person · Reporting owner
Wasserman Frederick Gerald
Disclosed activity across 5 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| DLH Holdings Corp.DLHC · Entity 7088 | Director | October 01, 2026 | October 05, 2026 |
| Marker Therapeutics, Inc.MRKR · Entity 7609 | Director | June 08, 2021 | June 10, 2021 |
| NATIONAL HOLDINGS CORPNHLD · Entity 142239 | Director | September 12, 2016 | September 13, 2016 |
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.
DLH Holdings Corp.
Report date October 01, 2026 · Filed October 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 297,878 |
Reported balance
After 2026-10-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-10-01 · Grant · Acquired 20,108 · Balance 297,878 F1: Grant of restricted stock units pursuant to the Company's 2025 Equity Incentive Plan. The award vests in full on September 30, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock units pursuant to the Company's 2025 Equity Incentive Plan. The award vests in full on September 30, 2027.
Marker Therapeutics, Inc.
Report date June 08, 2021 · Filed June 10, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 65,223 |
Reported balance
After 2021-06-08 transaction · row 1
1 source rowRow 1 · 2021-06-08 · Grant · Acquired 12,658 · Balance 65,223 F1: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested common stock under the Company's 2020 Equity Incentive Plan and based on the closing price of $3.16 per share, on the day immediately preceding the date of the Company's 2021 annual meeting. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested common stock under the Company's 2020 Equity Incentive Plan and based on the closing price of $3.16 per share, on the day immediately preceding the date of the Company's 2021 annual meeting.
NATIONAL HOLDINGS CORP
Report date September 12, 2016 · Filed September 13, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.02 per shareSEC Table I · non-derivative | Direct | 5,092 |
Reported balance
After 2016-09-12 transaction · row 1
1 source rowRow 1 · 2016-09-12 · Other · Disposed 5,093 · Balance 5,092 |
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
MAM SOFTWARE GROUP, INC.
Report date October 21, 2019 · Filed October 21, 2019
Section 16 reporting ended · disclosed 2019-10-21. 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 2019-10-21 transaction · row 1
1 source rowRow 1 · 2019-10-21 · Disposition to issuer · Disposed 150,669 · Balance 0 F1: On October 21, 2019, Kerridge Commercial Systems Group Limited, an English private limited company ("Parent") indirectly acquired the Issuer in an all-cash merger pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2019 (the "Merger Agreement"), among the Issuer, Parent and Chickadee Holdings Inc., a Delaware corporation and indirect wholly owned subsidiary of Parent ("Merger Sub"). In accordance with terms of the Merger Agreement, Merger Sub merged with and into Issuer (the "Merger"), with the Issuer surviving the Merger as an indirect wholly-owned subsidiary of Parent. The Merger is more fully described in the Issuer's information statement filed with the Securities and Exchange Commission on September 30, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: On October 21, 2019, Kerridge Commercial Systems Group Limited, an English private limited company ("Parent") indirectly acquired the Issuer in an all-cash merger pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2019 (the "Merger Agreement"), among the Issuer, Parent and Chickadee Holdings Inc., a Delaware corporation and indirect wholly owned subsidiary of Parent ("Merger Sub"). In accordance with terms of the Merger Agreement, Merger Sub merged with and into Issuer (the "Merger"), with the Issuer surviving the Merger as an indirect wholly-owned subsidiary of Parent. The Merger is more fully described in the Issuer's information statement filed with the Securities and Exchange Commission on September 30, 2019.
