Last 12 months
Inside the activity.
9 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 | 1 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 4 | 0 |
| Feb 2026 | 3 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 1 | 0 |
| May 2026 | 0 | 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 |
|---|---|---|---|---|---|---|
| November 20, 2022 Filed Oct 30, 2023 21:01 UTC |
STROME MARK E10% owner
STROME MEZZANINE FUND, LP10% owner
Strome Alpha Fund L P10% owner
STROME INVESTMENT MANAGEMENT LP10% owner
STROME GROUP, INC.10% owner
|
OtherCommon Stock Purchase Warrant · Derivative | 208,333 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 7 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 0 Underlying: Common Stock · 208,333 shares Expires 2022-11-20 F5 · kind: Expiration of long derivative position (warrant) without value received. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| September 25, 2022 Filed Oct 30, 2023 21:01 UTC |
STROME MARK E10% owner
STROME MEZZANINE FUND, LP10% owner
Strome Alpha Fund L P10% owner
STROME INVESTMENT MANAGEMENT LP10% owner
STROME GROUP, INC.10% owner
|
OtherCommon Stock Purchase Warrant · Derivative | 3,125 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 6 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 0 Underlying: Common Stock · 3,125 shares Expires 2022-09-25 F5 · kind: Expiration of long derivative position (warrant) without value received. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| September 14, 2022 Filed Sep 19, 2022 20:16 UTC |
Maggiore Christopher D.Director · 10% owner
|
PurchaseCommon Stock | 2,000 | $3.55 | $7,101.40 |
DisclosureSEC source: 0001654954-22-012673 · section16.xml · nonDerivative · entry 2 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 810,305 F2 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.435 to $3.93 per share. 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 request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| September 14, 2022 Filed Sep 19, 2022 20:16 UTC |
Maggiore Christopher D.Director · 10% owner
|
PurchaseCommon Stock | 5,200 | $3.53 | $18,346.12 |
DisclosureSEC source: 0001654954-22-012673 · section16.xml · nonDerivative · entry 1 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 808,305 F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.45 to $3.7257 per share. 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 request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| September 14, 2022 Filed Feb 14, 2023 13:33 UTC Amendment |
Maggiore Christopher D.Director
|
PurchaseCommon Stock | 2,000 | $3.55 | $7,101.40 |
DisclosureSEC source: 0001654954-23-001647 · section16.xml · nonDerivative · entry 2 Maggiore Christopher D. · CIK 0001436075 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 723,282 F2 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.435 to $3.93 per share. 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 request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| September 14, 2022 Filed Feb 14, 2023 13:33 UTC Amendment |
Maggiore Christopher D.Director
|
PurchaseCommon Stock | 5,200 | $3.53 | $18,346.12 |
DisclosureSEC source: 0001654954-23-001647 · section16.xml · nonDerivative · entry 1 Maggiore Christopher D. · CIK 0001436075 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 721,282 F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.45 to $3.7257 per share. 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 request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · balance_after: The total number of shares reported in Column 5 differs from amounts previously reported, which incorrectly included shares held in the estate of Robert S. McLain and in a related trust, as to which the reporting person was appointed a co-trustee in 2014. Although the reporting person has shared power to vote or to direct the vote, and shared power to dispose or to direct the disposition of, the shares held in the estate and in the trust, the reporting person has no direct or indirect pecuniary interest in such shares. Read SEC document |
| August 29, 2022 Filed Aug 31, 2022 20:12 UTC |
Marchiando KeithDirector · 10% owner
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 62,000 | $0.00 Strike: $3.94 | $0.00 |
DisclosureSEC source: 0001654954-22-012022 · section16.xml · derivative · entry 1 Marchiando Keith · CIK 0001291432 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,000 Underlying: Common Stock · 62,000 shares Expires 2022-08-28 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% upon acceptance of the grant, and 25% on each of the next three calendar anniversaries of the grant. Read SEC document |
