Waterfield John Randall

SEC source: 0001477932-25-004549 · form4.xml · derivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common stock · 50,000 shares

Expires 2035-06-10

F1 · derivative.exercise_price: The closing price of the Company's common stock as reported on the NYSE American on June 10, 2025.

F2 · derivative.exercise_date: Options were granted on June 10, 2025, and became fully vested on that date.

SEC source: 0001477932-25-000284 · form4.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 936,779

F1 · balance_after: Includes 50,000 restricted common stock that were granted as compensation for services as a director of the Company and will cliff vest at the end of a three-year period on September 19, 2026.

SEC source: 0001477932-24-003503 · form4.xml · nonDerivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 805,000

F1 · balance_after: Includes 50,000 restricted common stock that were granted as compensation for services as a director of the Company and will cliff vest at the end of a three-year period on September 19, 2026.

SEC source: 0001477932-24-003503 · form4.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 655,000

F1 · balance_after: Includes 50,000 restricted common stock that were granted as compensation for services as a director of the Company and will cliff vest at the end of a three-year period on September 19, 2026.

SEC source: 0001477932-24-003399 · form4.xml · nonDerivative · entry 3

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 505,000

F1 · balance_after: Includes 50,000 restricted common stock that were granted as compensation for services as a director of the Company and will cliff vest at the end of a three-year period on September 19, 2026.

SEC source: 0001477932-24-003399 · form4.xml · nonDerivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 454,121

F1 · balance_after: Includes 50,000 restricted common stock that were granted as compensation for services as a director of the Company and will cliff vest at the end of a three-year period on September 19, 2026.

SEC source: 0001477932-24-003399 · form4.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 355,000

F1 · balance_after: Includes 50,000 restricted common stock that were granted as compensation for services as a director of the Company and will cliff vest at the end of a three-year period on September 19, 2026.

SEC source: 0001477932-24-003302 · form4.xml · nonDerivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 255,000

F1 · balance_after: Includes 50,000 restricted common stock that were granted as compensation for services as a director of the Company and will cliff vest at the end of a three-year period on September 19, 2026.

SEC source: 0001477932-24-003302 · form4.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,000

F1 · balance_after: Includes 50,000 restricted common stock that were granted as compensation for services as a director of the Company and will cliff vest at the end of a three-year period on September 19, 2026.

SEC source: 0001477932-23-008188 · form4.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

F1 · shares: The 50,000 restricted common stock were granted as compensation for services as a director of the Company and will cliff vest at the end of a three-year period on September 19, 2026.

F2 · price: The closing price of the Company's common stock as reported on the NYSE American on September 19, 2023.

SEC source: 0001213900-22-025663 · ownership.xml · derivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,143,858

Underlying: Class A Common Stock · 46,240 shares

Expires not disclosed

F1 · security: These are warrants included in the units sold in the Issuer's initial public offering.

F2 · derivative.exercise_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

F2 · derivative.expiration_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

SEC source: 0001213900-22-023774 · ownership.xml · derivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,097,618

Underlying: Class A Common Stock · 11,265 shares

Expires not disclosed

F1 · security: These are warrants included in the units sold in the Issuer's initial public offering.

F2 · derivative.exercise_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

F2 · derivative.expiration_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

SEC source: 0001213900-22-023774 · ownership.xml · derivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,086,353

Underlying: Class A Common Stock · 7,135 shares

Expires not disclosed

F1 · security: These are warrants included in the units sold in the Issuer's initial public offering.

F2 · derivative.exercise_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

F2 · derivative.expiration_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

SEC source: 0001213900-22-022856 · ownership.xml · derivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,079,218

Underlying: Class A Common Stock · 34,250 shares

Expires not disclosed

F1 · security: These are warrants included in the units sold in the Issuer's initial public offering.

F2 · derivative.exercise_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

F2 · derivative.expiration_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

SEC source: 0001213900-22-022856 · ownership.xml · derivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,044,968

Underlying: Class A Common Stock · 3,301 shares

Expires not disclosed

F1 · security: These are warrants included in the units sold in the Issuer's initial public offering.

F2 · derivative.exercise_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

F2 · derivative.expiration_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

SEC source: 0001213900-22-010807 · ownership.xml · derivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,041,667

Underlying: Class A Common Stock · 57,559 shares

Expires not disclosed

F1 · security: These are warrants included in the units sold in the Issuer's initial public offering.

F2 · derivative.exercise_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

F2 · derivative.expiration_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

SEC source: 0001213900-22-010807 · ownership.xml · derivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 984,108

Underlying: Class A Common Stock · 984,108 shares

Expires not disclosed

F1 · security: These are warrants included in the units sold in the Issuer's initial public offering.

F3 · price: Represents the weighted average purchase price of the warrants on such date. The warrants were acquired in two transactions of 8,745 warrants and 975,363 warrants each, at $0.47 per warrant and $0.49 per warrant, respectively.