SMTC CORP
Report date April 05, 2021 · Filed April 06, 2021
Section 16 reporting ended · disclosed 2021-04-06. 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 2021-04-05 transaction · row 1
1 source rowRow 1 · 2021-04-05 · Disposition to issuer · Disposed 80,320 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 3, 2021, by and among EMS Silver Inc. ("EMS Silver"), EMS Silver Merger Sub Inc., a wholly owned subsidiary of EMS Silver, and the issuer, pursuant to which, at the effective time of the merger, the outstanding shares of the issuers common stock were converted into the right to receive $6.044 per share in cash, without interest. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.80 · Expires 2024-12-11 | Direct | 0 |
Reported balance
After 2021-04-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-04-05 · Disposition to issuer · Disposed 20,230 · Balance 0 F2: Disposed of pursuant to the Merger Agreement, pursuant to which, at the effective time of the merger, the option was cancelled in exchange for the right to receive $6.044 per share in cash, without interest, less the per share exercise price. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 3, 2021, by and among EMS Silver Inc. ("EMS Silver"), EMS Silver Merger Sub Inc., a wholly owned subsidiary of EMS Silver, and the issuer, pursuant to which, at the effective time of the merger, the outstanding shares of the issuers common stock were converted into the right to receive $6.044 per share in cash, without interest.
F2: Disposed of pursuant to the Merger Agreement, pursuant to which, at the effective time of the merger, the option was cancelled in exchange for the right to receive $6.044 per share in cash, without interest, less the per share exercise price.
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 01, 2026 Filed Oct 5, 2026 21:59 UTC | DLH Holdings Corp. DLHC · Entity 7088 | GrantCommon Stock | 20,108 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-065096 · wk-form4_1791237560.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 297,878 F1 · security: Grant of restricted stock units pursuant to the Company's 2025 Equity Incentive Plan. The award vests in full on September 30, 2027. Read SEC document |
| October 01, 2025 Filed Oct 2, 2025 20:55 UTC | DLH Holdings Corp. DLHC · Entity 7088 | GrantCommon Stock | 12,910 | $0.00 | $0.00 |
DisclosureSEC source: 0000785557-25-000136 · wk-form4_1759438508.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 277,770 F1 · security: Grant of restricted stock units pursuant to the Company's 2025 Equity Incentive Plan. The award vests in full on September 30, 2026. Read SEC document |
| October 01, 2024 Filed Oct 2, 2024 21:25 UTC | DLH Holdings Corp. DLHC · Entity 7088 | GrantCommon Stock | 12,910 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-041968 · wk-form4_1727904335.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 264,860 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2025 Read SEC document |
| October 01, 2023 Filed Oct 3, 2023 20:18 UTC | DLH Holdings Corp. DLHC · Entity 7088 | GrantCommon Stock | 10,111 | $0.00 | $0.00 |
DisclosureSEC source: 0000785557-23-000073 · wk-form4_1696364326.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 251,950 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2024 Read SEC document |
| October 01, 2022 Filed Oct 4, 2022 20:05 UTC | DLH Holdings Corp. DLHC · Entity 7088 | GrantCommon Stock | 9,617 | $0.00 | $0.00 |
DisclosureSEC source: 0000785557-22-000024 · wf-form4_166491369017469.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,839 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2023. Read SEC document |
| March 02, 2022 Filed Mar 2, 2022 21:30 UTC | DLH Holdings Corp. DLHC · Entity 7088 | SaleCommon Stock | 1,885 | $17.50 | $32,987.50 |
DisclosureSEC source: 0000785557-22-000006 · wf-form4_164625661678226.xml · nonDerivative · entry 3 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,222 F1 · balance_after: Includes 8,918 unvested restricted stock units granted pursuant to the Company's 2016 Omnibus Equity Incentive Plan, which vest September 30, 2022. Read SEC document |
| March 01, 2022 Filed Mar 2, 2022 21:30 UTC | DLH Holdings Corp. DLHC · Entity 7088 | SaleCommon Stock | 50 | $17.50 | $875.00 |
DisclosureSEC source: 0000785557-22-000006 · wf-form4_164625661678226.xml · nonDerivative · entry 2 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,107 F1 · balance_after: Includes 8,918 unvested restricted stock units granted pursuant to the Company's 2016 Omnibus Equity Incentive Plan, which vest September 30, 2022. Read SEC document |