| July 28, 2022 Filed Aug 1, 2022 20:40 UTC |
Cornell Alison ADirector
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 15,797 | $0.00 Strike: $3.61 | $0.00 |
DisclosureSEC source: 0001654954-22-010399 · section16.xml · derivative · entry 1 Cornell Alison A · CIK 0001549395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,797 Underlying: Common Stock · 15,797 shares Expires 2032-07-27 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2023 Annual Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date. Read SEC document |
| July 28, 2022 Filed Aug 1, 2022 20:22 UTC |
Masterson Nola EDirector
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 15,797 | $0.00 Strike: $3.61 | $0.00 |
DisclosureSEC source: 0001654954-22-010396 · section16.xml · derivative · entry 1 Masterson Nola E · CIK 0001305231 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,797 Underlying: Common Stock · 15,797 shares Expires 2032-07-27 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2023 Annual Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date. Read SEC document |
| July 28, 2022 Filed Dec 8, 2022 21:18 UTC Amendment |
Masterson Nola EDirector
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 15,797 | $0.00 Strike: $3.61 | $0.00 |
DisclosureSEC source: 0001654954-22-016254 · section16.xml · derivative · entry 1 Masterson Nola E · CIK 0001305231 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,797 Underlying: Common Stock · 15,797 shares Expires 2032-07-27 F1 · security: This amendment is being filed solely to correct the date of the earliest transaction reported to July 28, 2022. F2 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2023 Annual Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date. Read SEC document |
| July 28, 2022 Filed Dec 8, 2022 21:17 UTC Amendment |
Maggiore Christopher D.Director · 10% owner
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 15,797 | $0.00 Strike: $3.61 | $0.00 |
DisclosureSEC source: 0001654954-22-016253 · section16.xml · derivative · entry 1 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,797 Underlying: Common stock · 15,797 shares Expires 2022-07-27 F1 · security: This amendment is being filed solely to correct the date of the transaction reported to July 28, 2022. F2 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2023 Annual Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date. Read SEC document |
| July 24, 2022 Filed Oct 30, 2023 21:01 UTC |
STROME MARK E10% owner
STROME MEZZANINE FUND, LP10% owner
Strome Alpha Fund L P10% owner
STROME INVESTMENT MANAGEMENT LP10% owner
STROME GROUP, INC.10% owner
|
OtherCommon Stock Purchase Warrant · Derivative | 3,125 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 5 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 0 Underlying: Common Stock · 3,125 shares Expires 2022-07-24 F5 · kind: Expiration of long derivative position (warrant) without value received. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| July 08, 2022 Filed Aug 1, 2022 20:22 UTC |
Maggiore Christopher D.Director · 10% owner
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 15,797 | $0.00 Strike: $3.61 | $0.00 |
DisclosureSEC source: 0001654954-22-010397 · section16.xml · derivative · entry 1 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,797 Underlying: Common Stock · 15,797 shares Expires 2032-07-27 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2023 Annual Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date. Read SEC document |
| February 11, 2022 Filed Feb 16, 2022 11:02 UTC |
Maggiore Christopher D.Director · 10% owner
|
PurchaseCommon Stock | 44,965 | $3.87 | $173,951.60 |
DisclosureSEC source: 0001654954-22-001719 · section16.xml · nonDerivative · entry 3 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 803,105 F3 · price: (3)The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.7199 to $4.07 per share. 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 request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| February 10, 2022 Filed Feb 16, 2022 11:02 UTC |
Maggiore Christopher D.Director · 10% owner
|
PurchaseCommon Stock | 18,006 | $3.64 | $65,451.81 |
DisclosureSEC source: 0001654954-22-001719 · section16.xml · nonDerivative · entry 2 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 758,140 F2 · price: (2)The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.48 to $3.70 per share. 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 request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| February 09, 2022 Filed Feb 16, 2022 11:02 UTC |
