person · Reporting owner

Nierenberg David

Disclosed activity across 5 companies

Tapewire entity: 81428
SEC CIK: 0001040899

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
FLOTEK INDUSTRIES INC/CN/FTK · Entity 5092	Director	December 14, 2023	December 15, 2023
POTBELLY CORPPBPB · Entity 73914	10% owner	March 28, 2025	March 31, 2025
RIVERVIEW BANCORP INCRVSB · Entity 6745	Director	March 13, 2020	March 17, 2020

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.

FLOTEK INDUSTRIES INC/CN/

Report date December 14, 2023 · Filed December 15, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common SharesSEC Table I · non-derivative	IndirectBy The D3 Family Fund, LP	434,580	Reported balance After 2023-12-14 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2023-12-14 · Purchase · Acquired 6,785 · Balance 434,580
Common SharesSEC Table I · non-derivative	IndirectBy The D3 Family Bulldog Fund, LP	765,150	Reported balance After 2023-12-14 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2023-12-14 · Purchase · Acquired 11,948 · Balance 765,150
Common SharesSEC Table I · non-derivative	IndirectBy Haredale Ltd.	47,907	Reported balance After 2023-12-14 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2023-12-14 · Purchase · Acquired 748 · Balance 47,907
Common SharesSEC Table I · non-derivative	Direct	69,929	Reported balance Holding disclosure · report date 2023-12-14 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 69,929

POTBELLY CORP

Report date March 28, 2025 · Filed March 31, 2025

Jointly reported with Nierenberg Investment Management Company, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	124,167	Reported balance After 2025-03-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2025-03-28 · Purchase · Acquired 22,169 · Balance 124,167 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F5: The shares are owned solely by David Nierenberg.
Common StockSEC Table I · non-derivative	IndirectBy: Children	1,590	Reported balance Holding disclosure · report date 2025-03-28 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 1,590 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F7: Mr. Nierenberg disclaims beneficial ownership of the securities reported herein as beneficially owned directly by his spouse and son except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Nierenberg is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3: Owned by children living in reporting person's household.
Common StockSEC Table I · non-derivative	IndirectBy: Spouse	3,150	Reported balance Holding disclosure · report date 2025-03-28 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 3,150 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F7: Mr. Nierenberg disclaims beneficial ownership of the securities reported herein as beneficially owned directly by his spouse and son except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Nierenberg is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F4: Owned by spouse.
Common StockSEC Table I · non-derivative	IndirectBy: The D3 Family Fund, L.P.	887,555	Reported balance Holding disclosure · report date 2025-03-28 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 887,555 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F6: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.
Common StockSEC Table I · non-derivative	IndirectBy: The D3 Family Bulldog Fund, L.P.	1,561,985	Reported balance Holding disclosure · report date 2025-03-28 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 1,561,985 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F6: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.
Common StockSEC Table I · non-derivative	IndirectBy: Haredale Ltd.	105,469	Reported balance Holding disclosure · report date 2025-03-28 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance 105,469 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F6: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.
Common StockSEC Table I · non-derivative	IndirectBy: Benedict Value Fund, L.P.	425,555	Reported balance Holding disclosure · report date 2025-03-28 · row 7 Holding and transaction disclosures are not merged. 1 source row Row 7 · Balance 425,555 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F6: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg.

F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.

F3: Owned by children living in reporting person's household.

F4: Owned by spouse.

F5: The shares are owned solely by David Nierenberg.

F6: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

F7: Mr. Nierenberg disclaims beneficial ownership of the securities reported herein as beneficially owned directly by his spouse and son except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Nierenberg is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

RIVERVIEW BANCORP INC

Report date March 13, 2020 · Filed March 17, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	130,869	Last balance in matching sequence After 2020-03-16 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2020-03-13 · Purchase · Acquired 16,135 · Balance 117,004 F1: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.79 to $5.08 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1). F3: Includes 13,000 shares in an inherited IRA owned by wife. Row 2 · 2020-03-16 · Purchase · Acquired 13,865 · Balance 130,869 F2: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.88 to $4.90 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (2). F3: Includes 13,000 shares in an inherited IRA owned by wife.