| February 28, 2022 Filed Mar 2, 2022 21:30 UTC | DLH Holdings Corp. DLHC · Entity 7088 | SaleCommon Stock | 5,500 | $17.50 | $96,250.00 |
DisclosureSEC source: 0000785557-22-000006 · wf-form4_164625661678226.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,157 F1 · balance_after: Includes 8,918 unvested restricted stock units granted pursuant to the Company's 2016 Omnibus Equity Incentive Plan, which vest September 30, 2022. Read SEC document |
| February 10, 2022 Filed Feb 11, 2022 21:16 UTC | DLH Holdings Corp. DLHC · Entity 7088 | SaleCommon Stock | 2,565 | $18.00 | $46,170.00 |
DisclosureSEC source: 0000785557-22-000005 · wf-form4_164461415230994.xml · nonDerivative · entry 2 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,657 F2 · balance_after: Includes 8,918 unvested restricted stock units granted pursuant to the Company's 2016 Omnibus Equity Incentive Plan, which vest September 30, 2022. Read SEC document |
| February 09, 2022 Filed Feb 11, 2022 21:16 UTC | DLH Holdings Corp. DLHC · Entity 7088 | SaleCommon Stock | 15,000 | $17.92 | $268,800.00 |
DisclosureSEC source: 0000785557-22-000005 · wf-form4_164461415230994.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,222 F1 · price: The price reported in Column 4 of Table 1 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $17.50 to $18.15, inclusive. The reporting person undertakes to provide to the corporation, any security holder of the corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 1 to this Form 4. F2 · balance_after: Includes 8,918 unvested restricted stock units granted pursuant to the Company's 2016 Omnibus Equity Incentive Plan, which vest September 30, 2022. Read SEC document |
| October 01, 2021 Filed Oct 5, 2021 20:17 UTC | DLH Holdings Corp. DLHC · Entity 7088 | GrantCommon Stock | 8,918 | $0.00 | $0.00 |
DisclosureSEC source: 0000785557-21-000018 · wf-form4_163346505738309.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,222 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2022. Read SEC document |
| June 08, 2021 Filed Jun 10, 2021 22:57 UTC | Marker Therapeutics, Inc. MRKR · Entity 7609 | GrantCommon Stock | 12,658 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-039635 · doc4.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,223 F1 · shares: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested common stock under the Company's 2020 Equity Incentive Plan and based on the closing price of $3.16 per share, on the day immediately preceding the date of the Company's 2021 annual meeting. Read SEC document |
| May 18, 2021 Filed May 20, 2021 20:32 UTC | Marker Therapeutics, Inc. MRKR · Entity 7609 | PurchaseCommon Stock | 10,000 | $2.41 | $24,098.00 |
DisclosureSEC source: 0001209191-21-034427 · doc4.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,565 Read SEC document |
| April 05, 2021 Filed Apr 6, 2021 17:00 UTC | SMTC CORP SMTX · Entity 140438 | Disposition to issuerStock Option (right to buy) · Derivative | 20,230 | $4.24 Strike: $1.80 | $85,775.20 |
DisclosureSEC source: 0001209191-21-025686 · doc4.xml · derivative · entry 2 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,230 shares Expires 2024-12-11 F2 · kind: Disposed of pursuant to the Merger Agreement, pursuant to which, at the effective time of the merger, the option was cancelled in exchange for the right to receive $6.044 per share in cash, without interest, less the per share exercise price. F2 · price: Disposed of pursuant to the Merger Agreement, pursuant to which, at the effective time of the merger, the option was cancelled in exchange for the right to receive $6.044 per share in cash, without interest, less the per share exercise price. Read SEC document |
| April 05, 2021 Filed Apr 6, 2021 17:00 UTC | SMTC CORP SMTX · Entity 140438 | Disposition to issuerCommon Stock | 80,320 | $6.04 | $485,454.08 |
DisclosureSEC source: 0001209191-21-025686 · doc4.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 3, 2021, by and among EMS Silver Inc. ("EMS Silver"), EMS Silver Merger Sub Inc., a wholly owned subsidiary of EMS Silver, and the issuer, pursuant to which, at the effective time of the merger, the outstanding shares of the issuers common stock were converted into the right to receive $6.044 per share in cash, without interest. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:20 UTC | DLH Holdings Corp. DLHC · Entity 7088 | GrantCommon Stock | 10,473 | $0.00 | $0.00 |
DisclosureSEC source: 0000785557-20-000010 · wf-form4_160192918846106.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,304 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2021. Read SEC document |
