Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SCHMITT INDUSTRIES INCSMIT · Entity 14032 | Director · Chief Executive Officer | October 12, 2022 | October 17, 2022 |
| SUNation Energy, Inc.PEGY · Entity 7787 | Director | September 20, 2022 | September 22, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
SCHMITT INDUSTRIES INC
Report date October 12, 2022 · Filed October 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 69,392 |
Reported balance
After 2022-10-12 transaction · row 1
1 source rowRow 1 · 2022-10-12 · Grant · Acquired 3,788 · Balance 69,392 F1: On the Transaction Date, the Reporting Person was granted the immediately vested shares as compensation for service on the Issuer's board of directors. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 474,235 |
Reported balance
Holding disclosure · report date 2022-10-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 474,235 F2: Mr. Zapata, as the Managing Member of Sententia Capital, may be deemed the beneficial owner of the 474,235 shares owned by Sententia Capital. |
Filing footnotes · ownership attribution and instrument terms
F1: On the Transaction Date, the Reporting Person was granted the immediately vested shares as compensation for service on the Issuer's board of directors.
F2: Mr. Zapata, as the Managing Member of Sententia Capital, may be deemed the beneficial owner of the 474,235 shares owned by Sententia Capital.
SUNation Energy, Inc.
Report date September 20, 2022 · Filed September 22, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,962 |
Reported balance
After 2022-09-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-09-20 · Grant · Acquired 15,190 · Balance 15,962 F1: Restricted Stock Units that vest as follows: 2,344 vest 6 months and 12,846 vest 12 months from the date of the grant. F2: Reflects the effect of the Company's 1-for-4 reverse stock split on March 18, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted Stock Units that vest as follows: 2,344 vest 6 months and 12,846 vest 12 months from the date of the grant.
F2: Reflects the effect of the Company's 1-for-4 reverse stock split on March 18, 2022.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 12, 2022 Filed Oct 17, 2022 20:41 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | GrantCommon Stock | 3,788 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-22-002827 · form412252zap_10172022.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,392 F1 · kind: On the Transaction Date, the Reporting Person was granted the immediately vested shares as compensation for service on the Issuer's board of directors. F1 · price: On the Transaction Date, the Reporting Person was granted the immediately vested shares as compensation for service on the Issuer's board of directors. Read SEC document |
| September 20, 2022 Filed Sep 22, 2022 20:40 UTC | SUNation Energy, Inc. PEGY · Entity 7787 | GrantCommon Stock | 15,190 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-009870 · form4-09222022_010906.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,962 F1 · shares: Restricted Stock Units that vest as follows: 2,344 vest 6 months and 12,846 vest 12 months from the date of the grant. F2 · balance_after: Reflects the effect of the Company's 1-for-4 reverse stock split on March 18, 2022. Read SEC document |
| April 14, 2022 Filed Apr 18, 2022 21:14 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Tax withholdingCommon Stock | 616 | $4.87 | $2,999.92 |
DisclosureSEC source: 0000921895-22-001293 · form412252zap_04182022.xml · nonDerivative · entry 2 Zapata Michael R. · CIK 0001758042 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,604 F2 · kind: Transaction represents the withholding of shares, at the value of $4.87 per share, to satisfy the tax withholding obligations following the grant of 1,541 shares of stock on April 14, 2022. F2 · price: Transaction represents the withholding of shares, at the value of $4.87 per share, to satisfy the tax withholding obligations following the grant of 1,541 shares of stock on April 14, 2022. Read SEC document |
| April 14, 2022 Filed Apr 18, 2022 21:14 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | GrantCommon Stock | 1,541 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-22-001293 · form412252zap_04182022.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,220 F1 · kind: On the Transaction Date, the Reporting Person was granted the immediately vested shares as compensation for service on the Issuer's board of directors. F1 · price: On the Transaction Date, the Reporting Person was granted the immediately vested shares as compensation for service on the Issuer's board of directors. Read SEC document |
| January 14, 2022 Filed Jan 19, 2022 00:50 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Tax withholdingCommon Stock | 583 | $5.15 | $3,002.45 |
DisclosureSEC source: 0000921895-22-000177 · form412252zap_01182022.xml · nonDerivative · entry 2 Zapata Michael R. · CIK 0001758042 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,679 F2 · kind: Transaction represents the withholding of shares, at the value of $5.15 per share, to satisfy the tax withholding obligations following the grant of 1,457 shares of stock on January 14, 2022. F2 · price: Transaction represents the withholding of shares, at the value of $5.15 per share, to satisfy the tax withholding obligations following the grant of 1,457 shares of stock on January 14, 2022. Read SEC document |