Maggiore Christopher D.Director · 10% owner
|
PurchaseCommon Stock | 28,363 | $3.55 | $100,694.32 |
DisclosureSEC source: 0001654954-22-001719 · section16.xml · nonDerivative · entry 1 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 740,134 F1 · price: (1)The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.4899 to $3.60 per share. 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 request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| January 27, 2022 Filed Jan 28, 2022 22:39 UTC |
PAYNE JOHN BERNARDDirector
|
PurchaseCommon Stock | 46 | $2.50 | $115.00 |
DisclosureSEC source: 0001654954-22-000864 · section16.xml · nonDerivative · entry 2 PAYNE JOHN BERNARD · CIK 0001582392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,344 Read SEC document |
| January 25, 2022 Filed Jan 28, 2022 22:39 UTC |
PAYNE JOHN BERNARDDirector
|
PurchaseCommon Stock | 9,122 | $2.50 | $22,805.00 |
DisclosureSEC source: 0001654954-22-000864 · section16.xml · nonDerivative · entry 1 PAYNE JOHN BERNARD · CIK 0001582392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,298 Read SEC document |
| January 11, 2022 Filed Jan 14, 2022 22:48 UTC |
Maggiore Christopher D.Director · 10% owner
|
PurchaseCommon Stock | 7,560 | $2.64 | $19,956.13 |
DisclosureSEC source: 0001654954-22-000532 · section16.xml · nonDerivative · entry 1 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 711,771 F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.585 to $2.850 per share. 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 request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| October 21, 2021 Filed Oct 25, 2021 23:07 UTC |
DAHL ANDREW ADirector · President / CEO
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 376,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001654954-21-011339 · section16.xml · derivative · entry 1 DAHL ANDREW A · CIK 0001537603 · Director · President / CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 376,000 Underlying: Common Stock · 376,000 shares Expires 2031-10-20 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% upon acceptance of the grant, and 25% on each of the next three calendar anniversaries of the grant. Read SEC document |
| October 21, 2021 Filed Oct 25, 2021 23:07 UTC |
Maggiore Christopher D.Director · 10% owner
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 42,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001654954-21-011338 · section16.xml · derivative · entry 1 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 Underlying: Common Stock · 42,000 shares Expires 2031-10-20 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% upon acceptance of the grant, 25% on each of the next two 4-month anniversaries of the grant, and 25% on the day prior to the Company's 2022 Annual Meeting of Stockholders. Read SEC document |
| October 21, 2021 Filed Oct 25, 2021 23:07 UTC |
PAYNE JOHN BERNARDDirector
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 192,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001654954-21-011337 · section16.xml · derivative · entry 1 PAYNE JOHN BERNARD · CIK 0001582392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,000 Underlying: Common Stock · 192,000 shares Expires 2031-10-20 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% upon acceptance of the grant, 25% on each of the next two 4-month anniversaries of the grant, and 25% on the day prior to the Company's 2022 Annual Meeting of Stockholders. Read SEC document |
| October 21, 2021 Filed Oct 25, 2021 23:06 UTC |
Marchiando KeithChief Financial Officer
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 288,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001654954-21-011336 · section16.xml · derivative · entry 1 Marchiando Keith · CIK 0001291432 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,000 Underlying: Common Stock · 288,000 shares Expires 2031-10-20 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% upon acceptance of the grant, and 25% on each of the next three calendar anniversaries of the grant. Read SEC document |
| October 21, 2021 Filed Oct 25, 2021 23:01 UTC |
Masterson Nola EDirector
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 26,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001654954-21-011335 · section16.xml · derivative · entry 1 Masterson Nola E · CIK 0001305231 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,000 Underlying: Common Stock · 26,000 shares Expires 2031-10-20 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% upon acceptance of the grant, 25% on each of the next two 4-month anniversaries of the grant, and 25% on the day prior to the Company's 2022 Annual Meeting of Stockholders. Read SEC document |