| May 19, 2020 Filed Feb 12, 2021 22:17 UTC | Marker Therapeutics, Inc. MRKR · Entity 7609 | GrantCommon Stock | 17,022 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-010241 · doc5.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,565 F1 · shares: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $2.35 per share, on the day immediately preceding the date of the Company's 2019 annual meeting. Read SEC document |
| December 10, 2019 Filed Dec 12, 2019 21:23 UTC | SMTC CORP SMTX · Entity 140438 | GrantCommon Stock | 7,082 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-024356 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,320 F1 · shares: Represents restricted stock granted pursuant to the issuer's 2019 Incentive Plan, which has a forfeiture schedule if certain time-based service conditions are not met over a 12-month period in 2020. Read SEC document |
| November 07, 2019 Filed Nov 12, 2019 21:22 UTC | DLH Holdings Corp. DLHC · Entity 7088 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-013981 · wf-form4_157359372633038.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,831 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2020. Read SEC document |
| October 21, 2019 Filed Oct 21, 2019 18:47 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | Disposition to issuerCommon Stock | 150,669 | $12.12 | $1,826,108.28 |
DisclosureSEC source: 0001437749-19-020387 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On October 21, 2019, Kerridge Commercial Systems Group Limited, an English private limited company ("Parent") indirectly acquired the Issuer in an all-cash merger pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2019 (the "Merger Agreement"), among the Issuer, Parent and Chickadee Holdings Inc., a Delaware corporation and indirect wholly owned subsidiary of Parent ("Merger Sub"). In accordance with terms of the Merger Agreement, Merger Sub merged with and into Issuer (the "Merger"), with the Issuer surviving the Merger as an indirect wholly-owned subsidiary of Parent. The Merger is more fully described in the Issuer's information statement filed with the Securities and Exchange Commission on September 30, 2019. Read SEC document |
| October 15, 2019 Filed Oct 16, 2019 19:51 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | GrantCommon Stock | 10,862 | $8.87 | $96,345.94 |
DisclosureSEC source: 0001437749-19-020150 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,669 F1 · shares: The shares are the remaining shares that have been awarded to the reporting person, in accordance with the terms of the issuer's 2017 Equity Incentive Plan (the "2017 Plan") and were received as compensation for the reporting person's service as a member of the issuer's board of directors, pursuant to the issuer's 2017 Plan. Read SEC document |
| October 02, 2019 Filed Oct 3, 2019 11:12 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | GrantCommon Stock | 1,702 | $8.07 | $13,735.14 |
DisclosureSEC source: 0001437749-19-019562 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,807 F1 · shares: The shares were received as compensation for the reporting person's service as a member of the issuer's board of directors for the 1st quarter of the fiscal year ending June 30, 2020, pursuant to the issuer's 2017 Equity Incentive Plan. Read SEC document |
| July 08, 2019 Filed Jul 9, 2019 14:29 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | GrantCommon Stock | 974 | $6.98 | $6,798.52 |
DisclosureSEC source: 0001437749-19-013680 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,105 F1 · shares: The shares were received as compensation for the reporting person's service as a member of the issuer's board of directors for the 4th quarter of the fiscal year ending June 30, 2019, pursuant to the issuer's 2017 Equity Incentive Plan. Read SEC document |
| June 20, 2019 Filed Jun 24, 2019 17:01 UTC | SMTC CORP SMTX · Entity 140438 | OtherSubscription Rights (right to buy) · Derivative | 7,960 | $0.00 Strike: $3.14 | $0.00 |
DisclosureSEC source: 0001437749-19-012564 · rdgdoc.xml · derivative · entry 2 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,960 shares Expires 2019-06-20 Read SEC document |
| June 20, 2019 Filed Jun 24, 2019 17:01 UTC | SMTC CORP SMTX · Entity 140438 | OtherCommon Stock | 7,960 | $3.14 | $24,994.40 |
DisclosureSEC source: 0001437749-19-012564 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,238 Read SEC document |
