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
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 08, 2018 Filed Mar 12, 2018 23:17 UTC |
Sahejpal NeerajSenior VP, Product Marketing
|
GrantCommon Stock | 35,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-013123 · doc1.xml · nonDerivative · entry 1 Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,685 F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. F2 · shares: The RSU vests in four equal annual installments on January 2, 2019, 2020, 2021, and 2022, subject to the Reporting Person's continued service to the Issuer. The RSU was granted to the Reporting Person on March 8, 2018 pursuant to the Company's 2013 Stock Plan. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 23:15 UTC |
Johnston CesarEVP, Engineering & Operations
|
GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-013122 · doc1.xml · nonDerivative · entry 2 Johnston Cesar · CIK 0001613480 · EVP, Engineering & Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,855 F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. F3 · shares: 50% of the RSUs vested on March 8, 2018. The remaining 50% of the RSUs will vest on February 22, 2019, subject to the Reporting Person's continued service to the Issuer. The RSU was granted to the Reporting Person on March 8, 2018 pursuant to the Company's 2013 Stock Plan. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 23:15 UTC |
Johnston CesarEVP, Engineering & Operations
|
GrantCommon Stock | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-013122 · doc1.xml · nonDerivative · entry 1 Johnston Cesar · CIK 0001613480 · EVP, Engineering & Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,855 F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. F2 · shares: The RSU vests in four equal annual installments on January 2, 2019, 2020, 2021, and 2022, subject to the Reporting Person's continued service to the Issuer. The RSU was granted to the Reporting Person on March 8, 2018 pursuant to the Company's 2013 Stock Plan. Read SEC document |
| March 06, 2018 Filed Mar 9, 2018 00:18 UTC |
Johnston CesarEVP, Engineering & Operations
|
SaleCommon Stock | 11,551 | $21.98 | $253,849.40 |
DisclosureSEC source: 0001140361-18-012692 · doc1.xml · nonDerivative · entry 1 Johnston Cesar · CIK 0001613480 · EVP, Engineering & Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,855 F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $21.75 to $22.13 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 19:10 UTC |
Sereda Brian JSenior Vice President & CFO
|
SaleCommon Stock | 13,935 | $22.24 | $309,961.78 |
DisclosureSEC source: 0001140361-18-010926 · doc1.xml · nonDerivative · entry 2 Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,635 F4 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.13 to $22.38 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. F5 · balance_after: Includes 457 shares acquired under the Issuer's employee stock purchase plan on January 2, 2018. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 19:10 UTC |
Sereda Brian JSenior Vice President & CFO
|
SaleCommon Stock | 2,855 | $21.91 | $62,562.47 |
DisclosureSEC source: 0001140361-18-010926 · doc1.xml · nonDerivative · entry 1 Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,570 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: 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 February 27, 2017. 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. F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $21.90 to $21.9901 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| February 26, 2018 Filed Mar 1, 2018 01:54 UTC |
Johnston CesarSenior VP, Engineering
|
SaleCommon Stock | 3,585 | $21.91 | $78,559.18 |
DisclosureSEC source: 0001140361-18-010995 · doc1.xml · nonDerivative · entry 1 Johnston Cesar · CIK 0001613480 · Senior VP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,406 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: 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 February 27, 2017. 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. F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $21.90 to $21.9901 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| February 26, 2018 Filed Mar 1, 2018 00:15 UTC |
Sahejpal NeerajSenior VP, Product Marketing
|
SaleCommon Stock | 2,880 | $21.91 | $63,110.30 |