Filing footnotes · ownership attribution and instrument terms

F1: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.79 to $5.08 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1).

F2: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.88 to $4.90 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (2).

F3: Includes 13,000 shares in an inherited IRA owned by wife.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Houston Wire & Cable CO

Report date June 15, 2021 · Filed June 21, 2021

Jointly reported with Nierenberg Investment Management Company, LLC

Section 16 reporting ended · disclosed 2021-06-21. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
COMMON STOCKSEC Table I · non-derivative	IndirectBy D3 Family Fund LP	Reported balance After 2021-06-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-06-15 · Disposition to issuer · Disposed 664,888 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration"). F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.
COMMON STOCKSEC Table I · non-derivative	IndirectBy D3 Family Bulldog Fund LP	Reported balance After 2021-06-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2021-06-15 · Disposition to issuer · Disposed 1,314,254 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration"). F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.
COMMON STOCKSEC Table I · non-derivative	IndirectBy Haredale LTD	Reported balance After 2021-06-15 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2021-06-15 · Disposition to issuer · Disposed 64,216 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration"). F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration").

F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.

ROSETTA STONE INC

Report date October 15, 2020 · Filed October 16, 2020

Section 16 reporting ended · disclosed 2020-10-16. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy The D3 Family Fund, LP	Reported balance After 2020-10-15 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2020-10-15 · Disposition to issuer · Disposed 165,847 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger, dated August 29, 2020, by and among the Issuer, Cambium Holding Corp., a Delaware corporation ("Parent"), and Empower Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Parent (the "Merger Agreement"), immediately prior to the Effective Time (as defined in the Merger Agreement), each issued and outstanding share of common stock, $0.00005 par value per share, of the Company ("Common Stock"), including any outstanding Company restricted shares, was cancelled and the holder thereof was entitled to receive, in respect of each share of Common Stock, an amount (subject to any applicable withholding tax) in cash equal to $30.00. F2: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy The D3 Family Bulldog Fund, LP	Reported balance After 2020-10-15 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2020-10-15 · Disposition to issuer · Disposed 334,692 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger, dated August 29, 2020, by and among the Issuer, Cambium Holding Corp., a Delaware corporation ("Parent"), and Empower Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Parent (the "Merger Agreement"), immediately prior to the Effective Time (as defined in the Merger Agreement), each issued and outstanding share of common stock, $0.00005 par value per share, of the Company ("Common Stock"), including any outstanding Company restricted shares, was cancelled and the holder thereof was entitled to receive, in respect of each share of Common Stock, an amount (subject to any applicable withholding tax) in cash equal to $30.00. F2: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectHaredale Ltd.	Reported balance After 2020-10-15 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2020-10-15 · Disposition to issuer · Disposed 13,954 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger, dated August 29, 2020, by and among the Issuer, Cambium Holding Corp., a Delaware corporation ("Parent"), and Empower Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Parent (the "Merger Agreement"), immediately prior to the Effective Time (as defined in the Merger Agreement), each issued and outstanding share of common stock, $0.00005 par value per share, of the Company ("Common Stock"), including any outstanding Company restricted shares, was cancelled and the holder thereof was entitled to receive, in respect of each share of Common Stock, an amount (subject to any applicable withholding tax) in cash equal to $30.00. F2: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.
Restricted Stock UnitSEC Table II · derivative / convertible security	Direct	Reported balance After 2020-10-15 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2020-10-15 · Disposition to issuer · Disposed 45,287 · Balance 0 F3: Each restricted stock unit ("RSU") represents the right to receive one share of Common Stock. F4: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time (as defined in the Merger Agreement), each RSU, whether vested or unvested, that was outstanding vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such RSU, an amount (subject to any applicable withholding tax) in cash equal to $30.00. F2: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.95 · Expires 2025-04-15	Direct	Reported balance After 2020-10-15 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2020-10-15 · Disposition to issuer · Disposed 1,771 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option. F2: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.50 · Expires 2025-06-12	Direct	Reported balance After 2020-10-15 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2020-10-15 · Disposition to issuer · Disposed 18,323 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option. F2: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.70 · Expires 2026-05-19	Direct	Reported balance After 2020-10-15 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2020-10-15 · Disposition to issuer · Disposed 14,451 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option. F2: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.42 · Expires 2027-05-19	Direct	Reported balance After 2020-10-15 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2020-10-15 · Disposition to issuer · Disposed 9,766 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option. F2: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.12 · Expires 2028-06-18	Direct	Reported balance After 2020-10-15 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2020-10-15 · Disposition to issuer · Disposed 16,200 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option. F2: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $25.66 · Expires 2029-05-20	Direct	Reported balance After 2020-10-15 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2020-10-15 · Disposition to issuer · Disposed 5,076 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option. F2: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.11 · Expires 2030-06-11	Direct	Reported balance After 2020-10-15 transaction · row 11 Instrument identity requires review; Table II rows are not merged. 1 source row Row 11 · 2020-10-15 · Disposition to issuer · Disposed 7,278 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option. F2: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the terms of that certain Agreement and Plan of Merger, dated August 29, 2020, by and among the Issuer, Cambium Holding Corp., a Delaware corporation ("Parent"), and Empower Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Parent (the "Merger Agreement"), immediately prior to the Effective Time (as defined in the Merger Agreement), each issued and outstanding share of common stock, $0.00005 par value per share, of the Company ("Common Stock"), including any outstanding Company restricted shares, was cancelled and the holder thereof was entitled to receive, in respect of each share of Common Stock, an amount (subject to any applicable withholding tax) in cash equal to $30.00.

