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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
January 03, 2017 Filed Jun 16, 2017 23:26 UTC GrantCommon Stock 4,263 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-025426 · doc1.xml · nonDerivative · entry 1

Griffin Robert J · CIK 0001603902 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,593

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · shares: 100% of the RSUs will vest on January 2, 2018, subject to the reporting person's continued service to the Issuer. The RSU was granted January 4, 2016 pursuant to the Company's nonemployee director compensation policy.

Read SEC document
December 30, 2016 Filed Jan 6, 2017 19:51 UTC
RIZZONE STEPHEN RDirector · CEO and President
Exercise / conversionPerformance Share Units · Derivative 3,870 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001085 · doc1.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 559,798

Underlying: Common Stock · 3,870 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 performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F4 · derivative.expiration_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
December 30, 2016 Filed Jan 6, 2017 19:51 UTC
RIZZONE STEPHEN RDirector · CEO and President
Exercise / conversionCommon Stock 3,870 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001085 · doc1.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,826

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

F1 · shares: Each performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

F2 · balance_after: Includes 1,766 shares acquired under the issuer's employee stock purchase plan on December 30, 2016.

Read SEC document
December 30, 2016 Filed Jan 6, 2017 19:46 UTC Exercise / conversionPerformance Share Units · Derivative 193 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001080 · doc1.xml · derivative · entry 5

COOPER MARTIN · CIK 0001217826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,990

Underlying: Common Stock · 193 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 performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Represents shares of common stock received upon vesting of a performance share unit award granted on July 1, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F3 · derivative.expiration_date: Represents shares of common stock received upon vesting of a performance share unit award granted on July 1, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
December 30, 2016 Filed Jan 6, 2017 19:46 UTC Exercise / conversionCommon Stock 193 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001080 · doc1.xml · nonDerivative · entry 2

COOPER MARTIN · CIK 0001217826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,298

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

F1 · shares: Each performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
December 30, 2016 Filed Jan 6, 2017 19:35 UTC Exercise / conversionPerformance Share Units · Derivative 193 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001076 · doc1.xml · derivative · entry 5

JACKSON REX S · CIK 0001249803 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,990

Underlying: Common Stock · 193 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 performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Represents shares of common stock received upon vesting of a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F3 · derivative.expiration_date: Represents shares of common stock received upon vesting of a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
December 30, 2016 Filed Jan 6, 2017 19:35 UTC Exercise / conversionCommon Stock 193 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001076 · doc1.xml · nonDerivative · entry 2

JACKSON REX S · CIK 0001249803 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,358

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

F1 · shares: Each performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
December 30, 2016 Filed Jan 6, 2017 19:49 UTC Exercise / conversionPerformance Stock Unit · Derivative 193 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001083 · doc1.xml · derivative · entry 5

Gaulding John · CIK 0001234527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,990

Underlying: Common Stock · 193 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 performance share unit ("PSU") represents a contingent right to receive one share of common stock.

F6 · derivative.exercise_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F6 · derivative.expiration_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
December 30, 2016 Filed Jan 6, 2017 19:49 UTC Exercise / conversionCommon Stock 193 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001083 · doc1.xml · nonDerivative · entry 1

Gaulding John · CIK 0001234527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,202

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

F1 · shares: Each performance share unit ("PSU") represents a contingent right to receive one share of common stock.

Read SEC document
December 30, 2016 Filed Jan 6, 2017 19:53 UTC
Sereda Brian JVice President & CFO
Exercise / conversionPerformance Stock Unit · Derivative 387 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001086 · doc1.xml · derivative · entry 2

Sereda Brian J · CIK 0001366294 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,980

Underlying: Common Stock · 387 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 performance share unit ("PSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: Represents a PSU granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F2 · derivative.expiration_date: Represents a PSU granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
December 30, 2016 Filed Jan 6, 2017 19:53 UTC
Sereda Brian JVice President & CFO
Exercise / conversionCommon Stock 387 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001086 · doc1.xml · nonDerivative · entry 1

Sereda Brian J · CIK 0001366294 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,684

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

F1 · shares: Each performance share unit ("PSU") represents a contingent right to receive one share of common stock.

