Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AMTECH SYSTEMS INCASYS · Entity 6122 | Director · 10% owner | May 28, 2026 | June 01, 2026 |
| usell.com, Inc.USEL · Entity 161680 | 10% owner | November 16, 2017 | November 20, 2017 |
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.
AMTECH SYSTEMS INC
Report date May 28, 2026 · Filed June 01, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 725,341 |
Ending reported balance
After 2026-05-28 transaction · row 5
3 source rows · reconciled sequenceRow 3 · 2026-05-28 · Exercise / conversion · Acquired 6,000 · Balance 713,341 Row 4 · 2026-05-28 · Exercise / conversion · Acquired 6,000 · Balance 719,341 Row 5 · 2026-05-28 · Exercise / conversion · Acquired 6,000 · Balance 725,341 |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.40 · Expires 2028-05-11 | Direct | 0 |
Reported balance
After 2026-05-28 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-05-28 · Exercise / conversion · Disposed 6,000 · Balance 0 F5: Following the reported exercise, no shares remained subject to the director stock option reported on this line. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.51 · Expires 2031-03-23 | Direct | 0 |
Reported balance
After 2026-05-28 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-05-28 · Exercise / conversion · Disposed 6,000 · Balance 0 F5: Following the reported exercise, no shares remained subject to the director stock option reported on this line. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.22 · Expires 2032-03-02 | Direct | 0 |
Reported balance
After 2026-05-28 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2026-05-28 · Exercise / conversion · Disposed 6,000 · Balance 0 F5: Following the reported exercise, no shares remained subject to the director stock option reported on this line. F6: Following all of the transactions reported on this Form 4, Mr. Averick no longer holds any director stock options (right to buy) of the Issuer. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote 2 below | 2,250,000 |
Reported balance
Holding disclosure · report date 2026-05-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,250,000 F1: Pursuant to a Schedule 13D filed on January 25, 2016, as amended (as further amended from time to time, the "Schedule 13D"), (i) Piton Capital Partners LLC ("Piton"), Cornice Fiduciary Management LLC (as trustee of the Trust (as defined in the Schedule 13D)) and M3C Holdings LLC (collectively, the "Kokino Family Clients"), (ii) Mr. Averick, and (iii) OIH LLC also report beneficial ownership of shares of the Issuer's $.01 par value common stock ("Common Shares"). F2: Indicates 2,250,000 Common Shares beneficially owned by the Kokino Family Clients. Mr. Averick is a Portfolio Manager at Kokino LLC ("Kokino"). Mr. Averick manages the Kokino Family Clients' investment in the Issuer as a Portfolio Manager of Kokino. Mr. Averick holds an indirect interest in certain Common Shares through his minority ownership of Piton, which is a Kokino Family Client (which ownership may be held through Piton's managing member, Piton Capital Management LLC ("PCM")). Also, Mr. Averick's incentive compensation/allocation as an employee of Kokino and member of Piton, which are generally calculated in Kokino's discretion subject to Piton's and PCM's governing documents, may be based on the performance of Common Shares held by Kokino Family Clients. Such compensation/allocation may be paid or made in cash and/or by way of increasing Mr. Averick's interest in Piton (either directly or indirectly through PCM). Kokino is PCM's managing member. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote 3 below | 11,000 |
Reported balance
Holding disclosure · report date 2026-05-28 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 11,000 F3: Indicates Common Shares held by Mr. Averick's spouse. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 2,839 |
Reported balance
Holding disclosure · report date 2026-05-28 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 2,839 F4: This is the total of all restricted stock units held by Mr. Averick as of the filing date of this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to a Schedule 13D filed on January 25, 2016, as amended (as further amended from time to time, the "Schedule 13D"), (i) Piton Capital Partners LLC ("Piton"), Cornice Fiduciary Management LLC (as trustee of the Trust (as defined in the Schedule 13D)) and M3C Holdings LLC (collectively, the "Kokino Family Clients"), (ii) Mr. Averick, and (iii) OIH LLC also report beneficial ownership of shares of the Issuer's $.01 par value common stock ("Common Shares").
F2: Indicates 2,250,000 Common Shares beneficially owned by the Kokino Family Clients. Mr. Averick is a Portfolio Manager at Kokino LLC ("Kokino"). Mr. Averick manages the Kokino Family Clients' investment in the Issuer as a Portfolio Manager of Kokino. Mr. Averick holds an indirect interest in certain Common Shares through his minority ownership of Piton, which is a Kokino Family Client (which ownership may be held through Piton's managing member, Piton Capital Management LLC ("PCM")). Also, Mr. Averick's incentive compensation/allocation as an employee of Kokino and member of Piton, which are generally calculated in Kokino's discretion subject to Piton's and PCM's governing documents, may be based on the performance of Common Shares held by Kokino Family Clients. Such compensation/allocation may be paid or made in cash and/or by way of increasing Mr. Averick's interest in Piton (either directly or indirectly through PCM). Kokino is PCM's managing member.
F3: Indicates Common Shares held by Mr. Averick's spouse.
F4: This is the total of all restricted stock units held by Mr. Averick as of the filing date of this Form 4.
F5: Following the reported exercise, no shares remained subject to the director stock option reported on this line.
F6: Following all of the transactions reported on this Form 4, Mr. Averick no longer holds any director stock options (right to buy) of the Issuer.
usell.com, Inc.