| January 14, 2022 Filed Jan 19, 2022 00:50 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | GrantCommon Stock | 1,457 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-22-000177 · form412252zap_01182022.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,262 F1 · kind: On the Transaction Date, the Reporting Person was granted the immediately vested shares as compensation for service on the Issuer's board of directors. F1 · price: On the Transaction Date, the Reporting Person was granted the immediately vested shares as compensation for service on the Issuer's board of directors. Read SEC document |
| October 19, 2021 Filed Oct 21, 2021 20:06 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | GrantCommon Stock | 1,938 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-21-002473 · form412252001_10212021.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,805 F1 · shares: On the Transaction Date, the Reporting Person was granted the immediately vested shares as compensation for service on the Issuer's board of directors. Read SEC document |
| August 02, 2021 Filed Aug 4, 2021 21:53 UTC | SUNation Energy, Inc. JCS · Entity 7787 | Exercise / conversionStock Option (Right-to-Buy) · Derivative | 10,000 | $0.00 Strike: $4.94 | $0.00 |
DisclosureSEC source: 0001615594-21-000081 · primary_doc.xml · derivative · entry 3 Zapata Michael R. · CIK 0001758042 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2027-06-17 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_date: Option vested fully on June 17, 2021 Read SEC document |
| August 02, 2021 Filed Aug 4, 2021 21:53 UTC | SUNation Energy, Inc. JCS · Entity 7787 | Tax withholdingCommon Stock | 6,909 | $7.15 | $49,399.35 |
DisclosureSEC source: 0001615594-21-000081 · primary_doc.xml · nonDerivative · entry 2 Zapata Michael R. · CIK 0001758042 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,091 Read SEC document |
| August 02, 2021 Filed Aug 4, 2021 21:53 UTC | SUNation Energy, Inc. JCS · Entity 7787 | Exercise / conversionCommon Stock | 10,000 | $4.94 | $49,400.00 |
DisclosureSEC source: 0001615594-21-000081 · primary_doc.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 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 |
| October 27, 2020 Filed Nov 30, 2020 23:25 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Tax withholdingCommon Stock | 593 | $5.06 | $3,000.58 |
DisclosureSEC source: 0000921895-20-003142 · form412252001zap_11302020.xml · nonDerivative · entry 6 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,867 F6 · shares: Transaction represents the withholding of shares, at the value of $5.06 per share, to satisfy the tax withholding obligations following the grant of 1,483 shares on October 27, 2020 Read SEC document |
| October 27, 2020 Filed Nov 30, 2020 23:25 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | GrantCommon Stock | 1,483 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-20-003142 · form412252001zap_11302020.xml · nonDerivative · entry 5 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,460 F5 · shares: On the Transaction Date, the Reporting Person was granted the immediately vested shares as compensation for service on the Issuer's board of directors. Read SEC document |
| July 29, 2020 Filed Nov 30, 2020 23:25 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionRSUs · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-20-003142 · form412252001zap_11302020.xml · derivative · entry 9 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: Transaction represents the withholding of shares, at the value of $4.44 per share, to satisfy the tax withholding obligations following the vesting of 6,000 RSUs on July 24, 2020. F2 · derivative.expiration_date: Transaction represents the withholding of shares, at the value of $4.44 per share, to satisfy the tax withholding obligations following the vesting of 6,000 RSUs on July 24, 2020. Read SEC document |
| July 29, 2020 Filed Nov 30, 2020 23:25 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Tax withholdingCommon Stock | 2,400 | $4.40 | $10,560.00 |
DisclosureSEC source: 0000921895-20-003142 · form412252001zap_11302020.xml · nonDerivative · entry 4 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,977 F4 · shares: Transaction represents the withholding of shares, at the value of $4.40 per share, to satisfy the tax withholding obligations following the vesting of 3,000 RSUs on July 29, 2020. Read SEC document |
| July 29, 2020 Filed Nov 30, 2020 23:25 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-20-003142 · form412252001zap_11302020.xml · nonDerivative · entry 3 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,377 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 · shares: One tranche of 6,000 RSUs vested based on the 15-day trading average closing price of the Issuer's common stock being greater than or equal to $4.10. Read SEC document |
| July 24, 2020 Filed Nov 30, 2020 23:25 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionRSUs · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-20-003142 · form412252001zap_11302020.xml · derivative · entry 8 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock. F1 · derivative.exercise_date: One tranche of 6,000 restricted stock units ("RSUs") vested based on the 15-day trading average closing price of the Issuer's common stock being greater than or equal to $3.90. F1 · derivative.expiration_date: One tranche of 6,000 restricted stock units ("RSUs") vested based on the 15-day trading average closing price of the Issuer's common stock being greater than or equal to $3.90. Read SEC document |
