Sims Todd D.

SEC source: 0001209191-23-057429 · doc4.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 743

F1 · kind: Represents a sale of shares to Simplify Inventions, LLC as described under Item 8.01 of the Current Report on Form 8-K filed by the Issuer on December 5, 2023.

F2 · balance_after: The reported total includes 372 restricted stock units which were scheduled to vest on December 31, 2023, subject to continued service to the Issuer, but which are subject to forfeiture pursuant to the terms of the reporting person's previous restricted stock unit grant from the Issuer. As disclosed in the above-referenced Form 8-K, the reporting person resigned from the Issuer's Board of Directors effective December 1, 2023.

SEC source: 0001493152-23-011739 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,010

F1 · shares: Represents an award of restricted stock units granted to the reporting person on the transaction date. One-twelfth of the award vests ratably on the last calendar day of each month of the 2023 calendar year, subject to the reporting person's continued service to the Issuer on each applicable vesting date.

SEC source: 0001493152-23-000099 · ownership.xml · derivative · entry 2

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 675 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 RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F4 · derivative.exercise_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

F4 · derivative.expiration_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

SEC source: 0001493152-23-000099 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,556

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 · security: On February 9, 2022, the Company (formerly known as theMaven, Inc.) changed its name to The Arena Group Holdings, Inc., uplisted its common stock to the NYSE American, and began trading under the symbol "AREN."

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F2 · balance_after: Effective at 8:00 p.m. Eastern Time on February 8, 2022, the common stock of the Company, par value $0.01 (the "Common Stock"), underwent a reverse split of 1-for-22 (the "Reverse Stock Split"). All amounts of Common Stock and other securities listed herein have been adjusted to reflect the effect of the Reverse Stock Split.

SEC source: 0001493152-22-034146 · ownership.xml · derivative · entry 2

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 675

Underlying: Common Stock · 675 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 RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F4 · derivative.exercise_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

F4 · derivative.expiration_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

SEC source: 0001493152-22-034146 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,881

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 · security: On February 9, 2022, the Company (formerly known as theMaven, Inc.) changed its name to The Arena Group Holdings, Inc., uplisted its common stock to the NYSE American, and began trading under the symbol "AREN."

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F2 · balance_after: Effective at 8:00 p.m. Eastern Time on February 8, 2022, the common stock of the Company, par value $0.01 (the "Common Stock"), underwent a reverse split of 1-for-22 (the "Reverse Stock Split"). All amounts of Common Stock and other securities listed herein have been adjusted to reflect the effect of the Reverse Stock Split.

SEC source: 0001493152-22-029945 · ownership.xml · derivative · entry 2

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,350

Underlying: Common Stock · 675 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 RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F4 · derivative.exercise_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

F4 · derivative.expiration_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

SEC source: 0001493152-22-029945 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,206

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 · security: On February 9, 2022, the Company (formerly known as theMaven, Inc.) changed its name to The Arena Group Holdings, Inc., uplisted its common stock to the NYSE American, and began trading under the symbol "AREN."

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F2 · balance_after: Effective at 8:00 p.m. Eastern Time on February 8, 2022, the common stock of the Company, par value $0.01 (the "Common Stock"), underwent a reverse split of 1-for-22 (the "Reverse Stock Split"). All amounts of Common Stock and other securities listed herein have been adjusted to reflect the effect of the Reverse Stock Split.

SEC source: 0001493152-22-027377 · ownership.xml · derivative · entry 2

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,025

Underlying: Common Stock · 675 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 RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F4 · derivative.exercise_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

F4 · derivative.expiration_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

SEC source: 0001493152-22-027377 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,531

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 · security: On February 9, 2022, the Company (formerly known as theMaven, Inc.) changed its name to The Arena Group Holdings, Inc., uplisted its common stock to the NYSE American, and began trading under the symbol "AREN."

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F2 · balance_after: Effective at 8:00 p.m. Eastern Time on February 8, 2022, the common stock of the Company, par value $0.01 (the "Common Stock"), underwent a reverse split of 1-for-22 (the "Reverse Stock Split"). All amounts of Common Stock and other securities listed herein have been adjusted to reflect the effect of the Reverse Stock Split.