F2 · derivative.exercise_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

F2 · derivative.expiration_date: Each whole warrant is exercisable to purchase one share of the Issuer's Class A common stock, par value $0.0001 per share ("Class A Common Stock") at an exercise price of $11.50 during the period commencing on the later of (i) twelve months from the date of the closing of the Issuer's initial public offering or (ii) 30 days following the consummation of the Issuer's initial business combination (the "Business Combination"), and expiring on the fifth anniversary of the consummation of the Business Combination or earlier upon redemption or liquidation.

SEC source: 0001209191-21-025785 · doc4.xml · derivative · entry 2

Waterfield John Randall · CIK 0001524368 · 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.

SEC source: 0001209191-21-025785 · doc4.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · 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.

SEC source: 0000884144-20-000013 · wf-form4_158320102683833.xml · derivative · entry 3

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2020-06-14

F1 · kind: The two reported transactions involved an amendment of an outstanding option to extend the expiration date resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 31, 2015 and is fully vested.

F1 · price: The two reported transactions involved an amendment of an outstanding option to extend the expiration date resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 31, 2015 and is fully vested.

F1 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the expiration date resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 31, 2015 and is fully vested.

SEC source: 0000884144-20-000013 · wf-form4_158320102683833.xml · derivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2020-03-31

F1 · kind: The two reported transactions involved an amendment of an outstanding option to extend the expiration date resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 31, 2015 and is fully vested.

F1 · price: The two reported transactions involved an amendment of an outstanding option to extend the expiration date resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 31, 2015 and is fully vested.

F1 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the expiration date resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 31, 2015 and is fully vested.

SEC source: 0001437749-19-024355 · rdgdoc.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,019,791

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.

SEC source: 0000884144-19-000038 · wf-form4_157438444753784.xml · nonDerivative · entry 5

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,786

SEC source: 0000884144-19-000038 · wf-form4_157438444753784.xml · nonDerivative · entry 4

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,947

SEC source: 0000884144-19-000038 · wf-form4_157438444753784.xml · nonDerivative · entry 3

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,786

SEC source: 0000884144-19-000038 · wf-form4_157438444753784.xml · nonDerivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,136

SEC source: 0000884144-19-000038 · wf-form4_157438444753784.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,136

SEC source: 0000884144-19-000025 · wf-form4_156763692297781.xml · derivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2024-09-02

F1 · derivative.exercise_date: Such options will vest as follows: 1/3 on the first anniversary of the grant date and the remaining 2/3rds will vest over the following 2 year period in substantially equal monthly installments.

SEC source: 0001437749-19-012563 · rdgdoc.xml · derivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 112,429 shares

Expires 2019-06-20

SEC source: 0001437749-19-012563 · rdgdoc.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,012,709

SEC source: 0001437749-19-005636 · rdgdoc.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900,280

F1 · balance_after: Transaction represents 56,000 common shares acquired for an average purchase price of $3.77 a share.

SEC source: 0001437749-18-022064 · rdgdoc.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 844,280

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 units, 12,500 previously reported restricted stock units, and 826,360 shares of common stock.

SEC source: 0001437749-18-016464 · rdgdoc.xml · derivative · entry 4

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 287,118 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.

SEC source: 0001437749-18-016464 · rdgdoc.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 826,360

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 287,118 common shares acquired via the rights offering for a purchase price of $2.25 a share.

SEC source: 0001185185-18-001586 · ownership.xml · derivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock ($0.01 par value) · 10,000 shares

Expires 2023-08-24

F2 · derivative.exercise_date: Such options shall vest in one installment on March 31, 2019.

SEC source: 0001185185-18-001586 · ownership.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,136

F1 · shares: Represents grant of restricted stock units that vest in one installment on March 31, 2019.

SEC source: 0001437749-17-020827 · rdgdoc.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 539,242

SEC source: 0001437749-17-020827 · rdgdoc.xml · derivative · entry 4

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,730

Underlying: Common Stock · 12,500 shares

Expires 2018-12-13

SEC source: 0001437749-18-016464 · rdgdoc.xml · derivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2018-12-13

SEC source: 0001437749-17-020827 · rdgdoc.xml · derivative · entry 3

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,038 shares

Expires 2017-12-12

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.

SEC source: 0001437749-17-020827 · rdgdoc.xml · nonDerivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 481,042

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 vested Restricted stock units converted into the issuer's common stock

SEC source: 0001437749-17-003446 · rdgdoc.xml · derivative · entry 2

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,925 shares

Expires 2017-02-27

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.

SEC source: 0001437749-17-003446 · rdgdoc.xml · nonDerivative · entry 1

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 466,004

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: Restricted stock units convert into the issuer's common stock, par value $0.01 per share ("Common Stock") on a one-for-one basis.

SEC source: 0001437749-17-003446 · rdgdoc.xml · derivative · entry 3

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,038 shares

Expires 2017-12-12

SEC source: 0001437749-17-020827 · rdgdoc.xml · derivative · entry 5

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,230

Underlying: Common Stock · 20,230 shares

Expires 2024-12-11

SEC source: 0001437749-18-016464 · rdgdoc.xml · derivative · entry 3

Waterfield John Randall · CIK 0001524368 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,230

Underlying: Common Stock · 20,230 shares

Expires 2024-12-11