DisclosureSEC source: 0001140361-18-010931 · doc1.xml · nonDerivative · entry 1 Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,685 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: 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 7, 2017. 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. F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $21.90 to $21.9901 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 18:23 UTC |
RIZZONE STEPHEN RDirector · CEO and President
|
SaleCommon Stock | 30,000 | $22.50 | $675,000.00 |
DisclosureSEC source: 0001140361-18-010579 · doc1.xml · nonDerivative · entry 1 RIZZONE STEPHEN R · CIK 0001043906 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,719 F1 · balance_after: Includes 110 shares acquired under the Issuer's employee stock purchase plan on January 2, 2018. Read SEC document |
| February 21, 2018 Filed Feb 24, 2018 00:08 UTC |
Leabman Michael AaronDirector
|
SaleCommon Stock | 52,000 | $20.01 | $1,040,556.40 |
DisclosureSEC source: 0001140361-18-009954 · doc1.xml · nonDerivative · entry 1 Leabman Michael Aaron · CIK 0001603704 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,279 F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.09 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| February 21, 2018 Filed Feb 24, 2018 00:04 UTC |
Sahejpal NeerajSenior VP, Product Marketing
|
SaleCommon Stock | 4,991 | $20.17 | $100,669.97 |
DisclosureSEC source: 0001140361-18-009953 · doc1.xml · nonDerivative · entry 1 Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,565 F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $20.1701 to $20.1710 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. F2 · balance_after: Includes 689 shares acquired under the Issuer's employee stock purchase plan on January 2, 2018. Read SEC document |
| February 21, 2018 Filed Mar 10, 2018 01:00 UTC Amendment |
Leabman Michael AaronDirector
|
Exercise / conversionStock Option (right to buy) · Derivative | 52,000 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001140361-18-012913 · doc1.xml · derivative · entry 2 Leabman Michael Aaron · CIK 0001603704 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,736 Underlying: Common Stock · 52,000 shares Expires 2024-03-25 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: This option exercise was mistakenly omitted from the original Form 4 filed by the Reporting Person on February 23, 2018. The shares underlying the option were sold, as previously reported in the original Form 4. F2 · derivative.exercise_date: 1/8th of the stock options vested on March 26, 2014. 1/48th of the remaining stock options vest monthly thereafter, subject to the Reporting Person's continued service to the Company. Read SEC document |
| February 21, 2018 Filed Mar 10, 2018 01:00 UTC Amendment |
Leabman Michael AaronDirector
|
Exercise / conversionCommon Stock | 52,000 | $6.00 | $312,000.00 |
DisclosureSEC source: 0001140361-18-012913 · doc1.xml · nonDerivative · entry 1 Leabman Michael Aaron · CIK 0001603704 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,279 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: This option exercise was mistakenly omitted from the original Form 4 filed by the Reporting Person on February 23, 2018. The shares underlying the option were sold, as previously reported in the original Form 4. Read SEC document |
| January 03, 2018 Filed Jan 4, 2018 18:10 UTC |
Gaulding JohnDirector
|
SaleCommon Stock | 11,353 | $23.67 | $268,714.16 |
DisclosureSEC source: 0001140361-18-000886 · doc1.xml · nonDerivative · entry 3 Gaulding John · CIK 0001234527 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,388 F3 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F4 · shares: 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 June 16, 2017. 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. F5 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $23.57 to $23.89 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 18:13 UTC |
JACKSON REX SDirector
|
GrantCommon Stock | 26,929 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-000890 · doc1.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,056 F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. F2 · shares: The RSU vests in three equal annual installments on January 2, 2019, 2020, and 2021, subject to the reporting person's continued service to the Issuer. The RSU was granted to the Reporting Person on January 2, 2018 pursuant to the Company's nonemployee director compensation policy. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 18:10 UTC |