Report date November 16, 2017 · Filed November 20, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 324,000 |
Reported balance
After 2017-11-16 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-11-16 · Purchase · Acquired 200,000 · Balance 324,000 F1: Robert Averick also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed jointly by Leslie J. Schreyer, as Trustee under Trust Agreement dated December 23, 1989 FBO the issue of Jonathan D. Sackler (the "Trust"), M3C Holdings LLC ("M3C"), Mr. Averick and Piton Capital Partners LLC ("Piton"), with the SEC on December 30, 2016, as amended by a Schedule 13D Amendment No. 1 filed on June 2, 2017. The Trust, M3C and Mr. Averick are members of Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino LLC ("Kokino"), and Kokino is Piton's trading manager. Mr. Averick manages the Trust's, M3C's and Piton's investments in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). F2: Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by the Trust, M3C and Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). |
Filing footnotes · ownership attribution and instrument terms
F1: Robert Averick also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed jointly by Leslie J. Schreyer, as Trustee under Trust Agreement dated December 23, 1989 FBO the issue of Jonathan D. Sackler (the "Trust"), M3C Holdings LLC ("M3C"), Mr. Averick and Piton Capital Partners LLC ("Piton"), with the SEC on December 30, 2016, as amended by a Schedule 13D Amendment No. 1 filed on June 2, 2017. The Trust, M3C and Mr. Averick are members of Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino LLC ("Kokino"), and Kokino is Piton's trading manager. Mr. Averick manages the Trust's, M3C's and Piton's investments in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM).
F2: Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by the Trust, M3C and Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM).
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
GULF ISLAND FABRICATION INC
Report date January 16, 2026 · Filed January 16, 2026
Section 16 reporting ended · disclosed 2026-01-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2026-01-16 transaction · row 1
1 source rowRow 1 · 2026-01-16 · Disposition to issuer · Disposed 31,333 · Balance 0 F1: On January 16, 2026, pursuant to that certain Agreement and Plan of Merger dated as of November 7, 2025 (the "Merger Agreement") by and among IES Holdings, Inc. ("IES"), IES Merger Sub, LLC, an indirect wholly owned subsidiary of IES ("Merger Sub") and the Issuer, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as an indirect wholly owned subsidiary of IES. At the effective time of the Merger, shares of the Issuer's common stock, including shares of common stock underlying outstanding time-based restricted stock units, converted into the right to receive $12.00 per share in cash. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-01-16 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-01-16 · Disposition to issuer · Disposed 5,979 · Balance 0 F1: On January 16, 2026, pursuant to that certain Agreement and Plan of Merger dated as of November 7, 2025 (the "Merger Agreement") by and among IES Holdings, Inc. ("IES"), IES Merger Sub, LLC, an indirect wholly owned subsidiary of IES ("Merger Sub") and the Issuer, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as an indirect wholly owned subsidiary of IES. At the effective time of the Merger, shares of the Issuer's common stock, including shares of common stock underlying outstanding time-based restricted stock units, converted into the right to receive $12.00 per share in cash. |
Filing footnotes · ownership attribution and instrument terms
F1: On January 16, 2026, pursuant to that certain Agreement and Plan of Merger dated as of November 7, 2025 (the "Merger Agreement") by and among IES Holdings, Inc. ("IES"), IES Merger Sub, LLC, an indirect wholly owned subsidiary of IES ("Merger Sub") and the Issuer, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as an indirect wholly owned subsidiary of IES. At the effective time of the Merger, shares of the Issuer's common stock, including shares of common stock underlying outstanding time-based restricted stock units, converted into the right to receive $12.00 per share in cash.
KEY TECHNOLOGY INC
Report date March 20, 2018 · Filed March 22, 2018
Section 16 reporting ended · disclosed 2018-03-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-03-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-03-20 · Other · Disposed 25,000 · Balance 0 F1: Robert Averick also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed jointly by Leslie J. Schreyer, as Trustee under Trust Agreement dated December 23, 1989 FBO the issue of Jonathan D. Sackler (the "Trust"), M3C Holdings LLC ("M3C"), Mr. Averick and Piton Capital Partners LLC ("Piton"), with the SEC on June 30, 2016, as amended by a Schedule 13D Amendment No. 1 filed on January 31, 2018. The Trust, M3C and Mr. Averick are members of Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino LLC ("Kokino"), and Kokino is Piton's trading manager. Mr. Averick manages the Trust's, M3C's and Piton's investments in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). F2: Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by the Trust, M3C and Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). |
Filing footnotes · ownership attribution and instrument terms
F1: Robert Averick also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed jointly by Leslie J. Schreyer, as Trustee under Trust Agreement dated December 23, 1989 FBO the issue of Jonathan D. Sackler (the "Trust"), M3C Holdings LLC ("M3C"), Mr. Averick and Piton Capital Partners LLC ("Piton"), with the SEC on June 30, 2016, as amended by a Schedule 13D Amendment No. 1 filed on January 31, 2018. The Trust, M3C and Mr. Averick are members of Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino LLC ("Kokino"), and Kokino is Piton's trading manager. Mr. Averick manages the Trust's, M3C's and Piton's investments in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM).
F2: Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by the Trust, M3C and Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM).