| October 12, 2021 Filed Oct 16, 2021 01:20 UTC |
PAYNE JOHN BERNARDDirector
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 11,416 | $0.00 Strike: $4.48 | $0.00 |
DisclosureSEC source: 0001654954-21-011169 · section16.xml · derivative · entry 1 PAYNE JOHN BERNARD · CIK 0001582392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,416 Underlying: Common Stock · 11,416 shares Expires 2031-10-11 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2022 Annual General Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date. Read SEC document |
| October 12, 2021 Filed Oct 16, 2021 01:18 UTC |
Masterson Nola EDirector
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 11,416 | $0.00 Strike: $4.48 | $0.00 |
DisclosureSEC source: 0001654954-21-011168 · section16.xml · derivative · entry 1 Masterson Nola E · CIK 0001305231 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,416 Underlying: Common Stock · 11,416 shares Expires 2031-10-11 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2022 Annual General Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date. Read SEC document |
| October 12, 2021 Filed Oct 16, 2021 01:17 UTC |
Maggiore Christopher D.Director · 10% owner
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 11,416 | $0.00 Strike: $4.48 | $0.00 |
DisclosureSEC source: 0001654954-21-011167 · section16.xml · derivative · entry 1 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,416 Underlying: Common Stock · 11,416 shares Expires 2031-10-11 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2022 Annual General Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date. Read SEC document |
| October 12, 2021 Filed Oct 16, 2021 01:16 UTC |
Cornell Alison ADirector
|
GrantNonstatutory Stock Option to Purchase Common Stock · Derivative | 19,076 | $0.00 Strike: $4.48 | $0.00 |
DisclosureSEC source: 0001654954-21-011166 · section16.xml · derivative · entry 1 Cornell Alison A · CIK 0001549395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,076 Underlying: Common Stock · 19,076 shares Expires 2031-10-11 F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2022 Annual General Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date. Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 19:53 UTC |
Masterson Nola EDirector
|
PurchaseCommon Stock Purchase Warrant · Derivative | 400 | $0.01 Strike: $5.50 | $4.00 |
DisclosureSEC source: 0001078782-21-000536 · primary_doc.xml · derivative · entry 2 Masterson Nola E · CIK 0001305231 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400 Underlying: Common Stock · 400 shares Expires 2026-06-02 Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 19:53 UTC |
Masterson Nola EDirector
|
PurchaseCommon Stock | 400 | $4.99 | $1,996.00 |
DisclosureSEC source: 0001078782-21-000536 · primary_doc.xml · nonDerivative · entry 1 Masterson Nola E · CIK 0001305231 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,898 F1 · balance_after: The share amount has been adjusted to reflect the reverse stock split effective on May 28, 2021 whereby each eighty shares of common stock issued and outstanding prior to the split were combined and converted into one share of common stock. Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 19:49 UTC |
Cornell Alison ADirector
|
PurchaseCommon Stock Purchase Warrant · Derivative | 15,000 | $0.01 Strike: $5.50 | $150.00 |
DisclosureSEC source: 0001078782-21-000535 · primary_doc.xml · derivative · entry 2 Cornell Alison A · CIK 0001549395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2026-06-02 Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 19:49 UTC |
Cornell Alison ADirector
|
PurchaseCommon Stock | 15,000 | $4.99 | $74,850.00 |
DisclosureSEC source: 0001078782-21-000535 · primary_doc.xml · nonDerivative · entry 1 Cornell Alison A · CIK 0001549395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 19:44 UTC |
Maggiore Christopher D.Director · 10% owner
|
PurchaseCommon Stock Purchase Warrant · Derivative | 100,000 | $0.01 Strike: $5.50 | $1,000.00 |
DisclosureSEC source: 0001078782-21-000534 · primary_doc.xml · derivative · entry 2 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2026-06-02 Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 19:44 UTC |
Maggiore Christopher D.Director · 10% owner