Gaulding JohnDirector
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-000886 · doc1.xml · nonDerivative · entry 2 Gaulding John · CIK 0001234527 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,741 F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. F2 · shares: The RSU vests in three equal annual installments on January 2, 2019, 2020, and 2021, subject to the reporting person's continued service to the Issuer. The RSU was granted to the Reporting Person on January 2, 2018 pursuant to the Company's nonemployee director compensation policy. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 18:10 UTC |
Gaulding JohnDirector
|
GrantCommon Stock | 26,929 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-000886 · doc1.xml · nonDerivative · entry 1 Gaulding John · CIK 0001234527 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,741 F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. F2 · shares: The RSU vests in three equal annual installments on January 2, 2019, 2020, and 2021, subject to the reporting person's continued service to the Issuer. The RSU was granted to the Reporting Person on January 2, 2018 pursuant to the Company's nonemployee director compensation policy. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 18:12 UTC |
COOPER MARTINDirector
|
GrantCommon Stock | 26,929 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-000889 · doc1.xml · nonDerivative · entry 1 COOPER MARTIN · CIK 0001217826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,996 F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. F2 · shares: The RSU vests in three equal annual installments on January 2, 2019, 2020, and 2021, subject to the reporting person's continued service to the Issuer. The RSU was granted to the Reporting Person on January 2, 2018 pursuant to the Company's nonemployee director compensation policy. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 23:15 UTC |
Griffin Robert JDirector
|
GrantCommon Stock | 26,929 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-000891 · doc1.xml · nonDerivative · entry 1 Griffin Robert J · CIK 0001603902 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,056 F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. F2 · shares: The RSU vests in three equal annual installments on January 2, 2019, 2020, and 2021, subject to the reporting person's continued service to the Issuer. The RSU was granted to the Reporting Person on January 2, 2018 pursuant to the Company's nonemployee director compensation policy. Read SEC document |
| December 29, 2017 Filed Dec 29, 2017 19:50 UTC |
RIZZONE STEPHEN RDirector · CEO and President
|
SaleCommon Stock | 75,000 | $26.04 | $1,953,000.00 |
DisclosureSEC source: 0001140361-17-047864 · doc1.xml · nonDerivative · entry 1 RIZZONE STEPHEN R · CIK 0001043906 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,609 Read SEC document |
| December 29, 2017 Filed Dec 29, 2017 19:04 UTC |
Gaulding JohnDirector
|
SaleCommon Stock | 2,500 | $30.50 | $76,250.00 |
DisclosureSEC source: 0001140361-17-047857 · doc1.xml · nonDerivative · entry 2 Gaulding John · CIK 0001234527 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,812 Read SEC document |
| December 29, 2017 Filed Dec 29, 2017 19:04 UTC |
Gaulding JohnDirector
|
SaleCommon Stock | 22,500 | $29.56 | $665,181.00 |
DisclosureSEC source: 0001140361-17-047857 · doc1.xml · nonDerivative · entry 1 Gaulding John · CIK 0001234527 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,312 F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $29.50 to $30.00 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| December 28, 2017 Filed Dec 30, 2017 00:06 UTC |
Sahejpal NeerajSenior VP, Product Marketing
|
SaleCommon Stock | 2,986 | $33.19 | $99,114.30 |
DisclosureSEC source: 0001140361-17-047859 · doc1.xml · nonDerivative · entry 1 Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,867 F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $32.5901 to $33.3001 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 21:07 UTC |
NINA FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011Former 10% Owner
Fairbairn MalcolmFormer 10% Owner
FAIRBAIRN EMILYFormer 10% Owner
|