SEC source: 0001493152-22-024468 · ownership.xml · derivative · entry 2

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,700

Underlying: Common Stock · 675 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 RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F4 · derivative.exercise_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

F4 · derivative.expiration_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

SEC source: 0001493152-22-024468 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,856

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 · security: On February 9, 2022, the Company (formerly known as theMaven, Inc.) changed its name to The Arena Group Holdings, Inc., uplisted its common stock to the NYSE American, and began trading under the symbol "AREN."

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F2 · balance_after: Effective at 8:00 p.m. Eastern Time on February 8, 2022, the common stock of the Company, par value $0.01 (the "Common Stock"), underwent a reverse split of 1-for-22 (the "Reverse Stock Split"). All amounts of Common Stock and other securities listed herein have been adjusted to reflect the effect of the Reverse Stock Split.

SEC source: 0001493152-22-020849 · ownership.xml · derivative · entry 2

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,375

Underlying: Common Stock · 675 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 RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F4 · derivative.exercise_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

F4 · derivative.expiration_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

SEC source: 0001493152-22-020849 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,181

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 · security: On February 9, 2022, the Company (formerly known as theMaven, Inc.) changed its name to The Arena Group Holdings, Inc., uplisted its common stock to the NYSE American, and began trading under the symbol "AREN."

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F2 · balance_after: Effective at 8:00 p.m. Eastern Time on February 8, 2022, the common stock of the Company, par value $0.01 (the "Common Stock"), underwent a reverse split of 1-for-22 (the "Reverse Stock Split"). All amounts of Common Stock and other securities listed herein have been adjusted to reflect the effect of the Reverse Stock Split.

SEC source: 0001493152-22-018191 · ownership.xml · derivative · entry 2

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,050

Underlying: Common Stock · 675 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 RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F4 · derivative.exercise_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

F4 · derivative.expiration_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

SEC source: 0001493152-22-018191 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,506

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 · security: On February 9, 2022, the Company (formerly known as theMaven, Inc.) changed its name to The Arena Group Holdings, Inc., uplisted its common stock to the NYSE American, and began trading under the symbol "AREN."

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F2 · balance_after: Effective at 8:00 p.m. Eastern Time on February 8, 2022, the common stock of the Company, par value $0.01 (the "Common Stock"), underwent a reverse split of 1-for-22 (the "Reverse Stock Split"). All amounts of Common Stock and other securities listed herein have been adjusted to reflect the effect of the Reverse Stock Split.

SEC source: 0001493152-22-015562 · ownership.xml · derivative · entry 3

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,725

Underlying: Common Stock · 3,375 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 RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F4 · derivative.exercise_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

F4 · derivative.expiration_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

SEC source: 0001493152-22-015562 · ownership.xml · derivative · entry 2

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,100

Underlying: Common Stock · 8,100 shares

Expires not disclosed

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F4 · derivative.exercise_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

F4 · derivative.expiration_date: 5/12 of the shares associated with the RSU vest on May 31, 2022, with the balance vesting in seven equal installments thereafter on the last calendar day of each month

SEC source: 0001493152-22-015562 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,831

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 · security: On February 9, 2022, the Company (formerly known as theMaven, Inc.) changed its name to The Arena Group Holdings, Inc., uplisted its common stock to the NYSE American, and began trading under the symbol "AREN."

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock.

F2 · balance_after: Effective at 8:00 p.m. Eastern Time on February 8, 2022, the common stock of the Company, par value $0.01 (the "Common Stock"), underwent a reverse split of 1-for-22 (the "Reverse Stock Split"). All amounts of Common Stock and other securities listed herein have been adjusted to reflect the effect of the Reverse Stock Split. Additionally, the number of shares listed in Column 5 in the first row of Table I above is corrected.