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 |
|---|---|---|---|---|---|---|
| August 18, 2023 Filed Aug 21, 2023 20:02 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 9,000 | $8.96 | $80,640.00 |
DisclosureSEC source: 0001104659-23-093900 · tm2324248-1_4seq1.xml · nonDerivative · entry 4 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote 5 below Disclosed balance after: 11,000 F4 · price: The reported prices in Column 4 are weighted average prices rounded to the nearest hundredth. The prices of shares purchased on August 17, 2023 ranged from $8.67 to $8.72 per share. The prices of shares purchased on August 18, 2023 ranged from $8.87 to $9.00 per share. Mr. Averick undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased within the price range described in this footnote. F5 · balance_after: Indicates Common Shares held by Mr. Averick's spouse. F5 · ownership.direct: Indicates Common Shares held by Mr. Averick's spouse. Read SEC document |
| August 17, 2023 Filed Aug 21, 2023 20:02 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 6,500 | $8.70 | $56,550.00 |
DisclosureSEC source: 0001104659-23-093900 · tm2324248-1_4seq1.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 379,500 F4 · price: The reported prices in Column 4 are weighted average prices rounded to the nearest hundredth. The prices of shares purchased on August 17, 2023 ranged from $8.67 to $8.72 per share. The prices of shares purchased on August 18, 2023 ranged from $8.87 to $9.00 per share. Mr. Averick undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased within the price range described in this footnote. Read SEC document |
| August 11, 2023 Filed Aug 14, 2023 20:01 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 7,500 | $8.88 | $66,600.00 |
DisclosureSEC source: 0001104659-23-091290 · tm2323681-1_4seq1.xml · nonDerivative · entry 4 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 373,000 F5 · price: The reported price in Column 4 is a weighted average price rounded to the nearest hundredth. The prices of shares purchased on August 11, 2023 ranged from $8.80 to $8.89 per share. Mr. Averick undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased within the price range described in this footnote. Read SEC document |
| June 01, 2023 Filed Jun 2, 2023 16:03 UTC | GULF ISLAND FABRICATION INC GIFI · Entity 69271 | Exercise / conversionRestricted Stock Unit · Derivative | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-067527 · tm2317334-2_4seq1.xml · derivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 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. F3 · derivative.exercise_price: The reported transaction involved Mr. Averick's receipt of a grant of 8,000 restricted stock units on June 1, 2022 under the Issuer's Long-Term Incentive Program. The restricted stock units vested on June 1, 2023. Restricted stock units convert into Shares on a one-for-one basis. F3 · derivative.exercise_date: The reported transaction involved Mr. Averick's receipt of a grant of 8,000 restricted stock units on June 1, 2022 under the Issuer's Long-Term Incentive Program. The restricted stock units vested on June 1, 2023. Restricted stock units convert into Shares on a one-for-one basis. F3 · derivative.expiration_date: The reported transaction involved Mr. Averick's receipt of a grant of 8,000 restricted stock units on June 1, 2022 under the Issuer's Long-Term Incentive Program. The restricted stock units vested on June 1, 2023. Restricted stock units convert into Shares on a one-for-one basis. F4 · balance_after: The total reflects 8,000 restricted stock units that vest on May 1, 2024. Read SEC document |
| June 01, 2023 Filed Jun 2, 2023 16:03 UTC | GULF ISLAND FABRICATION INC GIFI · Entity 69271 | Exercise / conversionCommon Stock | 8,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-067527 · tm2317334-2_4seq1.xml · nonDerivative · entry 2 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,000 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. F3 · price: The reported transaction involved Mr. Averick's receipt of a grant of 8,000 restricted stock units on June 1, 2022 under the Issuer's Long-Term Incentive Program. The restricted stock units vested on June 1, 2023. Restricted stock units convert into Shares on a one-for-one basis. Read SEC document |
| May 23, 2023 Filed May 25, 2023 20:01 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 1,500 | $8.89 | $13,335.00 |
DisclosureSEC source: 0001104659-23-064616 · tm2316912-1_4seq1.xml · nonDerivative · entry 4 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 365,500 F5 · price: The reported price in Column 4 is a weighted average price rounded to the nearest hundredth. The prices of shares purchased on May 23, 2023 ranged from $8.75 to $8.90 per share. Mr. Averick undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased within the price range described in this footnote. Read SEC document |
| May 17, 2023 Filed May 18, 2023 20:02 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 1,020 | $8.65 | $8,823.00 |
DisclosureSEC source: 0001104659-23-062245 · tm2316235-1_4seq1.xml · nonDerivative · entry 5 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 364,000 Read SEC document |
| May 16, 2023 Filed May 18, 2023 20:02 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 1,480 | $8.65 | $12,802.00 |
DisclosureSEC source: 0001104659-23-062245 · tm2316235-1_4seq1.xml · nonDerivative · entry 4 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 362,980 Read SEC document |
| May 12, 2023 Filed May 15, 2023 20:01 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 4,750 | $8.95 | $42,512.50 |
DisclosureSEC source: 0001104659-23-060715 · tm2315809d1_4.xml · nonDerivative · entry 4 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 361,500 F5 · price: The reported price in Column 4 is a weighted average price rounded to the nearest hundredth. The prices of shares purchased on May 12, 2023 ranged from $8.85 to $8.98 per share. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the SEC, upon request, full information regarding the number of shares purchased within the price range described in this footnote. Read SEC document |
| May 01, 2023 Filed May 3, 2023 16:13 UTC | GULF ISLAND FABRICATION INC GIFI · Entity 69271 | GrantRestricted Stock Unit · Derivative | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-055499 · tm2314536-1_4seq1.xml · derivative · entry 2 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 8,000 shares Expires 2024-05-01 F3 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of the Issuer's common stock. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock on May 1, 2024. The restricted stock units were received as a grant or award. F4 · balance_after: This is the total of all restricted stock units held by Mr. Averick, including those with different terms and conditions, as of the filing date of this Form 4. Read SEC document |
| March 13, 2023 Filed Mar 14, 2023 20:01 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 2,250 | $8.96 | $20,160.00 |
DisclosureSEC source: 0001104659-23-032260 · tm239478-1_4.xml · nonDerivative · entry 5 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 356,750 Read SEC document |
| March 10, 2023 Filed Mar 14, 2023 20:01 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 1,000 | $8.95 | $8,950.00 |