OtherCommon Stock | 133,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-000309 · a4.xml · nonDerivative · entry 3 NINA FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011 · CIK 0001682542 · Former 10% Owner Fairbairn Malcolm · CIK 0001317314 · Former 10% Owner FAIRBAIRN EMILY · CIK 0001682638 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 530,462 F3 · kind: Emily Fairbairn is a trustee of the Trust. After the above transfer, Emily Fairbairn is no longer a 10% owner of the Issuer. F3 · price: Emily Fairbairn is a trustee of the Trust. After the above transfer, Emily Fairbairn is no longer a 10% owner of the Issuer. F3 · ownership.nature: Emily Fairbairn is a trustee of the Trust. After the above transfer, Emily Fairbairn is no longer a 10% owner of the Issuer. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 21:07 UTC |
NINA FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011Former 10% Owner
Fairbairn MalcolmFormer 10% Owner
FAIRBAIRN EMILYFormer 10% Owner
|
OtherCommon Stock | 133,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-000309 · a4.xml · nonDerivative · entry 2 NINA FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011 · CIK 0001682542 · Former 10% Owner Fairbairn Malcolm · CIK 0001317314 · Former 10% Owner FAIRBAIRN EMILY · CIK 0001682638 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,066,918 F2 · kind: Malcolm Fairbairn is a trustee of the Trust. After the above transfer, Malcolm Fairbairn is no longer a 10% owner of the Issuer. F2 · price: Malcolm Fairbairn is a trustee of the Trust. After the above transfer, Malcolm Fairbairn is no longer a 10% owner of the Issuer. F2 · ownership.nature: Malcolm Fairbairn is a trustee of the Trust. After the above transfer, Malcolm Fairbairn is no longer a 10% owner of the Issuer. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 21:07 UTC |
NINA FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011Former 10% Owner
Fairbairn MalcolmFormer 10% Owner
FAIRBAIRN EMILYFormer 10% Owner
|
OtherCommon Stock | 133,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-000309 · a4.xml · nonDerivative · entry 1 NINA FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011 · CIK 0001682542 · Former 10% Owner Fairbairn Malcolm · CIK 0001317314 · Former 10% Owner FAIRBAIRN EMILY · CIK 0001682638 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On December 28, 2017, the Nina Fairbairn Irrevocable Trust September 30, 2011 (the "Trust") transferred 133,333 shares of common stock of Energous Corporation, a Delaware corporation (the "Issuer"), to a beneficiary of the Trust. After the transfer, the Trust is no longer a 10% owner of the Issuer. F1 · price: On December 28, 2017, the Nina Fairbairn Irrevocable Trust September 30, 2011 (the "Trust") transferred 133,333 shares of common stock of Energous Corporation, a Delaware corporation (the "Issuer"), to a beneficiary of the Trust. After the transfer, the Trust is no longer a 10% owner of the Issuer. F1 · ownership.direct: On December 28, 2017, the Nina Fairbairn Irrevocable Trust September 30, 2011 (the "Trust") transferred 133,333 shares of common stock of Energous Corporation, a Delaware corporation (the "Issuer"), to a beneficiary of the Trust. After the transfer, the Trust is no longer a 10% owner of the Issuer. Read SEC document |
| December 27, 2017 Filed Dec 30, 2017 00:05 UTC |
Leabman Michael AaronDirector · Chief Technology Officer
|
SaleCommon Stock | 29,610 | $20.57 | $609,207.98 |
DisclosureSEC source: 0001140361-17-047858 · doc1.xml · nonDerivative · entry 1 Leabman Michael Aaron · CIK 0001603704 · Director · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,279 F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $20.30 to $20.73 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 23:01 UTC |
Sahejpal NeerajSenior VP, Product Marketing
|
SaleCommon Stock | 920 | $9.28 | $8,538.52 |
DisclosureSEC source: 0001140361-17-047036 · doc1.xml · nonDerivative · entry 1 Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,853 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: 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 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 14, 2017 Filed Dec 15, 2017 17:51 UTC |
Sereda Brian JSenior Vice President & CFO
|
SaleCommon Stock | 901 | $8.75 | $7,884.65 |
DisclosureSEC source: 0001140361-17-046419 · doc1.xml · nonDerivative · entry 1 Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,968 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: 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 February 27, 2017. 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 14, 2017 Filed Dec 15, 2017 22:55 UTC |
Sahejpal NeerajSenior VP, Product Marketing
|