SEC source: 0001493152-21-001932 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 559,525

SEC source: 0001493152-21-004134 · ownership.xml · nonDerivative · entry 2

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 878,116

SEC source: 0001493152-21-004134 · ownership.xml · derivative · entry 4

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2020-12-31

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: Convertible Debenture disposition of both principal and interest

F3 · derivative.underlying: Convertible Debenture disposition of both principal and interest

F3 · derivative.underlying_shares: Convertible Debenture disposition of both principal and interest

SEC source: 0001493152-21-004134 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 711,449

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: Acquired as a result of Convertible Debenture conversion of both principal and interest, as agreed by shareholder and Issuer

SEC source: 0001213900-20-026727 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,163

F1 · shares: Pursuant to Mr. Sims resignation from the Company's Board of Directors, effective September 14, 2020, certain Restricted Stock Units granted on June 18, 2020 as part of director compensation for the 2020-2021 term, were forfeited in accordance with their terms and on a pro-rated basis.

F2 · ownership.direct: Shares are held of record by Todd Sims individually or as joint tenants with Elsie Sims.

SEC source: 0001213900-20-015455 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,717

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in full on the earlier of May 21, 2021, or the Company's next Annual Shareholder Meeting.

F2 · ownership.direct: Shares are held of record by Todd Sims individually or as joint tenants with Elsie Sims.

SEC source: 0001493152-20-024487 · ownership.xml · nonDerivative · entry 3

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,858

SEC source: 0001213900-19-013323 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,261

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in full on the earlier of May 21, 2020, or the Company's next Annual Shareholder Meeting.

F2 · ownership.direct: Shares are held of record by Todd Sims individually or as joint tenants with Elsie Sims.

SEC source: 0001493152-20-024487 · ownership.xml · derivative · entry 4

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,820

Underlying: Common Stock · 241,820 shares

Expires 2029-04-10

F1 · shares: Vesting is a combined overlay of Time-based, Stock-Price-based, and Stock-Listing-based conditions. Time-based vesting is 1/3 vest after 1 year, with the balance monthly over next 2 years. Stock-Price vesting is a potential downward adjustment to the otherwise Time-based vested shares, where such adjustment is based on the rolling 45-day Volume Weighted Average Price set against specific price targets. Stock Listing vesting means that no otherwise Time-based and Stock Price-based vested shares are actually deemed as vested unless the Issuer's common stock is listed on a national securities exchange registered with the Securities and Exchange Commission under Section 6 of the Securities Exchange Act of 1934.

F2 · derivative.exercise_date: The ability to exercise is subject to both: i) vesting conditions (1) and ii) the Issuer's Board of Directors approving a requisite increase in authorized shares of common stock, after the date the grant was issued, that would apply to this grant

SEC source: 0001144204-19-018738 · tv518476_4.xml · derivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 250,000 shares

Expires 2020-12-31

SEC source: 0001493152-21-004134 · ownership.xml · derivative · entry 3

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2020-12-31

F2 · derivative.exercise_price: Convertible Debenture acquisition with principal value of $100,000, with a $0.33 conversion price and a maturity date of 12/31/2020

F2 · derivative.underlying: Convertible Debenture acquisition with principal value of $100,000, with a $0.33 conversion price and a maturity date of 12/31/2020

F2 · derivative.underlying_shares: Convertible Debenture acquisition with principal value of $100,000, with a $0.33 conversion price and a maturity date of 12/31/2020

SEC source: 0001493152-20-024487 · ownership.xml · nonDerivative · entry 2

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,858

SEC source: 0001493152-20-024487 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,525

SEC source: 0001615774-18-009700 · s112777_form4.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,401

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in full on the earlier of June 1, 2019, or the Company's next Annual Shareholder Meeting.

SEC source: 0001615774-19-004177 · s116778_form4.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,651

F1 · price: These shares were acquired in multiple transactions in prices ranging from $22.3754 to $22.3995, inclusive. The price reported above reflects the weighted average purchase price. The reporting person herby undertakes to provide upon request to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1).

F2 · ownership.direct: Shares are held of record by Todd Sims individually or as joint tenants with Elsie Sims.

SEC source: 0001615774-17-004676 · s107285_form4.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,139

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in full on the earlier of June 1, 2018, or the Company's next Annual Shareholder Meeting.

SEC source: 0001615774-17-001141 · s105617_form4.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,533

SEC source: 0001615774-16-008131 · s104345_form4.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,233

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in full on the earlier of May 24, 2017 or the next Annual Meeting of Stockholders.