F3 · balance_after: Includes 605 shares acquired under the issuer's employee stock purchase plan on December 30, 2016.

Read SEC document
December 30, 2016 Filed Jan 7, 2017 00:50 UTC
Johnston CesarSenior VP, Engineering
Exercise / conversionPerformance Share Units · Derivative 774 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001084 · doc1.xml · derivative · entry 2

Johnston Cesar · CIK 0001613480 · Senior VP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,959

Underlying: Common Stock · 774 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 performance stock unit represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F2 · derivative.expiration_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
December 30, 2016 Filed Jan 7, 2017 00:50 UTC
Johnston CesarSenior VP, Engineering
Exercise / conversionCommon Stock 774 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001084 · doc1.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · Senior VP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,458

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

F1 · shares: Each performance stock unit represents a contingent right to receive one share of common stock.

Read SEC document
December 30, 2016 Filed Jan 7, 2017 00:47 UTC
Leabman Michael AaronDirector · Chief Technology Officer
Exercise / conversionPerformance Share Units · Derivative 387 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001081 · doc1.xml · derivative · entry 2

Leabman Michael Aaron · CIK 0001603704 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,980

Underlying: Common Stock · 387 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 performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F2 · derivative.expiration_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
December 30, 2016 Filed Jan 7, 2017 00:47 UTC
Leabman Michael AaronDirector · Chief Technology Officer
Exercise / conversionCommon Stock 387 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001081 · doc1.xml · nonDerivative · entry 1

Leabman Michael Aaron · CIK 0001603704 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,286

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

F1 · shares: Each performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
December 30, 2016 Filed Jan 7, 2017 00:45 UTC Exercise / conversionPerformance Share Units · Derivative 193 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001079 · doc1.xml · derivative · entry 5

Griffin Robert J · CIK 0001603902 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,990

Underlying: Common Stock · 193 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 performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Represents shares of common stock received upon vesting of a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F3 · derivative.expiration_date: Represents shares of common stock received upon vesting of a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
December 30, 2016 Filed Jan 7, 2017 00:45 UTC Exercise / conversionCommon Stock 193 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001079 · doc1.xml · nonDerivative · entry 2

Griffin Robert J · CIK 0001603902 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,358

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

F1 · shares: Each performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
December 15, 2016 Filed Dec 16, 2016 21:03 UTC Exercise / conversionDirector Stock Option (Right to Buy) · Derivative 19,013 $0.00 Strike: $4.99 $0.00
Disclosure

SEC source: 0001140361-16-090130 · doc1.xml · derivative · entry 3

Gaulding John · CIK 0001234527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,013 shares

Expires 2024-03-15

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 option is 100% vested.

Read SEC document
December 15, 2016 Filed Dec 16, 2016 21:03 UTC SaleCommon Stock 19,013 $17.00 $323,175.37
Disclosure

SEC source: 0001140361-16-090130 · doc1.xml · nonDerivative · entry 2

Gaulding John · CIK 0001234527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,009

F1 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.79 to $17.10 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.

Read SEC document
December 15, 2016 Filed Dec 16, 2016 21:03 UTC Exercise / conversionCommon Stock 19,013 $4.99 $94,874.87
Disclosure

SEC source: 0001140361-16-090130 · doc1.xml · nonDerivative · entry 1

Gaulding John · CIK 0001234527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,022

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
November 14, 2016 Filed Nov 16, 2016 19:22 UTC
Sereda Brian JVice President & CFO
SaleCommon Stock 1,853 $13.85 $25,664.05
Disclosure

SEC source: 0001140361-16-087006 · doc1.xml · nonDerivative · entry 2

Sereda Brian J · CIK 0001366294 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,692

F2 · shares: Represents shares sold to cover taxes due upon vesting and settlement of performance share units.

Read SEC document
November 14, 2016 Filed Nov 17, 2016 00:25 UTC
Leabman Michael AaronDirector · Chief Technology Officer
SaleCommon Stock 4,396 $14.02 $61,609.94
Disclosure

SEC source: 0001140361-16-087007 · doc1.xml · nonDerivative · entry 2

Leabman Michael Aaron · CIK 0001603704 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,899

F2 · shares: Represents shares sold to cover taxes due upon vesting and settlement of performance share units.