SaleCommon Stock | 1,350 | $8.72 | $11,772.41 |
DisclosureSEC source: 0001140361-17-046421 · doc1.xml · nonDerivative · entry 1 Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,773 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: 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 22, 2017. 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. F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $8.70 to $8.785 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| December 04, 2017 Filed Dec 7, 2017 20:39 UTC |
RIZZONE STEPHEN RDirector · CEO and President
|
Exercise / conversionStock Option (right to buy) · Derivative | 47,350 | $0.00 Strike: $1.68 | $0.00 |
DisclosureSEC source: 0001140361-17-045396 · doc1.xml · derivative · entry 2 RIZZONE STEPHEN R · CIK 0001043906 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,141 Underlying: Common Stock · 47,350 shares Expires 2023-12-11 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_date: The shares from the stock option grant issued on December 12, 2013 are fully vested and exercisable. Read SEC document |
| December 04, 2017 Filed Dec 7, 2017 20:39 UTC |
RIZZONE STEPHEN RDirector · CEO and President
|
Exercise / conversionCommon Stock | 47,350 | $1.68 | $79,548.00 |
DisclosureSEC source: 0001140361-17-045396 · doc1.xml · nonDerivative · entry 1 RIZZONE STEPHEN R · CIK 0001043906 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 328,609 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 · balance_after: Includes 1,320 shares acquired under the Issuer's employee stock purchase plan on June 30, 2017. Read SEC document |
| December 01, 2017 Filed Dec 22, 2017 18:07 UTC |
ASCEND LEGEND FUND, LTD.Member of 10% Owner Group
ASCEND PARTNERS FUND I, LTD.Member of 10% Owner Group
|
OtherCommon Stock | 1,618,123 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-074904 · a4.xml · nonDerivative · entry 2 ASCEND LEGEND FUND, LTD. · CIK 0001570215 · Member of 10% Owner Group ASCEND PARTNERS FUND I, LTD. · CIK 0001140329 · Member of 10% Owner Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,618,123 F3 · kind: Ascend Partners Fund I, Ltd.: Also on December 1, 2017 Ascend Partners Fund I, Ltd. transferred the Legend Master Fund Shares as a payment in kind to satisfy a deferred fee obligation to Ascend Capital Limited Partnership, the investment adviser to Ascend Partners Fund I, Ltd. Ascend Capital Limited Partnership, as investment adviser to Ascend Partners Fund I, Ltd. and as holder of an indirect pecuniary interest in the Shares, was already subject to deemed beneficial ownership of the Shares and therefore only the form of its indirect interest in the Shares changed as a result of the payment in kind by Ascend Partners Fund I, Ltd. F3 · price: Ascend Partners Fund I, Ltd.: Also on December 1, 2017 Ascend Partners Fund I, Ltd. transferred the Legend Master Fund Shares as a payment in kind to satisfy a deferred fee obligation to Ascend Capital Limited Partnership, the investment adviser to Ascend Partners Fund I, Ltd. Ascend Capital Limited Partnership, as investment adviser to Ascend Partners Fund I, Ltd. and as holder of an indirect pecuniary interest in the Shares, was already subject to deemed beneficial ownership of the Shares and therefore only the form of its indirect interest in the Shares changed as a result of the payment in kind by Ascend Partners Fund I, Ltd. F3 · ownership.nature: Ascend Partners Fund I, Ltd.: Also on December 1, 2017 Ascend Partners Fund I, Ltd. transferred the Legend Master Fund Shares as a payment in kind to satisfy a deferred fee obligation to Ascend Capital Limited Partnership, the investment adviser to Ascend Partners Fund I, Ltd. Ascend Capital Limited Partnership, as investment adviser to Ascend Partners Fund I, Ltd. and as holder of an indirect pecuniary interest in the Shares, was already subject to deemed beneficial ownership of the Shares and therefore only the form of its indirect interest in the Shares changed as a result of the payment in kind by Ascend Partners Fund I, Ltd. Read SEC document |
| December 01, 2017 Filed Dec 22, 2017 18:07 UTC |
ASCEND LEGEND FUND, LTD.Member of 10% Owner Group
ASCEND PARTNERS FUND I, LTD.Member of 10% Owner Group
|