F2: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.

F3: Each restricted stock unit ("RSU") represents the right to receive one share of Common Stock.

F4: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time (as defined in the Merger Agreement), each RSU, whether vested or unvested, that was outstanding vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such RSU, an amount (subject to any applicable withholding tax) in cash equal to $30.00.

F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

Transaction history

JSON API

Purchases/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
March 28, 2025 Filed Mar 31, 2025 09:30 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	22,169	$9.36	$207,501.84	Disclosure SEC source: 0001013594-25-000434 · form4.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 124,167 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F5 · security: The shares are owned solely by David Nierenberg. Read SEC document
January 07, 2025 Filed Jan 10, 2025 19:45 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	100	$9.24	$924.00	Disclosure SEC source: 0001013594-25-000034 · form4.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,998 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F5 · security: The shares are owned solely by David Nierenberg. Read SEC document
January 07, 2025 Filed Jan 10, 2025 19:45 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	7,500	$9.23	$69,225.00	Disclosure SEC source: 0001013594-25-000034 · form4.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,898 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F5 · security: The shares are owned solely by David Nierenberg. Read SEC document
December 18, 2024 Filed Dec 20, 2024 16:37 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	3,150	$9.34	$29,421.00	Disclosure SEC source: 0001013594-24-001027 · form4.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By Spouse Disclosed balance after: 3,150 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. F4 · security: Mr. Nierenberg disclaims beneficial ownership of the securities reported herein as beneficially owned directly by his spouse and son except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Nierenberg is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · ownership.nature: Owned by spouse. Read SEC document
December 18, 2024 Filed Dec 20, 2024 16:37 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	1,590	$9.40	$14,946.00	Disclosure SEC source: 0001013594-24-001027 · form4.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By Children Disclosed balance after: 1,590 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. F4 · security: Mr. Nierenberg disclaims beneficial ownership of the securities reported herein as beneficially owned directly by his spouse and son except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Nierenberg is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F2 · ownership.nature: Owned by children living in reporting person's household. Read SEC document
August 07, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	3,382	$6.62	$22,388.84	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 9 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Haredale Ltd. Disclosed balance after: 105,469 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 07, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	12,915	$6.62	$85,497.30	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 8 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · The D3 Family Bulldog Fund, L.P. Disclosed balance after: 1,561,985 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 07, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	7,097	$6.62	$46,982.14	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 7 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · The D3 Family Fund, L.P. Disclosed balance after: 887,555 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 06, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	749	$6.59	$4,935.91	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 6 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Haredale Ltd. Disclosed balance after: 102,087 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 06, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	2,859	$6.59	$18,840.81	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 5 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · The D3 Family Bulldog Fund, L.P. Disclosed balance after: 1,549,070 