DisclosureSEC source: 0001104659-23-032260 · tm239478-1_4.xml · nonDerivative · entry 4 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 4 below Disclosed balance after: 2,000 F4 · balance_after: Indicates Common Shares held by Mr. Averick's spouse. F4 · ownership.direct: Indicates Common Shares held by Mr. Averick's spouse. Read SEC document |
| March 10, 2023 Filed Mar 14, 2023 20:01 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 1,000 | $8.95 | $8,950.00 |
DisclosureSEC source: 0001104659-23-032260 · tm239478-1_4.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 4 below Disclosed balance after: 1,000 F4 · balance_after: Indicates Common Shares held by Mr. Averick's spouse. F4 · ownership.direct: Indicates Common Shares held by Mr. Averick's spouse. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 21:01 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | GrantRestricted Stock Units · Derivative | 4,189 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-028404 · tm238366-1_4seq1.xml · derivative · entry 4 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,189 Underlying: Common Stock · 4,189 shares Expires 2024-03-01 F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one Common Share on March 1, 2024. The restricted stock units were received as a grant or award, for no consideration. Read SEC document |
| February 10, 2023 Filed Feb 13, 2023 21:09 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 4,500 | $9.05 | $40,725.00 |
DisclosureSEC source: 0001104659-23-019691 · tm2225798-1_4seq1.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 354,500 Read SEC document |
| September 12, 2022 Filed Sep 13, 2022 20:02 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 3,399 | $10.96 | $37,253.04 |
DisclosureSEC source: 0001104659-22-099619 · tm2225798-1_4seq1.xml · nonDerivative · entry 4 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Read SEC document |
| September 09, 2022 Filed Sep 13, 2022 20:02 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 1,211 | $10.96 | $13,272.56 |
DisclosureSEC source: 0001104659-22-099619 · tm2225798-1_4seq1.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 346,601 Read SEC document |
| September 02, 2022 Filed Sep 6, 2022 20:02 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 399 | $10.56 | $4,213.44 |
DisclosureSEC source: 0001104659-22-097850 · tm2225230-1_4seq1.xml · nonDerivative · entry 4 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 345,390 Read SEC document |
| September 01, 2022 Filed Sep 6, 2022 20:02 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 4,991 | $10.51 | $52,455.41 |
DisclosureSEC source: 0001104659-22-097850 · tm2225230-1_4seq1.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 344,991 Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 16:03 UTC | GULF ISLAND FABRICATION INC GIFI · Entity 69271 | GrantRestricted Stock Unit · Derivative | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-068067 · tm2217683-1_4seq1.xml · derivative · entry 2 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2023-06-01 F3 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of the Issuer's common stock. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock on June 1, 2023. The restricted stock units were received as a grant or award, for no consideration. Read SEC document |
| May 16, 2022 Filed May 17, 2022 20:08 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 25,000 | $8.02 | $200,500.00 |
DisclosureSEC source: 0001104659-22-061940 · tm2215835-1_4seq1.xml · nonDerivative · entry 4 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,000 F4 · price: The reported prices in Column 4 are weighted average prices rounded to the nearest hundredth. The prices of shares purchased on May 13, 2022 ranged from $7.57 to $7.98 per share. The prices of shares purchased on May 16, 2022 ranged from $7.94 to $8.05 per share. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the SEC, 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 |
| May 13, 2022 Filed May 17, 2022 20:08 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 15,000 | $7.71 | $115,650.00 |
DisclosureSEC source: 0001104659-22-061940 · tm2215835-1_4seq1.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 315,000 F4 · price: The reported prices in Column 4 are weighted average prices rounded to the nearest hundredth. The prices of shares purchased on May 13, 2022 ranged from $7.57 to $7.98 per share. The prices of shares purchased on May 16, 2022 ranged from $7.94 to $8.05 per share. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the SEC, 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 |
| March 02, 2022 Filed Mar 4, 2022 21:02 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | GrantDirector Stock Option (Right to Buy) · Derivative | 6,000 | Not disclosed Strike: $10.22 | Not disclosed |
DisclosureSEC source: 0001104659-22-030585 · tm228321-1_4seq1.xml · derivative · entry 1 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2032-03-02 F1 · security: Mr. Averick is a Portfolio Manager at Kokino LLC ("Kokino"), which is a single-family office. Mr. Averick holds an indirect minority interest in shares of the issuer's Common Stock through his minority ownership of one of Kokino's clients, Piton Capital Partners LLC ("Piton") (which ownership may be held directly and indirectly through Piton's managing member, Piton Capital Management LLC ("PCM")). F2 · security: Also, Mr. Averick's incentive compensation as an employee of Kokino, which is generally calculated in Kokino's discretion, may be based on the performance of shares of the issuer's Common Stock held by Kokino's clients. In addition, the performance of such shares may result in an allocation that increases Mr. Averick's ownership interest in Piton pursuant to Piton's operating agreement. Kokino is the managing member of PCM, and Mr. Averick's and Piton's beneficial ownership of Common Stock is reported in a Schedule 13D filed on January 25, 2016 (as amended most recently on February 24, 2022). F4 · price: Price omitted because the transaction is a grant of a stock option. F3 · derivative.exercise_date: The option vests on March 2, 2023. F5 · balance_after: This is the number of derivative securities, with the same terms and conditions, following the reported transaction. Total of all derivative securities, including those with different terms and conditions, held following the reported transaction is 42,000. Read SEC document |
| February 23, 2022 Filed Feb 24, 2022 21:59 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 20,000 | $9.68 | $193,600.00 |
DisclosureSEC source: 0001104659-22-026690 · tm227649-1_4.xml · nonDerivative · entry 4 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 F3 · price: The reported prices in Column 4 regarding the February 22nd and 23rd purchases are weighted average prices rounded to the nearest hundredth. Regarding the February 22, 2022 purchase, the shares were purchased at prices ranging from $9.78 to $9.81 per share. Regarding the February 23, 2022 purchase, the shares were purchased at prices ranging from $9.46 to $9.94 per share. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the SEC, 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 22, 2022 Filed Feb 24, 2022 21:59 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 500 | $9.70 | $4,850.00 |
DisclosureSEC source: 0001104659-22-026690 · tm227649-1_4.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 4 below Disclosed balance after: 500 F4 · balance_after: Indicates 500 Common Shares held in a custodial account for the benefit of an immediate family member of Mr. Averick. F4 · ownership.direct: Indicates 500 Common Shares held in a custodial account for the benefit of an immediate family member of Mr. Averick. Read SEC document |