F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $14.01 to $14.0301 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
November 11, 2016 Filed Nov 15, 2016 01:52 UTC
Johnston CesarSenior VP, Engineering
SaleCommon Stock 18,164 $14.02 $254,613.87
Disclosure

SEC source: 0001140361-16-086642 · doc1.xml · nonDerivative · entry 3

Johnston Cesar · CIK 0001613480 · Senior VP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,684

F3 · shares: Represents shares sold to cover taxes due upon vesting and settlement of restricted share units.

F4 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.06 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
November 11, 2016 Filed Nov 15, 2016 20:37 UTC SaleCommon Stock 814 $13.80 $11,233.28
Disclosure

SEC source: 0001140361-16-086879 · doc1.xml · nonDerivative · entry 2

Gaulding John · CIK 0001234527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,009

F2 · shares: Represents shares sold to cover taxes due upon vesting and settlement of performance share units.

Read SEC document
November 10, 2016 Filed Nov 15, 2016 01:52 UTC
Johnston CesarSenior VP, Engineering
SaleCommon Stock 40,000 $14.37 $574,776.00
Disclosure

SEC source: 0001140361-16-086642 · doc1.xml · nonDerivative · entry 2

Johnston Cesar · CIK 0001613480 · Senior VP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,848

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $14.33 to $14.50 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
November 01, 2016 Filed Nov 3, 2016 19:00 UTC
RIZZONE STEPHEN RDirector · CEO and President
GrantPerformance Stock Unit · Derivative 150,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-084801 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Performance stock units shall be earned and vested upon satisfaction of certain stock performance milestones as determined by the Board. Delivery of the vested shares will be deferred until the earliest to occur of (a) a separation of service; (b) a change in control; or (c) November 1, 2024.

F3 · derivative.expiration_date: Performance stock units shall be earned and vested upon satisfaction of certain stock performance milestones as determined by the Board. Delivery of the vested shares will be deferred until the earliest to occur of (a) a separation of service; (b) a change in control; or (c) November 1, 2024.

Read SEC document
November 01, 2016 Filed Nov 3, 2016 19:00 UTC
RIZZONE STEPHEN RDirector · CEO and President
GrantRestricted Stock Unit · Derivative 150,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-084801 · doc1.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: 25% of the restricted stock units will vest annually on August 18, 2017, 2018, 2019, and 2020. Delivery of the vested shares will be deferred until the earliest to occur of (a) a separation of service; (b) a change in control; or (c) November 1, 2024.

F2 · derivative.expiration_date: 25% of the restricted stock units will vest annually on August 18, 2017, 2018, 2019, and 2020. Delivery of the vested shares will be deferred until the earliest to occur of (a) a separation of service; (b) a change in control; or (c) November 1, 2024.

Read SEC document
October 24, 2016 Filed Oct 25, 2016 21:01 UTC
Sereda Brian JVice President & CFO
GrantCommon Stock 45,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-083555 · doc1.xml · nonDerivative · entry 1

Sereda Brian J · CIK 0001366294 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,103

F1 · shares: Each restricted stock unit represents a right to receive one share of the Issuer's common stock. Shares vest in four equal installments on August 18 of 2017, 2018, 2019, and 2020, subject to continued service through each vesting date.

Read SEC document
October 24, 2016 Filed Oct 26, 2016 01:28 UTC
Johnston CesarSenior VP, Engineering
GrantCommon Stock 85,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-083563 · doc1.xml · nonDerivative · entry 2

Johnston Cesar · CIK 0001613480 · Senior VP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,963

F2 · shares: Each restricted stock unit represents a right to receive one share of the Issuer's common stock. Shares vest in four equal installments on August 18 of 2016, 2017, 2018, and 2020, subject to continued service through each vesting date.

Read SEC document
October 24, 2016 Filed Oct 26, 2016 00:58 UTC
Leabman Michael AaronDirector · Chief Technology Officer
GrantCommon Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-083554 · doc1.xml · nonDerivative · entry 2

Leabman Michael Aaron · CIK 0001603704 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,853

F2 · shares: Each restricted stock unit ("RSU") represents a right to receive one share of the Issuer's common stock. Shares vest over a period of four years in four equal annual installments on August 18 of 2017, 2018, 2019, and 2020, subject to continued service through each vesting date.