| May 09, 2019 Filed May 13, 2019 20:01 UTC | Marker Therapeutics, Inc. MRKR · Entity 7609 | GrantCommon Stock | 7,260 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-025602 · tv521406_4.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,543 F1 · shares: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $5.51 per share, on the day immediately preceding the date of the Company's 2019 annual meeting. Read SEC document |
| April 03, 2019 Filed Apr 4, 2019 11:08 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | GrantCommon Stock | 974 | $6.98 | $6,798.52 |
DisclosureSEC source: 0001437749-19-006578 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,131 F1 · shares: The shares were received as compensation for the reporting person's service as a member of the issuer's board of directors for the 3rd quarter of the fiscal year ending June 30, 2019, pursuant to the issuer's 2017 Equity Incentive Plan. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 09:19 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | GrantCommon Stock | 974 | $6.98 | $6,798.52 |
DisclosureSEC source: 0001437749-19-000298 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,157 F1 · shares: The shares were received as compensation for the reporting person's service as a member of the issuer's board of directors for the 2nd quarter of the fiscal year ending June 30, 2019, pursuant to the issuer's 2017 Equity Incentive Plan. Read SEC document |
| December 19, 2018 Filed Dec 21, 2018 21:13 UTC | DLH Holdings Corp. DLHC · Entity 7088 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-18-015364 · wf-form4_154542679921469.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,831 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2019. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 19:59 UTC | SMTC CORP SMTX · Entity 140438 | GrantCommon Stock | 5,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-022067 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,278 F1 · balance_after: The reported transaction involved the reporting person's receipt of a grant of 5,420 shares of restricted stock under SMTC Corp's 2010 Incentive Plan. The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 5,420 newly awarded shares of restricted stock, 12,500 previously reported restricted stock units, and 47,358 shares of common stock. Read SEC document |
| November 09, 2018 Filed Nov 13, 2018 17:16 UTC | DLH Holdings Corp. DLHC · Entity 7088 | GrantCommon Stock | 15,417 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-18-014235 · wf-form4_154212937707334.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,831 F1 · shares: Grant of restricted stock pursuant to the Company's 2016 Omnibus Equity Incentive Plan. Read SEC document |
| October 16, 2018 Filed Oct 17, 2018 12:45 UTC | Marker Therapeutics, Inc. TPIV · Entity 7609 | GrantCommon Stock | 5,168 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-054101 · tv504932_4.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,283 F1 · shares: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $7.74 per share, on the day immediately preceding the date of the Company's 2018 annual meeting. Read SEC document |
| October 01, 2018 Filed Oct 2, 2018 19:52 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | GrantCommon Stock | 978 | $6.97 | $6,816.66 |
DisclosureSEC source: 0001437749-18-017844 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,183 F1 · shares: The shares were received as compensation for the reporting person's service as a member of the issuer's board of directors for the 1st quarter of the fiscal year ending June 30, 2019, pursuant to the issuer's 2017 Equity Incentive Plan. Read SEC document |
| August 28, 2018 Filed Aug 31, 2018 12:21 UTC | SMTC CORP SMTX · Entity 140438 | Exercise / conversionSubscription Rights (right to buy) · Derivative | 11,839 | $0.00 Strike: $2.25 | $0.00 |
DisclosureSEC source: 0001437749-18-016460 · rdgdoc.xml · derivative · entry 4 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,839 shares Expires 2018-08-28 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 |
| August 28, 2018 Filed Aug 31, 2018 12:21 UTC | SMTC CORP SMTX · Entity 140438 | Exercise / conversionCommon Stock | 11,839 | $2.25 | $26,637.75 |
DisclosureSEC source: 0001437749-18-016460 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,358 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Transaction represents 11,839 common shares acquired via the rights offering for a purchase price of $2.25 a share. Read SEC document |
| July 05, 2018 Filed Jul 9, 2018 10:30 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | GrantCommon Stock | 1,127 | $5.99 | $6,750.73 |