| July 24, 2020 Filed Nov 30, 2020 23:25 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Tax withholdingCommon Stock | 2,400 | $4.44 | $10,656.00 |
DisclosureSEC source: 0000921895-20-003142 · form412252001zap_11302020.xml · nonDerivative · entry 2 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,377 F2 · shares: Transaction represents the withholding of shares, at the value of $4.44 per share, to satisfy the tax withholding obligations following the vesting of 6,000 RSUs on July 24, 2020. Read SEC document |
| July 24, 2020 Filed Nov 30, 2020 23:25 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-20-003142 · form412252001zap_11302020.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,777 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: One tranche of 6,000 restricted stock units ("RSUs") vested based on the 15-day trading average closing price of the Issuer's common stock being greater than or equal to $3.90. Read SEC document |
| June 17, 2020 Filed Jun 18, 2020 20:08 UTC | SUNation Energy, Inc. JCS · Entity 7787 | GrantStock Option (Right-to-Buy) · Derivative | 10,000 | $0.00 Strike: $4.94 | $0.00 |
DisclosureSEC source: 0001615594-20-000039 · primary_doc.xml · derivative · entry 2 Zapata Michael R. · CIK 0001758042 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-06-17 Read SEC document |
| December 31, 2019 Filed Dec 31, 2019 21:24 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001792066-19-000025 · primary_doc.xml · derivative · entry 3 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 6,000 shares Expires 2022-12-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Eight tranches of 6,000 RSUs vest if, prior to December 3, 2022, the 15 day trading average closing price of the Company's common stock is greater than or equal to the target price of $2.70, $2.90, $3.10, $3.30, $3.50, $3.70, $3.90, and $4.10. F1 · deemedExecutionDate: Restricted Stock Units (RSUs) vested on December 30, 2019, pursuant to the terms of the Executive Chairman Agreement dated December 1, 2018. Read SEC document |
| December 31, 2019 Filed Dec 31, 2019 21:24 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001792066-19-000025 · primary_doc.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,777 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 · deemedExecutionDate: Restricted Stock Units (RSUs) vested on December 30, 2019, pursuant to the terms of the Executive Chairman Agreement dated December 1, 2018. Read SEC document |
| December 17, 2019 Filed Dec 20, 2019 17:29 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | PurchaseCommon Stock | 123,456 | $3.25 | $401,232.00 |
DisclosureSEC source: 0001792066-19-000021 · primary_doc.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 474,235 F1 · ownership.nature: Sententia Capital purchased 123,456 shares in a private transaction on December 17, 2019. Mr. Zapata, as the Managing Member of Sententia Capital, may be deemed the beneficial owner of the 474,235 shares owned by Sententia Capital. Read SEC document |
| December 05, 2019 Filed Dec 5, 2019 22:51 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001792066-19-000016 · primary_doc.xml · derivative · entry 2 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 6,000 shares Expires 2022-12-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Eight tranches of 6,000 RSUs vest if, prior to December 3, 2022, the 15 day trading average closing price of the Company's common stock is greater than or equal to the target price of $2.70, $2.90, $3.10, $3.30,$3.50, $3.70, $3.90, and $4.10. F1 · deemedExecutionDate: Restricted Stock Units (RSUs) vested on December 3, 2019, pursuant to the terms of the Executive Chairman Agreement dated December 1, 2018. Read SEC document |
| December 05, 2019 Filed Dec 5, 2019 22:51 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001792066-19-000016 · primary_doc.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,777 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 · deemedExecutionDate: Restricted Stock Units (RSUs) vested on December 3, 2019, pursuant to the terms of the Executive Chairman Agreement dated December 1, 2018. Read SEC document |
| November 18, 2019 Filed Nov 18, 2019 19:31 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001792066-19-000013 · primary_doc.xml · derivative · entry 2 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 Underlying: Common Stock · 6,000 shares Expires 2022-12-03 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: Eight tranches of 6,000 RSUs vest if, prior to December 3, 2022, the 15 day trading average closing price of the Company's common stock is greater than or equal to the target price of $2.70, $2.90, $3.10, $3.30, $3.50, $3.70, $3.90, and $4.10. F2 · deemedExecutionDate: Restricted Stock Units (RSUs) vested on November 14, 2019, pursuant to the terms of the Executive Chairman Agreement dated December 1, 2018. Read SEC document |
| November 18, 2019 Filed Nov 18, 2019 19:31 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001792066-19-000013 · primary_doc.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,777 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 · deemedExecutionDate: Restricted Stock Units (RSUs) vested on November 14, 2019, pursuant to the terms of the Executive Chairman Agreement dated December 1, 2018. Read SEC document |