OtherCommon Stock | 1,618,123 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-074904 · a4.xml · nonDerivative · entry 1 ASCEND LEGEND FUND, LTD. · CIK 0001570215 · Member of 10% Owner Group ASCEND PARTNERS FUND I, LTD. · CIK 0001140329 · Member of 10% Owner Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,618,123 F1 · kind: Ascend Legend Fund, Ltd.: Prior to December 1, 2017, Ascend Legend Fund, Ltd. was the sole owner of all of the common shares (the "Legend Master Fund Shares") of Ascend Legend Master Fund, Ltd. Ascend Legend Master Fund, Ltd. is the direct owner of 1,618,123 shares (the "Shares") of the common stock of Energous Corporation, a Delaware corporation (the "Issuer"). Ascend Legend Fund, Ltd. may have been deemed to be part of a group that together could be deemed to have beneficial ownership of more than 10% of the common stock of the Issuer. On December 1, 2017 Ascend Legend Fund, Ltd. transferred all of the Legend Master Fund Shares to Ascend Partners Fund I, Ltd. as a redemption in kind in all of the common shares of Ascend Legend Fund, Ltd. F2 · kind: Ascend Partners Fund I, Ltd. was already subject to deemed indirect beneficial ownership of the Shares as the sole shareholder of Ascend Legend Fund, Ltd., and therefore only the form of its indirect interest in the Shares changed as a result of the redemption in kind by Ascend Legend Fund, Ltd. Ascend Partners Fund I, Ltd. may have been deemed to be part of a group that together could be deemed to have beneficial ownership of more than 10% of the common stock of the Issuer. F1 · price: Ascend Legend Fund, Ltd.: Prior to December 1, 2017, Ascend Legend Fund, Ltd. was the sole owner of all of the common shares (the "Legend Master Fund Shares") of Ascend Legend Master Fund, Ltd. Ascend Legend Master Fund, Ltd. is the direct owner of 1,618,123 shares (the "Shares") of the common stock of Energous Corporation, a Delaware corporation (the "Issuer"). Ascend Legend Fund, Ltd. may have been deemed to be part of a group that together could be deemed to have beneficial ownership of more than 10% of the common stock of the Issuer. On December 1, 2017 Ascend Legend Fund, Ltd. transferred all of the Legend Master Fund Shares to Ascend Partners Fund I, Ltd. as a redemption in kind in all of the common shares of Ascend Legend Fund, Ltd. F2 · price: Ascend Partners Fund I, Ltd. was already subject to deemed indirect beneficial ownership of the Shares as the sole shareholder of Ascend Legend Fund, Ltd., and therefore only the form of its indirect interest in the Shares changed as a result of the redemption in kind by Ascend Legend Fund, Ltd. Ascend Partners Fund I, Ltd. may have been deemed to be part of a group that together could be deemed to have beneficial ownership of more than 10% of the common stock of the Issuer. F1 · ownership.nature: Ascend Legend Fund, Ltd.: Prior to December 1, 2017, Ascend Legend Fund, Ltd. was the sole owner of all of the common shares (the "Legend Master Fund Shares") of Ascend Legend Master Fund, Ltd. Ascend Legend Master Fund, Ltd. is the direct owner of 1,618,123 shares (the "Shares") of the common stock of Energous Corporation, a Delaware corporation (the "Issuer"). Ascend Legend Fund, Ltd. may have been deemed to be part of a group that together could be deemed to have beneficial ownership of more than 10% of the common stock of the Issuer. On December 1, 2017 Ascend Legend Fund, Ltd. transferred all of the Legend Master Fund Shares to Ascend Partners Fund I, Ltd. as a redemption in kind in all of the common shares of Ascend Legend Fund, Ltd. F2 · ownership.nature: Ascend Partners Fund I, Ltd. was already subject to deemed indirect beneficial ownership of the Shares as the sole shareholder of Ascend Legend Fund, Ltd., and therefore only the form of its indirect interest in the Shares changed as a result of the redemption in kind by Ascend Legend Fund, Ltd. Ascend Partners Fund I, Ltd. may have been deemed to be part of a group that together could be deemed to have beneficial ownership of more than 10% of the common stock of the Issuer. Read SEC document |
| November 13, 2017 Filed Nov 14, 2017 01:25 UTC |
Sahejpal NeerajSenior VP, Product Marketing
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SaleCommon Stock | 2,846 | $9.35 | $26,623.76 |
DisclosureSEC source: 0001140361-17-042281 · doc1.xml · nonDerivative · entry 1 Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,123 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: 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, which was previously reported in Table I on the Form 3 filed on March 20, 2017. 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. F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $9.351 to $9.37 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| September 26, 2017 Filed Sep 29, 2017 00:58 UTC |