Read SEC document
October 22, 2016 Filed Oct 26, 2016 01:28 UTC
Johnston CesarSenior VP, Engineering
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,250 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-083563 · doc1.xml · derivative · entry 3

Johnston Cesar · CIK 0001613480 · Senior VP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,250 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.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: One-half of these restricted stock units vest on February 16, 2016 and the remaining one-half vest on October 22, 2016.

F4 · derivative.expiration_date: One-half of these restricted stock units vest on February 16, 2016 and the remaining one-half vest on October 22, 2016.

Read SEC document
October 22, 2016 Filed Oct 26, 2016 01:28 UTC
Johnston CesarSenior VP, Engineering
Exercise / conversionCommon Stock 6,250 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-083563 · doc1.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · Senior VP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,963

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

F1 · shares: Represents shares of common stock received upon vesting of the restricted stock unit award reported in Table II.

Read SEC document
October 22, 2016 Filed Oct 26, 2016 00:58 UTC
Leabman Michael AaronDirector · Chief Technology Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,250 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-083554 · doc1.xml · derivative · entry 3

Leabman Michael Aaron · CIK 0001603704 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,250 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.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: One-half of these restricted stock units vest on February 16, 2016 and the remaining one-half vest on October 22, 2016.

F4 · derivative.expiration_date: One-half of these restricted stock units vest on February 16, 2016 and the remaining one-half vest on October 22, 2016.

Read SEC document
October 22, 2016 Filed Oct 26, 2016 00:58 UTC
Leabman Michael AaronDirector · Chief Technology Officer
Exercise / conversionCommon Stock 6,250 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-083554 · doc1.xml · nonDerivative · entry 1

Leabman Michael Aaron · CIK 0001603704 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,853

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

F1 · shares: Represents shares of common stock received upon vesting of the restricted stock unit award reported in Table II.

Read SEC document
September 30, 2016 Filed Nov 15, 2016 01:52 UTC
Johnston CesarSenior VP, Engineering
Exercise / conversionPerformance Share Units · Derivative 8,885 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-086642 · doc1.xml · derivative · entry 4

Johnston Cesar · CIK 0001613480 · Senior VP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,733

Underlying: Common Stock · 8,885 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.

F5 · derivative.exercise_price: Each performance share unit represents a contingent right to receive one share of common stock.

F6 · derivative.exercise_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F6 · derivative.expiration_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
September 30, 2016 Filed Nov 15, 2016 01:52 UTC
Johnston CesarSenior VP, Engineering
Exercise / conversionCommon Stock 8,885 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-086642 · doc1.xml · nonDerivative · entry 1

Johnston Cesar · CIK 0001613480 · Senior VP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,848

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: Represents shares of common stock received upon vesting of a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F1 · shares: Represents shares of common stock received upon vesting of a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
September 30, 2016 Filed Nov 15, 2016 20:37 UTC Exercise / conversionPerformance Share Units · Derivative 2,221 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-086879 · doc1.xml · derivative · entry 3

Gaulding John · CIK 0001234527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,183

Underlying: Common Stock · 2,221 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.

F3 · derivative.exercise_price: Each performance share unit represents a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F4 · derivative.expiration_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
September 30, 2016 Filed Nov 15, 2016 20:37 UTC Exercise / conversionCommon Stock 2,221 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-086879 · doc1.xml · nonDerivative · entry 1

Gaulding John · CIK 0001234527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,823

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: Represents shares of common stock received upon vesting of a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F1 · shares: Represents shares of common stock received upon vesting of a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
September 30, 2016 Filed Nov 16, 2016 19:22 UTC
Sereda Brian JVice President & CFO
Exercise / conversionPerformance Share Units · Derivative 4,442 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-087006 · doc1.xml · derivative · entry 3

Sereda Brian J · CIK 0001366294 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,367

Underlying: Common Stock · 4,442 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.

