16, 2019 Filed Aug 20, 2019 19:39 UTC
Sereda Brian JSenior Vice President & CFO
SaleCommon Stock 10,313 $3.58 $36,920.54
Disclosure

SEC source: 0001567619-19-017376 · doc1.xml · nonDerivative · entry 1

Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,386

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock unit grant that was previously reported in Table I on the Form 4 filed on October 25, 2016. This sale is required for the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

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August 16, 2019 Filed Aug 20, 2019 23:38 UTC
Sahejpal NeerajSenior VP, Product Marketing
SaleCommon Stock 5,850 $3.58 $20,943.00
Disclosure

SEC source: 0001567619-19-017375 · doc1.xml · nonDerivative · entry 1

Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,609

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock unit grant that was previously reported in Table I on the Form 3 filed on March 20, 2017. This sale is required for the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

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August 16, 2019 Filed Aug 20, 2019 23:37 UTC
Johnston CesarCOO & EVP, Engineering
SaleCommon Stock 16,875 $3.58 $60,412.50
Disclosure

SEC source: 0001567619-19-017374 · doc1.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · COO & EVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,971

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock unit grant that was previously reported in Table I on the Form 4 filed on October 25, 2016. This sale is required for the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

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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.