Johnston CesarSenior VP, Engineering
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SaleCommon Stock | 15,000 | $12.55 | $188,316.00 |
DisclosureSEC source: 0001140361-17-036852 · doc1.xml · nonDerivative · entry 1 Johnston Cesar · CIK 0001613480 · Senior VP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,991 F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $12.30 to $12.72 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| September 11, 2017 Filed Sep 14, 2017 00:11 UTC |
Sahejpal NeerajSenior VP, Product Marketing
|
SaleCommon Stock | 9,867 | $12.53 | $123,651.27 |
DisclosureSEC source: 0001140361-17-035401 · doc1.xml · nonDerivative · entry 1 Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,969 F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $12.46 to $13.25 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. F2 · balance_after: Includes 721 shares acquired under the Issuer's employee stock purchase plan on June 30, 2017. Read SEC document |
| September 08, 2017 Filed Sep 13, 2017 20:09 UTC |
Sereda Brian JSenior Vice President & CFO
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SaleCommon Stock | 34,000 | $13.09 | $445,043.00 |
DisclosureSEC source: 0001140361-17-035400 · doc1.xml · nonDerivative · entry 3 Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Indirect · The Sereda Family Trust Disclosed balance after: 12,015 F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.75 to $13.53 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. F2 · ownership.nature: Shares held of record by Brian James Sereda and Denise Carole Sereda, Trustees of The Sereda Family Trust dated June 21, 2002. Read SEC document |
| August 23, 2017 Filed Aug 24, 2017 00:08 UTC |
Johnston CesarSenior VP, Engineering
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SaleCommon Stock | 2,034 | $9.71 | $19,750.34 |
DisclosureSEC source: 0001140361-17-033132 · doc1.xml · nonDerivative · entry 2 Johnston Cesar · CIK 0001613480 · Senior VP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,991 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: 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 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 |
| August 21, 2017 Filed Aug 22, 2017 20:48 UTC |
Sereda Brian JSenior Vice President & CFO
|
SaleCommon Stock | 4,750 | $9.31 | $44,239.60 |
DisclosureSEC source: 0001140361-17-033054 · doc1.xml · nonDerivative · entry 1 Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,432 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: 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 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. F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $9.30 to $9.46 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| August 21, 2017 Filed Aug 23, 2017 00:47 UTC |
Leabman Michael AaronDirector · Chief Technology Officer
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SaleCommon Stock | 10,515 | $9.31 | $97,932.50 |
DisclosureSEC source: 0001140361-17-033053 · doc1.xml · nonDerivative · entry 1 Leabman Michael Aaron · CIK 0001603704 · Director · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,889 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: 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 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. F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $9.30 to $9.46 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| August 21, 2017 Filed Aug 23, 2017 00:45 UTC |
Sahejpal NeerajSenior VP, Product Marketing
|
SaleCommon Stock | 3,705 | $9.31 | $34,506.89 |
DisclosureSEC source: 0001140361-17-033052 · doc1.xml · nonDerivative · entry 1 Sahejpal Neeraj · CIK 0001700213 · Senior VP, Product Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,115 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: 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, which was previously reported in Table I on the Form 3 filed on March 20, 2017. 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. F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $9.30 to $9.46 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| August 21, 2017 Filed Aug 24, 2017 00:08 UTC |
Johnston CesarSenior VP, Engineering
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SaleCommon Stock | 7,665 | $9.31 | $71,388.74 |