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 06, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	1,571	$6.59	$10,352.89	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 4 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · The D3 Family Fund, L.P. Disclosed balance after: 880,458 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 05, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	6,618	$6.48	$42,884.64	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 3 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Haredale Ltd. Disclosed balance after: 101,338 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 05, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	25,268	$6.48	$163,736.64	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 2 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · The D3 Family Bulldog Fund, L.P. Disclosed balance after: 1,546,211 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 05, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	13,886	$6.48	$89,981.28	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 1 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · The D3 Family Fund, L.P. Disclosed balance after: 878,887 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
December 14, 2023 Filed Dec 15, 2023 14:31 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Shares	748	$3.72	$2,782.56	Disclosure SEC source: 0000928054-23-000225 · wk-form4_1702650677.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 47,907 Read SEC document
December 14, 2023 Filed Dec 15, 2023 14:31 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Shares	11,948	$3.72	$44,446.56	Disclosure SEC source: 0000928054-23-000225 · wk-form4_1702650677.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 765,150 Read SEC document
December 14, 2023 Filed Dec 15, 2023 14:31 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Shares	6,785	$3.72	$25,240.20	Disclosure SEC source: 0000928054-23-000225 · wk-form4_1702650677.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 434,580 Read SEC document
December 13, 2023 Filed Dec 13, 2023 21:29 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Shares	1,272	$3.53	$4,490.16	Disclosure SEC source: 0000928054-23-000223 · wk-form4_1702502938.xml · nonDerivative · entry 8 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 47,159 Read SEC document
December 13, 2023 Filed Dec 13, 2023 21:29 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Shares	20,310	$3.53	$71,694.30	Disclosure SEC source: 0000928054-23-000223 · wk-form4_1702502938.xml · nonDerivative · entry 7 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 753,202 Read SEC document
December 13, 2023 Filed Dec 13, 2023 21:29 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Shares	11,536	$3.53	$40,722.08	Disclosure SEC source: 0000928054-23-000223 · wk-form4_1702502938.xml · nonDerivative · entry 6 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 427,795 Read SEC document
December 12, 2023 Filed Dec 13, 2023 21:29 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Shares	858	$3.42	$2,934.36	Disclosure SEC source: 0000928054-23-000223 · wk-form4_1702502938.xml · nonDerivative · entry 5 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 45,887 Read SEC document
December 12, 2023 Filed Dec 13, 2023 21:29 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Shares	6,923	$3.42	$23,676.66	Disclosure SEC source: 0000928054-23-000223 · wk-form4_1702502938.xml · nonDerivative · entry 4 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 732,892 Read SEC document
December 12, 2023 Filed Dec 13, 2023 21:29 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Shares	4,954	$3.42	$16,942.68	Disclosure SEC source: 0000928054-23-000223 · wk-form4_1702502938.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 416,259 Read SEC document
December 11, 2023 Filed Dec 13, 2023 21:29 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Shares	3,752	$3.19	$11,968.88	Disclosure SEC source: 0000928054-23-000223 · wk-form4_1702502938.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 45,029 Read SEC document
December 11, 2023 Filed Dec 13, 2023 21:29 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Shares	5,254	$3.19	$16,760.26	Disclosure SEC source: 0000928054-23-000223 · wk-form4_1702502938.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 411,305 Read SEC document