| February 22, 2022 Filed Feb 24, 2022 21:59 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 5,000 | $9.80 | $49,000.00 |
DisclosureSEC source: 0001104659-22-026690 · tm227649-1_4.xml · nonDerivative · entry 2 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,000 F3 · price: The reported prices in Column 4 regarding the February 22nd and 23rd purchases are weighted average prices rounded to the nearest hundredth. Regarding the February 22, 2022 purchase, the shares were purchased at prices ranging from $9.78 to $9.81 per share. Regarding the February 23, 2022 purchase, the shares were purchased at prices ranging from $9.46 to $9.94 per share. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the SEC, 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 |
| November 23, 2021 Filed Nov 24, 2021 21:18 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 2,500 | $10.30 | $25,750.00 |
DisclosureSEC source: 0001104659-21-143575 · tm2133911-1_4seq1.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275,000 Read SEC document |
| November 22, 2021 Filed Nov 24, 2021 21:18 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 12,500 | $10.66 | $133,250.00 |
DisclosureSEC source: 0001104659-21-143575 · tm2133911-1_4seq1.xml · nonDerivative · entry 2 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,500 F3 · price: The reported price in Column 4 regarding the November 22, 2021 is a weighted average price rounded to the nearest hundredth. The shares were purchased in multiple transactions at prices ranging from $10.56 to $10.71 per share. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the SEC, 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 |
| August 11, 2021 Filed Aug 12, 2021 20:02 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 2,500 | $9.96 | $24,900.00 |
DisclosureSEC source: 0001104659-21-104141 · tm2124986-1_4seq1.xml · nonDerivative · entry 2 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,000 Read SEC document |
| August 09, 2021 Filed Aug 10, 2021 21:01 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 2,500 | $10.00 | $25,000.00 |
DisclosureSEC source: 0001104659-21-102922 · tm2124696-1_4.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,500 Read SEC document |
| August 06, 2021 Filed Aug 10, 2021 21:01 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 5,000 | $9.75 | $48,750.00 |
DisclosureSEC source: 0001104659-21-102922 · tm2124696-1_4.xml · nonDerivative · entry 2 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,000 Read SEC document |
| March 23, 2021 Filed Mar 25, 2021 21:00 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | GrantDirector Stock Option (Right to Buy) · Derivative | 6,000 | Not disclosed Strike: $11.51 | Not disclosed |
DisclosureSEC source: 0001104659-21-041566 · tm2110842d1_4seq1.xml · derivative · entry 1 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2031-03-23 F1 · security: Mr. Averick is a Portfolio Manager at Kokino LLC ("Kokino"), which is a single-family office. Mr. Averick holds an indirect minority interest in shares of the issuer's Common Stock through his minority ownership of one of Kokino's clients, Piton Capital Partners LLC ("Piton") (which ownership may be held directly and indirectly through Piton's managing member, Piton Capital Management LLC ("PCM")). F2 · security: Also, Mr. Averick's incentive compensation as an employee of Kokino, which is generally calculated in Kokino's discretion, may be based on the performance of shares of the issuer's Common Stock held by Kokino's clients. In addition, the performance of such shares may result in an allocation that increases Mr. Averick's ownership interest in Piton pursuant to Piton's operating agreement. Kokino is the managing member of PCM, and Mr. Averick's and Piton's beneficial ownership of Common Stock is reported in a Schedule 13D filed on January 25, 2016 (as amended most recently on November 27, 2018). F4 · price: Price omitted because the transaction is a grant of a stock option. F3 · derivative.exercise_date: The option vests on September 23, 2021. F5 · balance_after: This is the number of derivative securities, with the same terms and conditions, following the reported transaction. Total of all derivative securities, including those with different terms and conditions, held following the reported transaction is 36,000. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 20:03 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 50,000 | $5.00 | $250,000.00 |
DisclosureSEC source: 0001104659-20-093879 · tm2027281-1_4.xml · nonDerivative · entry 2 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 F3 · price: The reported price in Column 4 is a weighted average price rounded to the nearest hundredth. The shares were purchased in multiple transactions at prices ranging from $4.90 to $5.00 per share. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the SEC, 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 |
| March 04, 2020 Filed Mar 5, 2020 21:06 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | GrantDirector Stock Option (Right to Buy) · Derivative | 6,000 | Not disclosed Strike: $4.90 | Not disclosed |
DisclosureSEC source: 0001104659-20-029704 · tv538815_form4.xml · derivative · entry 1 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2030-03-04 F1 · security: Mr. Averick is a Portfolio Manager at Kokino LLC ("Kokino"), which is a single-family office. Mr. Averick holds an indirect minority interest in shares of the issuer's Common Stock ("Common Stock") through his minority ownership of one of Kokino's clients, Piton Capital Partners LLC ("Piton") (which ownership may be held directly and indirectly through Piton's managing member, Piton Capital Management LLC ("PCM")). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is generally calculated in Kokino's discretion, may be based on the performance of Common Stock held by Kokino's clients. In addition, the performance of Common Stock may result in an allocation that increases Mr. Averick's ownership interest in Piton pursuant to Piton's operating agreement. Kokino is the managing member of PCM, and Mr. Averick's and Piton's beneficial ownership of Common Stock is reported in a Schedule 13D filed on Jan. 25, 2016 (as amended most recently on Nov. 27, 2018). F3 · price: Price omitted because the transaction is a grant of a stock option. F2 · derivative.exercise_date: The option vests on September 4, 2020. F4 · balance_after: This is the number of derivative securities, with the same terms and conditions, following the reported transaction. Total of all derivative securities, including those with different terms and conditions, held following the reported transaction is 30,000. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 21:01 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 8,500 | $5.11 | $43,435.00 |
DisclosureSEC source: 0001104659-20-026156 · tm2011073-2_form4.xml · nonDerivative · entry 2 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 F3 · price: The reported price in Column 4 is a weighted average price rounded to the nearest hundredth. The shares were purchased in multiple transactions at prices ranging from $5.09 to $5.13 per share. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the SEC, 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 11, 2020 Filed Feb 12, 2020 21:30 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 1,565 | $5.29 | $8,278.85 |