F3 · derivative.exercise_price: Each performance share unit represents a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: Represents a performance share unit award granted on December 17, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F4 · derivative.expiration_date: Represents a performance share unit award granted on December 17, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
September 30, 2016 Filed Nov 16, 2016 19:22 UTC
Sereda Brian JVice President & CFO
Exercise / conversionCommon Stock 4,442 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-087006 · doc1.xml · nonDerivative · entry 1

Sereda Brian J · CIK 0001366294 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,545

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: Represents shares of common stock received upon vesting of a performance share unit award granted on December 17, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F1 · shares: Represents shares of common stock received upon vesting of a performance share unit award granted on December 17, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
September 30, 2016 Filed Nov 17, 2016 00:25 UTC
Leabman Michael AaronDirector · Chief Technology Officer
Exercise / conversionPerformance Share Units · Derivative 4,442 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-087007 · doc1.xml · derivative · entry 3

Leabman Michael Aaron · CIK 0001603704 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,367

Underlying: Common Stock · 4,442 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 performance share unit represents a contingent right to receive one share of common stock.

F5 · derivative.exercise_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F5 · derivative.expiration_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
September 30, 2016 Filed Nov 17, 2016 00:25 UTC
Leabman Michael AaronDirector · Chief Technology Officer
Exercise / conversionCommon Stock 4,442 $0.00 $0.00
Disclosure

SEC source: 0001140361-16-087007 · doc1.xml · nonDerivative · entry 1

Leabman Michael Aaron · CIK 0001603704 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,295

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: Represents shares of common stock received upon vesting of a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F1 · shares: Represents shares of common stock received upon vesting of a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
September 30, 2016 Filed Jan 6, 2017 19:51 UTC
RIZZONE STEPHEN RDirector · CEO and President
Exercise / conversionPerformance Share Units · Derivative 44,424 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001085 · doc1.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 563,668

Underlying: Common Stock · 44,424 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 performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F3 · derivative.expiration_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
September 30, 2016 Filed Jan 6, 2017 19:51 UTC
RIZZONE STEPHEN RDirector · CEO and President
Exercise / conversionCommon Stock 44,424 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001085 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,190

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

F1 · shares: Each performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
September 30, 2016 Filed Jan 6, 2017 19:46 UTC Exercise / conversionPerformance Share Units · Derivative 2,221 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001080 · doc1.xml · derivative · entry 4

COOPER MARTIN · CIK 0001217826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,183

Underlying: Common Stock · 2,221 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 performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: Represents a performance share unit award granted on July 1, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F2 · derivative.expiration_date: Represents a performance share unit award granted on July 1, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
September 30, 2016 Filed Jan 6, 2017 19:46 UTC Exercise / conversionCommon Stock 2,221 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001080 · doc1.xml · nonDerivative · entry 1

COOPER MARTIN · CIK 0001217826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,105

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

F1 · shares: Each performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
September 30, 2016 Filed Jan 6, 2017 19:35 UTC Exercise / conversionPerformance Share Units · Derivative 2,221 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001076 · doc1.xml · derivative · entry 4

JACKSON REX S · CIK 0001249803 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,183

Underlying: Common Stock · 2,221 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 performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F2 · derivative.expiration_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
September 30, 2016 Filed Jan 6, 2017 19:35 UTC Exercise / conversionCommon Stock 2,221 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001076 · doc1.xml · nonDerivative · entry 1

JACKSON REX S · CIK 0001249803 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,165

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

F1 · shares: Each performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
September 30, 2016 Filed Jan 7, 2017 00:45 UTC Exercise / conversionPerformance Share Units · Derivative 2,221 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001079 · doc1.xml · derivative · entry 4

Griffin Robert J · CIK 0001603902 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,183

Underlying: Common Stock · 2,221 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 performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

F2 · derivative.expiration_date: Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.

Read SEC document
September 30, 2016 Filed Jan 7, 2017 00:45 UTC Exercise / conversionCommon Stock 2,221 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001079 · doc1.xml · nonDerivative · entry 1

Griffin Robert J · CIK 0001603902 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,165

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

F1 · shares: Each performance stock unit or restricted stock unit represents a contingent right to receive one share of common stock.

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.