|
PurchaseCommon Stock | 100,000 | $4.99 | $499,000.00 |
DisclosureSEC source: 0001078782-21-000534 · primary_doc.xml · nonDerivative · entry 1 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 704,211 F1 · balance_after: The share amount has been adjusted to reflect the reverse stock split effective on May 28, 2021 whereby each eighty shares of common stock issued and outstanding prior to the split were combined and converted into one share of common stock. Read SEC document |
| June 02, 2021 Filed Oct 30, 2023 21:01 UTC |
STROME MARK E10% owner
STROME MEZZANINE FUND, LP10% owner
Strome Alpha Fund L P10% owner
STROME INVESTMENT MANAGEMENT LP10% owner
STROME GROUP, INC.10% owner
|
ConversionConvertible Debt · Derivative | 2,191,187 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 4 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 0 Underlying: Common Stock · 326,286 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_date: The convertible debt was convertible at any time prior to, and did not expire until, the repayment or conversion of the convertible debt in full. F4 · derivative.expiration_date: The convertible debt was convertible at any time prior to, and did not expire until, the repayment or conversion of the convertible debt in full. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| June 02, 2021 Filed Oct 30, 2023 21:01 UTC |
STROME MARK E10% owner
STROME MEZZANINE FUND, LP10% owner
Strome Alpha Fund L P10% owner
STROME INVESTMENT MANAGEMENT LP10% owner
STROME GROUP, INC.10% owner
|
PurchaseCommon Stock Purchase Warrant · Derivative | 40,000 | $0.01 Strike: $5.50 | $400.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 3 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By trust Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2026-06-02 F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| June 02, 2021 Filed Oct 30, 2023 21:01 UTC |
STROME MARK E10% owner
STROME MEZZANINE FUND, LP10% owner
Strome Alpha Fund L P10% owner
STROME INVESTMENT MANAGEMENT LP10% owner
STROME GROUP, INC.10% owner
|
PurchaseCommon Stock | 40,000 | $4.99 | $199,600.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · nonDerivative · entry 2 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By trust Disclosed balance after: 203,601 Read SEC document |
| June 02, 2021 Filed Oct 30, 2023 21:01 UTC |
STROME MARK E10% owner
STROME MEZZANINE FUND, LP10% owner
Strome Alpha Fund L P10% owner
STROME INVESTMENT MANAGEMENT LP10% owner
STROME GROUP, INC.10% owner
|
ConversionCommon Stock | 326,286 | $8.00 | $2,610,288.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · nonDerivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 326,286 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 · kind: The reported transaction resulted from the conversion of convertible debt into shares of common stock at $8.00. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| January 01, 2021 Filed Jan 5, 2021 21:51 UTC |
Marchiando KeithChief Financial Officer
|
GrantOption to Purchase Common Stock · Derivative | 13,000,000 | $0.00 Strike: $0.14 | $0.00 |
DisclosureSEC source: 0001078782-21-000005 · primary_doc.xml · derivative · entry 1 Marchiando Keith · CIK 0001291432 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,000,000 Underlying: Common Stock · 13,000,000 shares Expires 2030-12-31 F1 · derivative.exercise_date: 3,000,000 vested immediately, and 1,250,000 shares will vest on each six month anniversary of the date of grant. Read SEC document |
| October 08, 2020 Filed Oct 13, 2020 17:31 UTC |
STROME MARK E10% owner
STROME MEZZANINE FUND, LP10% owner
STROME INVESTMENT MANAGEMENT LP10% owner
STROME GROUP, INC.10% owner
|
PurchaseCommon Stock Purchase Warrant · Derivative | 1,500,000 | $0.00 Strike: $0.12 | $0.00 |
DisclosureSEC source: 0001793373-20-000012 · primary_doc.xml · derivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,500,000 Underlying: Common Stock · 1,500,000 shares Expires 2025-10-08 F1 · price: Strome Mezzanine Fund, L.P. ("Strome Mezzanine") entered into a License Co-Development Participation Agreement dated October 8, 2020 (the "Participation Agreement") with Zivo Bioscience, Inc. ("Zivo"), pursuant to which Strome Mezzanine agreed to fund a portion of the budgeted costs for Zivo's work to enter into certain license agreements. As additional consideration for Strome Mezzanine's funding of the Participation Agreement and to encourage Strome Mezzanine's continued investment in Zivo, Zivo issued this warrant to Strome Mezzanine. No valuation of this portion of the consideration was assigned. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| September 30, 2020 Filed Dec 2, 2020 00:39 UTC |