DisclosureSEC source: 0001104659-20-019289 · tv537943_form4.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,500 F3 · price: The reported price in Column 4 is a weighted average price rounded to the nearest hundredth. The shares purchased on February 10, 2020 were purchased in multiple transactions at prices ranging from $5.19 to $5.61 per share. The shares purchased on February 11, 2020 were purchased in multiple transactions at prices ranging from $5.27 to $5.316 per share. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the SEC, 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, 2020 Filed Feb 12, 2020 21:30 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 19,935 | $5.56 | $110,838.60 |
DisclosureSEC source: 0001104659-20-019289 · tv537943_form4.xml · nonDerivative · entry 2 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,935 F3 · price: The reported price in Column 4 is a weighted average price rounded to the nearest hundredth. The shares purchased on February 10, 2020 were purchased in multiple transactions at prices ranging from $5.19 to $5.61 per share. The shares purchased on February 11, 2020 were purchased in multiple transactions at prices ranging from $5.27 to $5.316 per share. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the SEC, 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 |
| December 05, 2019 Filed Dec 6, 2019 16:15 UTC | GULF ISLAND FABRICATION INC GIFI · Entity 69271 | PurchaseCommon Stock | 13,532 | $4.99 | $67,524.68 |
DisclosureSEC source: 0001567619-19-022725 · doc1.xml · nonDerivative · entry 1 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 2 below. Disclosed balance after: 1,811,894 F3 · price: The price reported in Column 4 is a weighted average price rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $4.975 to $5.00. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of Shares purchased at each separate price within the ranges set forth in footnote (3) to this Form 4. F1 · balance_after: Piton Capital Partners LLC, a Delaware limited liability company ("Piton") and family client of Kokino LLC ("Kokino"), also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed by Piton with the SEC on March 22, 2018, as amended on April 6, 2018, April 25, 2018, November 6, 2018 and November 21, 2019. F2 · balance_after: Indicates shares of the Issuer's common stock ("Shares") beneficially owned by Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino, and Kokino is Piton's trading manager. Robert Averick, who is currently a director of the Issuer and an employee of Kokino, manages Piton's investment in the Issuer as a portfolio manager of Kokino. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). Also, Mr. Averick's incentive compensation/allocation as Piton's portfolio manager, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by Piton. Such amount may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). F1 · ownership.direct: Piton Capital Partners LLC, a Delaware limited liability company ("Piton") and family client of Kokino LLC ("Kokino"), also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed by Piton with the SEC on March 22, 2018, as amended on April 6, 2018, April 25, 2018, November 6, 2018 and November 21, 2019. F2 · ownership.direct: Indicates shares of the Issuer's common stock ("Shares") beneficially owned by Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino, and Kokino is Piton's trading manager. Robert Averick, who is currently a director of the Issuer and an employee of Kokino, manages Piton's investment in the Issuer as a portfolio manager of Kokino. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). Also, Mr. Averick's incentive compensation/allocation as Piton's portfolio manager, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by Piton. Such amount may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). F2 · ownership.nature: Indicates shares of the Issuer's common stock ("Shares") beneficially owned by Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino, and Kokino is Piton's trading manager. Robert Averick, who is currently a director of the Issuer and an employee of Kokino, manages Piton's investment in the Issuer as a portfolio manager of Kokino. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). Also, Mr. Averick's incentive compensation/allocation as Piton's portfolio manager, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by Piton. Such amount may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). Read SEC document |
| November 21, 2019 Filed Nov 21, 2019 17:21 UTC | GULF ISLAND FABRICATION INC GIFI · Entity 69271 | PurchaseCommon Stock | 249,258 | $4.52 | $1,127,443.79 |
DisclosureSEC source: 0001567619-19-022037 · doc1.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 2 below. Disclosed balance after: 1,798,362 F3 · price: The prices reported in Column 4 are weighted average prices rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from (i) with respect to November 19, 2019, $4.42 to $4.47, (ii) with respect to November 20, 2019, $4.475 to $4.50, and (iii) with respect to November 21, 2019, $4.40 to $4.75. Piton undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of Shares purchased at each separate price within the ranges set forth in footnote (3) to this Form 4. F1 · balance_after: Piton Capital Partners LLC, a Delaware limited liability company ("Piton") and family client of Kokino LLC ("Kokino"), also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed by Piton with the SEC on March 22, 2018, as amended on April 6, 2018, April 25, 2018, November 6, 2018 and November 21, 2019. F2 · balance_after: Indicates shares of the Issuer's common stock ("Shares") beneficially owned by Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino, and Kokino is Piton's trading manager. Mr. Averick manages Piton's investment in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). F1 · ownership.direct: Piton Capital Partners LLC, a Delaware limited liability company ("Piton") and family client of Kokino LLC ("Kokino"), also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed by Piton with the SEC on March 22, 2018, as amended on April 6, 2018, April 25, 2018, November 6, 2018 and November 21, 2019. F2 · ownership.direct: Indicates shares of the Issuer's common stock ("Shares") beneficially owned by Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino, and Kokino is Piton's trading manager. Mr. Averick manages Piton's investment in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). F2 · ownership.nature: Indicates shares of the Issuer's common stock ("Shares") beneficially owned by Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino, and Kokino is Piton's trading manager. Mr. Averick manages Piton's investment in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). Read SEC document |
| November 20, 2019 Filed Nov 21, 2019 17:21 UTC | GULF ISLAND FABRICATION INC GIFI · Entity 69271 | PurchaseCommon Stock | 33,952 | $4.50 | $152,688.93 |