| October 29, 2019 Filed Oct 29, 2019 23:48 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001792066-19-000010 · primary_doc.xml · derivative · entry 2 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 6,000 shares Expires 2022-12-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Eight tranches of 6,000 RSUs vest if, prior to December 3, 2022, the 15 day trading average closing price of the Company's common stock is greater than or equal to the target price of $2.70, $2.90, $3.10, $3.30, $3.50, $3.70, $3.90, and $4.10. F1 · deemedExecutionDate: Restricted Stock Units (RSUs) vested on October 29, 2019, pursuant to the terms of the Executive Chairman Agreement dated December 1, 2018. Read SEC document |
| October 29, 2019 Filed Oct 29, 2019 23:48 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001792066-19-000010 · primary_doc.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,777 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 · deemedExecutionDate: Restricted Stock Units (RSUs) vested on October 29, 2019, pursuant to the terms of the Executive Chairman Agreement dated December 1, 2018. Read SEC document |
| October 24, 2019 Filed Oct 28, 2019 22:11 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001792066-19-000006 · primary_doc.xml · derivative · entry 2 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 Underlying: Common Stock · 6,000 shares Expires 2022-12-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Eight tranches of 6,000 RSUs vest if, prior to December 3, 2022, the 15 day trading average closing price of the Company's common stock is greater than or equal to the target price of $2.70, $2.90, $3.10, $3.30, $3.50, $3.70, $3.90, and $4.10. F1 · deemedExecutionDate: Restricted Stock Units (RSUs) vested on October 24, 2019, pursuant to the terms of the Executive Chairman Agreement dated December 1, 2018. Read SEC document |
| October 24, 2019 Filed Oct 28, 2019 22:11 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001792066-19-000006 · primary_doc.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,777 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 · deemedExecutionDate: Restricted Stock Units (RSUs) vested on October 24, 2019, pursuant to the terms of the Executive Chairman Agreement dated December 1, 2018. Read SEC document |
| September 27, 2019 Filed Sep 27, 2019 16:48 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001574276-19-000001 · primary_doc.xml · derivative · entry 5 Zapata Michael R. · CIK 0001758042 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 Underlying: Common Stock · 6,000 shares Expires 2022-12-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Eight tranches of 6,000 RSUs vest if, prior to December 3, 2022, the 15-day trading average closing price of the Company's common stock is greater than or equal to the target price of $2.70, $2.90, $3.10, $3.30, $3.50, $3.70, $3.90 and $4.10. F4 · deemedExecutionDate: RSUs vested on December 24, 2018, pursuant to the terms of the Executive Chairman Agreement dated December 1, 2018. Read SEC document |
| September 27, 2019 Filed Sep 27, 2019 16:48 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | GrantCommon Stock | 17,777 | $0.00 | $0.00 |
DisclosureSEC source: 0001574276-19-000001 · primary_doc.xml · nonDerivative · entry 2 Zapata Michael R. · CIK 0001758042 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,777 F5 · deemedExecutionDate: RSUs vested on August 6, 2019, pursuant to the terms of the CEO Consulting Agreement dated July 30, 2019. Read SEC document |
| September 27, 2019 Filed Sep 27, 2019 16:48 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001574276-19-000001 · primary_doc.xml · nonDerivative · entry 1 Zapata Michael R. · CIK 0001758042 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 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 · deemedExecutionDate: RSUs vested on December 24, 2018, pursuant to the terms of the Executive Chairman Agreement dated December 1, 2018. F2 · price: Eight tranches of 6,000 RSUs vest if, prior to December 3, 2022, the 15-day trading average closing price of the Company's common stock is greater than or equal to the target price of $2.70, $2.90, $3.10, $3.30, $3.50, $3.70, $3.90 and $4.10. Read SEC document |
| December 03, 2018 Filed Sep 27, 2019 16:48 UTC | SCHMITT INDUSTRIES INC SMIT · Entity 14032 | GrantRestricted Stock Units · Derivative | 48,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001574276-19-000001 · primary_doc.xml · derivative · entry 4 Zapata Michael R. · CIK 0001758042 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,000 Underlying: Common Stock · 48,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock. F3 · shares: RSUs were granted pursuant to the terms of the Executive Chairman Agreement, dated December 1, 2018, between Mr. Zapata and the Company. F2 · derivative.exercise_date: Eight tranches of 6,000 RSUs vest if, prior to December 3, 2022, the 15-day trading average closing price of the Company's common stock is greater than or equal to the target price of $2.70, $2.90, $3.10, $3.30, $3.50, $3.70, $3.90 and $4.10. F2 · derivative.expiration_date: Eight tranches of 6,000 RSUs vest if, prior to December 3, 2022, the 15-day trading average closing price of the Company's common stock is greater than or equal to the target price of $2.70, $2.90, $3.10, $3.30, $3.50, $3.70, $3.90 and $4.10. 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.