RONDEAU ROBERT O JRDirector
|
GrantCommon Stock Purchase Warrant · Derivative | 500,000 | Not disclosed Strike: $0.12 | Not disclosed |
DisclosureSEC source: 0001078782-20-000936 · primary_doc.xml · derivative · entry 1 RONDEAU ROBERT O JR · CIK 0001669678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2025-09-30 F1 · price: The warrants were issued to the reporting person as compensation for acting as a director. Read SEC document |
| September 30, 2020 Filed Dec 2, 2020 00:36 UTC |
Maggiore Christopher D.Director · 10% owner
|
Tax withholdingCommon Stock Purchase Warrant · Derivative | 500,000 | Not disclosed Strike: $0.12 | Not disclosed |
DisclosureSEC source: 0001078782-20-000935 · primary_doc.xml · derivative · entry 4 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2025-09-30 F1 · price: The warrants were issued to the reporting person as compensation for acting as a director. Read SEC document |
| September 30, 2020 Filed Dec 1, 2020 23:17 UTC |
Masterson Nola EDirector
|
Tax withholdingCommon Stock Purchase Warrant · Derivative | 500,000 | Not disclosed Strike: $0.12 | Not disclosed |
DisclosureSEC source: 0001078782-20-000933 · primary_doc.xml · derivative · entry 4 Masterson Nola E · CIK 0001305231 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2025-09-30 F1 · price: The warrants were issued to the reporting person as compensation for acting as a director. Read SEC document |
| September 30, 2020 Filed Dec 2, 2020 15:51 UTC |
PAYNE JOHN BERNARDDirector
|
Tax withholdingCommon Stock Purchase Warrant · Derivative | 500,000 | Not disclosed Strike: $0.12 | Not disclosed |
DisclosureSEC source: 0001078782-20-000937 · primary_doc.xml · derivative · entry 4 PAYNE JOHN BERNARD · CIK 0001582392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2025-09-30 F1 · price: The warrants were issued to the reporting person as compensation for acting as a director. Read SEC document |
| September 11, 2020 Filed Feb 17, 2021 01:54 UTC |
DAHL ANDREW ADirector · President/CEO
|
GiftCommon Stock Purchase Warrant · Derivative | 4,000,000 | Not disclosed Strike: $0.08 | Not disclosed |
DisclosureSEC source: 0001078782-21-000141 · primary_doc.xml · derivative · entry 1 DAHL ANDREW A · CIK 0001537603 · Director · President/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000,000 Underlying: Common Stock · 4,000,000 shares Expires 2022-11-08 F1 · price: The warrants were issued to the reporting person as compensation for his services as President and CEO. Read SEC document |
| September 09, 2020 Filed Dec 2, 2020 00:36 UTC |
Maggiore Christopher D.Director · 10% owner
|
Exercise / conversionCommon Stock Purchase Warrant · Derivative | 250,000 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001078782-20-000935 · primary_doc.xml · derivative · entry 3 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2020-09-10 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 |
| September 09, 2020 Filed Dec 2, 2020 00:36 UTC |
Maggiore Christopher D.Director · 10% owner
|
Tax withholdingCommon Stock | 46,296 | $0.11 | $5,092.56 |
DisclosureSEC source: 0001078782-20-000935 · primary_doc.xml · nonDerivative · entry 2 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,907,826 Read SEC document |
| September 09, 2020 Filed Dec 2, 2020 00:36 UTC |
Maggiore Christopher D.Director · 10% owner
|
Exercise / conversionCommon Stock | 250,000 | $0.10 | $25,000.00 |
DisclosureSEC source: 0001078782-20-000935 · primary_doc.xml · nonDerivative · entry 1 Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,954,122 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 |
| September 09, 2020 Filed Dec 2, 2020 00:29 UTC |
RICE II PHILIP MChief Financial Officer
|
Tax withholdingCommon Stock Purchase Warrant · Derivative | 250,000 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001078782-20-000934 · primary_doc.xml · derivative · entry 5 RICE II PHILIP M · CIK 0001534921 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 250,000 shares Expires 2020-09-10 Read SEC document |
| September 09, 2020 Filed Dec 2, 2020 00:29 UTC |
RICE II PHILIP MChief Financial Officer
|
Tax withholdingCommon Stock | 235,849 | $0.11 | $25,943.39 |
DisclosureSEC source: 0001078782-20-000934 · primary_doc.xml · nonDerivative · entry 2 RICE II PHILIP M · CIK 0001534921 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,151 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.