DisclosureSEC source: 0001567619-19-022037 · doc1.xml · nonDerivative · entry 2 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 2 below. Disclosed balance after: 1,549,104 F3 · price: The prices reported in Column 4 are weighted average prices rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from (i) with respect to November 19, 2019, $4.42 to $4.47, (ii) with respect to November 20, 2019, $4.475 to $4.50, and (iii) with respect to November 21, 2019, $4.40 to $4.75. Piton undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of Shares purchased at each separate price within the ranges set forth in footnote (3) to this Form 4. F1 · balance_after: Piton Capital Partners LLC, a Delaware limited liability company ("Piton") and family client of Kokino LLC ("Kokino"), also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed by Piton with the SEC on March 22, 2018, as amended on April 6, 2018, April 25, 2018, November 6, 2018 and November 21, 2019. F2 · balance_after: Indicates shares of the Issuer's common stock ("Shares") beneficially owned by Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino, and Kokino is Piton's trading manager. Mr. Averick manages Piton's investment in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). F1 · ownership.direct: Piton Capital Partners LLC, a Delaware limited liability company ("Piton") and family client of Kokino LLC ("Kokino"), also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed by Piton with the SEC on March 22, 2018, as amended on April 6, 2018, April 25, 2018, November 6, 2018 and November 21, 2019. F2 · ownership.direct: Indicates shares of the Issuer's common stock ("Shares") beneficially owned by Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino, and Kokino is Piton's trading manager. Mr. Averick manages Piton's investment in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). F2 · ownership.nature: Indicates shares of the Issuer's common stock ("Shares") beneficially owned by Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino, and Kokino is Piton's trading manager. Mr. Averick manages Piton's investment in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). Read SEC document |
| November 19, 2019 Filed Nov 21, 2019 17:21 UTC | GULF ISLAND FABRICATION INC GIFI · Entity 69271 | PurchaseCommon Stock | 15,152 | $4.43 | $67,158.21 |
DisclosureSEC source: 0001567619-19-022037 · doc1.xml · nonDerivative · entry 1 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 2 below. Disclosed balance after: 1,515,152 F3 · price: The prices reported in Column 4 are weighted average prices rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from (i) with respect to November 19, 2019, $4.42 to $4.47, (ii) with respect to November 20, 2019, $4.475 to $4.50, and (iii) with respect to November 21, 2019, $4.40 to $4.75. Piton undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of Shares purchased at each separate price within the ranges set forth in footnote (3) to this Form 4. F1 · balance_after: Piton Capital Partners LLC, a Delaware limited liability company ("Piton") and family client of Kokino LLC ("Kokino"), also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed by Piton with the SEC on March 22, 2018, as amended on April 6, 2018, April 25, 2018, November 6, 2018 and November 21, 2019. F2 · balance_after: Indicates shares of the Issuer's common stock ("Shares") beneficially owned by Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino, and Kokino is Piton's trading manager. Mr. Averick manages Piton's investment in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). F1 · ownership.direct: Piton Capital Partners LLC, a Delaware limited liability company ("Piton") and family client of Kokino LLC ("Kokino"), also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed by Piton with the SEC on March 22, 2018, as amended on April 6, 2018, April 25, 2018, November 6, 2018 and November 21, 2019. F2 · ownership.direct: Indicates shares of the Issuer's common stock ("Shares") beneficially owned by Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino, and Kokino is Piton's trading manager. Mr. Averick manages Piton's investment in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). F2 · ownership.nature: Indicates shares of the Issuer's common stock ("Shares") beneficially owned by Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino, and Kokino is Piton's trading manager. Mr. Averick manages Piton's investment in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). Read SEC document |
| August 30, 2019 Filed Aug 30, 2019 20:03 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 19,341 | $5.28 | $102,120.48 |
DisclosureSEC source: 0001567619-19-017726 · doc1.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,000 F3 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.19 to $5.3 per share, inclusive. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the SEC, 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 |
| August 28, 2019 Filed Aug 30, 2019 20:03 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | PurchaseCommon Stock | 659 | $4.90 | $3,229.10 |
DisclosureSEC source: 0001567619-19-017726 · doc1.xml · nonDerivative · entry 2 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,659 Read SEC document |
| May 03, 2019 Filed May 7, 2019 16:03 UTC | GULF ISLAND FABRICATION INC GIFI · Entity 69271 | Exercise / conversionRestricted Stock Units · Derivative | 1,875 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-010004 · doc1.xml · derivative · entry 4 Averick Robert M · CIK 0001343599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,875 shares Expires 2019-05-03 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. F3 · derivative.exercise_price: Restricted stock units ("RSUs") were granted to Mr. Averick upon his election to the Issuer's board of directors on November 3, 2018. The RSUs vested on May 3, 2019 and give Mr. Averick the right to receive cash equal to the closing sale price per share of common stock on May 3, 2019 times the number of shares underlying the RSUs. In accordance with the terms of the award, Mr. Averick has settled 100% of such RSUs for cash. F3 · price: Restricted stock units ("RSUs") were granted to Mr. Averick upon his election to the Issuer's board of directors on November 3, 2018. The RSUs vested on May 3, 2019 and give Mr. Averick the right to receive cash equal to the closing sale price per share of common stock on May 3, 2019 times the number of shares underlying the RSUs. In accordance with the terms of the award, Mr. Averick has settled 100% of such RSUs for cash. Read SEC document |
| May 03, 2019 Filed May 7, 2019 16:03 UTC | GULF ISLAND FABRICATION INC GIFI · Entity 69271 | Disposition to issuerCommon Stock | 1,875 | $8.38 | $15,712.50 |
DisclosureSEC source: 0001567619-19-010004 · doc1.xml · nonDerivative · entry 3 Averick Robert M · CIK 0001343599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · balance_after: Restricted stock units ("RSUs") were granted to Mr. Averick upon his election to the Issuer's board of directors on November 3, 2018. The RSUs vested on May 3, 2019 and give Mr. Averick the right to receive cash equal to the closing sale price per share of common stock on May 3, 2019 times the number of shares underlying the RSUs. In accordance with the terms of the award, Mr. Averick has settled 100% of such RSUs for cash. F3 · ownership.direct: Restricted stock units ("RSUs") were granted to Mr. Averick upon his election to the Issuer's board of directors on November 3, 2018. The RSUs vested on May 3, 2019 and give Mr. Averick the right to receive cash equal to the closing sale price per share of common stock on May 3, 2019 times the number of shares underlying the RSUs. In accordance with the terms of the award, Mr. Averick has settled 100% of such RSUs for cash. Read SEC document |