DisclosureSEC source: 0001140361-17-033132 · doc1.xml · nonDerivative · entry 1 Johnston Cesar · CIK 0001613480 · Senior VP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,025 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: 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 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. F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $9.30 to $9.46 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| July 27, 2017 Filed Sep 13, 2017 20:09 UTC |
Sereda Brian JSenior Vice President & CFO
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GrantCommon Stock | 46,015 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-035400 · doc1.xml · nonDerivative · entry 2 Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Indirect · The Sereda Family Trust Disclosed balance after: 46,015 F2 · ownership.nature: Shares held of record by Brian James Sereda and Denise Carole Sereda, Trustees of The Sereda Family Trust dated June 21, 2002. Read SEC document |
| July 27, 2017 Filed Sep 13, 2017 20:09 UTC |
Sereda Brian JSenior Vice President & CFO
|
GiftCommon Stock | 46,015 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-035400 · doc1.xml · nonDerivative · entry 1 Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,869 F1 · balance_after: Includes 452 shares acquired under the Issuer's employee stock purchase plan on June 30, 2017. Read SEC document |
| July 17, 2017 Filed Jul 17, 2017 23:43 UTC |
Johnston CesarSenior VP, Engineering
|
SaleCommon Stock | 9,443 | $16.11 | $152,129.56 |
DisclosureSEC source: 0001140361-17-028030 · doc1.xml · nonDerivative · entry 2 Johnston Cesar · CIK 0001613480 · Senior VP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,690 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs listed in Table II. 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. F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $16.10 to $16.20 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| July 14, 2017 Filed Jul 17, 2017 19:41 UTC |
Sereda Brian JSenior Vice President & CFO
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SaleCommon Stock | 11,395 | $16.11 | $183,525.59 |
DisclosureSEC source: 0001140361-17-028029 · doc1.xml · nonDerivative · entry 2 Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,182 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs listed in Table II. 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. F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $16.10 to $16.21 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| July 14, 2017 Filed Jul 17, 2017 23:43 UTC |
Johnston CesarSenior VP, Engineering
|
Exercise / conversionRestricted Stock Units · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-028030 · doc1.xml · derivative · entry 3 Johnston Cesar · CIK 0001613480 · Senior VP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 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. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of common stock. F5 · derivative.exercise_date: The RSU vests in four equal annual installments on August 14, 2015, 2016, 2017, and 2018. F5 · derivative.expiration_date: The RSU vests in four equal annual installments on August 14, 2015, 2016, 2017, and 2018. Read SEC document |
| July 14, 2017 Filed Jul 17, 2017 23:43 UTC |
Johnston CesarSenior VP, Engineering
|
Exercise / conversionCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-028030 · doc1.xml · nonDerivative · entry 1 Johnston Cesar · CIK 0001613480 · Senior VP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,133 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 |
| July 13, 2017 Filed Jul 17, 2017 19:41 UTC |
Sereda Brian JSenior Vice President & CFO
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Exercise / conversionRestricted Stock Units · Derivative | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-028029 · doc1.xml · derivative · entry 3 Sereda Brian J · CIK 0001366294 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 30,000 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. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of common stock. F5 · derivative.exercise_date: The RSUs vest in four equal annual installments on July 13, 2016, 2017, 2018, and 2019. F5 · derivative.expiration_date: The RSUs vest in four equal annual installments on July 13, 2016, 2017, 2018, and 2019. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.