DisclosureSEC source: 0001437749-18-013079 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,205 F1 · shares: The shares were received as compensation for the reporting person's service as a member of the issuer's board of directors for the 4th quarter of the fiscal year ending June 30, 2018, pursuant to the issuer's 2017 Equity Incentive Plan. Read SEC document |
| June 06, 2018 Filed Jun 8, 2018 20:49 UTC | DLH Holdings Corp. DLHC · Entity 7088 | SaleCommon Stock | 3,000 | $5.36 | $16,080.00 |
DisclosureSEC source: 0001628280-18-007762 · wf-form4_152849097892955.xml · nonDerivative · entry 2 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,414 Read SEC document |
| June 06, 2018 Filed Jun 8, 2018 20:49 UTC | DLH Holdings Corp. DLHC · Entity 7088 | SaleCommon Stock | 10,000 | $5.35 | $53,500.00 |
DisclosureSEC source: 0001628280-18-007762 · wf-form4_152849097892955.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,414 Read SEC document |
| May 29, 2018 Filed May 30, 2018 11:54 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | SaleCommon Stock | 450 | $8.23 | $3,703.50 |
DisclosureSEC source: 0001437749-18-010897 · rdgdoc.xml · nonDerivative · entry 7 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,078 Read SEC document |
| May 29, 2018 Filed May 30, 2018 11:54 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | SaleCommon Stock | 149 | $8.22 | $1,224.78 |
DisclosureSEC source: 0001437749-18-010897 · rdgdoc.xml · nonDerivative · entry 6 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,529 Read SEC document |
| May 29, 2018 Filed May 30, 2018 11:54 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | SaleCommon Stock | 750 | $8.21 | $6,157.50 |
DisclosureSEC source: 0001437749-18-010897 · rdgdoc.xml · nonDerivative · entry 5 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,677 Read SEC document |
| May 25, 2018 Filed May 30, 2018 11:54 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | SaleCommon Stock | 2 | $8.23 | $16.46 |
DisclosureSEC source: 0001437749-18-010897 · rdgdoc.xml · nonDerivative · entry 4 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,427 Read SEC document |
| May 25, 2018 Filed May 30, 2018 11:54 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | SaleCommon Stock | 200 | $8.22 | $1,644.00 |
DisclosureSEC source: 0001437749-18-010897 · rdgdoc.xml · nonDerivative · entry 3 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,429 Read SEC document |
| May 25, 2018 Filed May 30, 2018 11:54 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | SaleCommon Stock | 600 | $8.21 | $4,926.00 |
DisclosureSEC source: 0001437749-18-010897 · rdgdoc.xml · nonDerivative · entry 2 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,629 Read SEC document |
| May 25, 2018 Filed May 30, 2018 11:54 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | SaleCommon Stock | 3,245 | $8.20 | $26,609.00 |
DisclosureSEC source: 0001437749-18-010897 · rdgdoc.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,229 Read SEC document |
| May 18, 2018 Filed May 21, 2018 20:34 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | SaleCommon Stock | 200 | $8.11 | $1,622.00 |
DisclosureSEC source: 0001437749-18-010467 · rdgdoc.xml · nonDerivative · entry 11 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,474 Read SEC document |
| May 18, 2018 Filed May 21, 2018 20:34 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | SaleCommon Stock | 1 | $8.13 | $8.13 |
DisclosureSEC source: 0001437749-18-010467 · rdgdoc.xml · nonDerivative · entry 10 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,674 Read SEC document |
| May 18, 2018 Filed May 21, 2018 20:34 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | SaleCommon Stock | 203 | $8.12 | $1,648.36 |
DisclosureSEC source: 0001437749-18-010467 · rdgdoc.xml · nonDerivative · entry 9 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,675 Read SEC document |
| May 18, 2018 Filed May 21, 2018 20:34 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | SaleCommon Stock | 100 | $8.10 | $810.00 |
DisclosureSEC source: 0001437749-18-010467 · rdgdoc.xml · nonDerivative · entry 8 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,878 Read SEC document |
| May 18, 2018 Filed May 21, 2018 20:34 UTC | MAM SOFTWARE GROUP, INC. MAMS · Entity 154284 | SaleCommon Stock | 600 | $8.15 | $4,890.00 |
DisclosureSEC source: 0001437749-18-010467 · rdgdoc.xml · nonDerivative · entry 7 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,978 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.