| May 03, 2019 Filed May 7, 2019 16:03 UTC | GULF ISLAND FABRICATION INC GIFI · Entity 69271 | Exercise / conversionCommon Stock | 1,875 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-010004 · doc1.xml · nonDerivative · entry 2 Averick Robert M · CIK 0001343599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,875 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 · price: Restricted stock units ("RSUs") were granted to Mr. Averick upon his election to the Issuer's board of directors on November 3, 2018. The RSUs vested on May 3, 2019 and give Mr. Averick the right to receive cash equal to the closing sale price per share of common stock on May 3, 2019 times the number of shares underlying the RSUs. In accordance with the terms of the award, Mr. Averick has settled 100% of such RSUs for cash. F3 · balance_after: Restricted stock units ("RSUs") were granted to Mr. Averick upon his election to the Issuer's board of directors on November 3, 2018. The RSUs vested on May 3, 2019 and give Mr. Averick the right to receive cash equal to the closing sale price per share of common stock on May 3, 2019 times the number of shares underlying the RSUs. In accordance with the terms of the award, Mr. Averick has settled 100% of such RSUs for cash. F3 · ownership.direct: Restricted stock units ("RSUs") were granted to Mr. Averick upon his election to the Issuer's board of directors on November 3, 2018. The RSUs vested on May 3, 2019 and give Mr. Averick the right to receive cash equal to the closing sale price per share of common stock on May 3, 2019 times the number of shares underlying the RSUs. In accordance with the terms of the award, Mr. Averick has settled 100% of such RSUs for cash. Read SEC document |
| March 06, 2019 Filed Mar 8, 2019 21:03 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | GrantDirector Stock Option (Right to Buy) · Derivative | 6,000 | Not disclosed Strike: $4.77 | Not disclosed |
DisclosureSEC source: 0001567619-19-006481 · doc1.xml · derivative · entry 1 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2029-03-06 F1 · security: Mr. Averick is a Portfolio Manager at Kokino LLC ("Kokino"), which is a single-family office. Mr. Averick holds an indirect minority interest in shares of the issuer's Common Stock through his minority ownership of one of Kokino's clients, Piton Capital Partners LLC ("Piton") (which ownership may be held directly and indirectly through Piton's managing member, Piton Capital Management LLC ("PCM")). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based on the performance of shares of Common Stock held by Kokino's clients. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). Kokino is the managing member of PCM, and Mr. Averick's and Piton's beneficial ownership of Common Stock is reported in a Schedule 13D filed on January 25, 2016 (as amended most recently on November 27, 2018). F3 · price: Price omitted because the transaction is a grant of a stock option. F2 · derivative.exercise_date: The option vests on September 6, 2019. F4 · balance_after: This is the number of derivative securities, with the same terms and conditions, following the reported transaction. Total of all derivative securities, including those with different terms and conditions, held following the reported transaction is 24,000. Read SEC document |
| November 03, 2018 Filed Nov 6, 2018 17:27 UTC | GULF ISLAND FABRICATION INC GIFI · Entity 69271 | GrantRestricted Stock Units · Derivative | 1,875 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-18-005186 · doc1.xml · derivative · entry 2 Averick Robert M · CIK 0001343599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,875 Underlying: Common Stock · 1,875 shares Expires not disclosed F3 · derivative.exercise_price: Restricted stock units ("RSUs") were granted to Mr. Averick upon his election to the Issuer's board of directors on November 3, 2018. The RSUs give Mr. Averick the right to receive cash equal to the closing sale price per share of common stock on the vesting date times the number of shares underlying the RSUs. F4 · derivative.exercise_date: The RSUs will vest in full on May 3, 2019 provided that Mr. Averick is serving on the Issuer's board of directors at that time. F4 · derivative.expiration_date: The RSUs will vest in full on May 3, 2019 provided that Mr. Averick is serving on the Issuer's board of directors at that time. Read SEC document |
| May 11, 2018 Filed May 15, 2018 17:36 UTC | AMTECH SYSTEMS INC ASYS · Entity 6122 | GrantDirector Stock Option (Right to Buy) · Derivative | 6,000 | Not disclosed Strike: $7.40 | Not disclosed |
DisclosureSEC source: 0001140361-18-023755 · doc1.xml · derivative · entry 1 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2028-05-11 F1 · security: Mr. Averick is a Portfolio Manager at Kokino LLC ("Kokino"), which is a single-family office. Mr. Averick holds an indirect minority interest in shares of the issuer's $.01 par value common stock ("Common Stock") through his minority ownership of one of Kokino's clients, Piton Capital Partners LLC ("Piton") (which ownership may be held directly and indirectly through Piton's managing member, Piton Capital Management LLC ("PCM")). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based on the performance of shares of Common Stock held by Kokino's clients. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). Kokino is the managing member of PCM, and Mr. Averick's and Piton's beneficial ownership of Common Stock is reported in a Schedule 13D filed on January 25, 2016 (as amended on August 24, 2017 and December 18, 2017) F3 · price: Price omitted because the transaction is a grant of a stock option. F2 · derivative.exercise_date: The option vests on November 12, 2018. F4 · balance_after: This is the number of derivative securities, with the same terms and conditions, following the reported transaction. Total of all derivative securities, including those with different terms and conditions, held following the reported transaction is 18,000. Read SEC document |
| March 20, 2018 Filed Mar 22, 2018 17:08 UTC | KEY TECHNOLOGY INC KTEC · Entity 168119 | OtherCommon Stock | 25,000 | $26.75 | $668,750.00 |
DisclosureSEC source: 0001140361-18-014682 · doc1.xml · nonDerivative · entry 1 Averick Robert M · CIK 0001343599 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · balance_after: Robert Averick also reports beneficial ownership of the Issuer's common stock pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D filed jointly by Leslie J. Schreyer, as Trustee under Trust Agreement dated December 23, 1989 FBO the issue of Jonathan D. Sackler (the "Trust"), M3C Holdings LLC ("M3C"), Mr. Averick and Piton Capital Partners LLC ("Piton"), with the SEC on June 30, 2016, as amended by a Schedule 13D Amendment No. 1 filed on January 31, 2018. The Trust, M3C and Mr. Averick are members of Piton. Piton's managing member is Piton Capital Management LLC ("PCM"). PCM's managing member is Kokino LLC ("Kokino"), and Kokino is Piton's trading manager. Mr. Averick manages the Trust's, M3C's and Piton's investments in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an economic interest in Piton (which interest may be held directly and, from time to time, indirectly through PCM). F2 · balance_after: Mr. Averick's incentive compensation as an employee of Kokino, which is calculated in Kokino's discretion, may be based, among other things, on the performance of Shares held by the Trust, M3C and Piton. Such compensation may be paid in cash and/or by way of increasing Mr. Averick's minority interest in Piton (either directly or indirectly through PCM). 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.