July 01, 2023 Filed Jul 6, 2023 01:32 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	GrantCommon Shares	241,096	$0.00	$0.00	Disclosure SEC source: 0000928054-23-000128 · wf-form4_168860715722985.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 419,564 F1 · shares: Restricted stock grant awarded as part of Board compensation, and annual retainer and board fees, which Mr. Nierenberg elected to take in stock rather than cash. Shares vest at the earlier of one year from date of grant and the annual shareholders meeting, but in no event less than one year from date of grant. Read SEC document
June 07, 2023 Filed Jun 9, 2023 16:58 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	SaleCommon Shares	211,080	$0.63	$131,925.00	Disclosure SEC source: 0000928054-23-000101 · wf-form4_168632988019198.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 2,436,303 Read SEC document
June 07, 2023 Filed Jun 9, 2023 16:58 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	SaleCommon Shares	538,920	$0.63	$336,825.00	Disclosure SEC source: 0000928054-23-000101 · wf-form4_168632988019198.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 4,355,810 Read SEC document
January 20, 2023 Filed Jan 24, 2023 21:46 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	GrantCommon Shares	13,179	$0.00	$0.00	Disclosure SEC source: 0000928054-23-000013 · wf-form4_167459678262563.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,468 F1 · shares: Shares reflect the prorated portion of Mr. Nierenberg's compensation for his appointment as chairman. Shares vest one year from date of grant. Read SEC document
August 04, 2022 Filed Aug 8, 2022 22:26 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	GrantCommon Shares	165,289	$0.00	$0.00	Disclosure SEC source: 0000928054-22-000169 · wf-form4_165999754542458.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,289 F1 · shares: Grant of shares for annual retainer and board fees, which Mr. Nierenberg elected to take in stock rather than cash. Shares vest at the earlier of one year from date of grant and the 2023 annual meeting. Read SEC document
March 21, 2022 Filed Mar 23, 2022 20:30 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	ConversionConvertible Debt · Derivative	Not disclosed	Not disclosed Strike: $1.09	$83,577.08	Disclosure SEC source: 0000928054-22-000054 · wf-form4_164806738493581.xml · derivative · entry 6 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Haredale Limited Disclosed balance after: Not disclosed Underlying: Common Shares · Not disclosed shares Expires 2023-02-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · reported_value: Includes 10% PIK interest accrued through the date prior to the conversion date. F3 · price: Convertible Debt was purchased on Feb 2, 2022 by The D3 Family Fund, LP, the D3 Family Bulldog Fund, LP and Haredale Ltd. for a cumulative amount of $3,000,000 Read SEC document
March 21, 2022 Filed Mar 23, 2022 20:30 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	ConversionConvertible Debt · Derivative	Not disclosed	Not disclosed Strike: $1.09	$1,828,058.75	Disclosure SEC source: 0000928054-22-000054 · wf-form4_164806738493581.xml · derivative · entry 5 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · D3 Family Bulldog Fund, LP Disclosed balance after: Not disclosed Underlying: Common Shares · Not disclosed shares Expires 2023-02-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · reported_value: Includes 10% PIK interest accrued through the date prior to the conversion date. F3 · price: Convertible Debt was purchased on Feb 2, 2022 by The D3 Family Fund, LP, the D3 Family Bulldog Fund, LP and Haredale Ltd. for a cumulative amount of $3,000,000 Read SEC document
March 21, 2022 Filed Mar 23, 2022 20:30 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	ConversionConvertible Debt · Derivative	Not disclosed	Not disclosed Strike: $1.09	$1,127,530.83	Disclosure SEC source: 0000928054-22-000054 · wf-form4_164806738493581.xml · derivative · entry 4 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · D3 Family Fund, LP Disclosed balance after: Not disclosed Underlying: Common Shares · Not disclosed shares Expires 2023-02-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · reported_value: Includes 10% PIK interest accrued through the date prior to the conversion date. F3 · price: Convertible Debt was purchased on Feb 2, 2022 by The D3 Family Fund, LP, the D3 Family Bulldog Fund, LP and Haredale Ltd. for a cumulative amount of $3,000,000 Read SEC document
March 21, 2022 Filed Mar 23, 2022 20:30 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	ConversionCommon Shares	76,808	$0.00	$0.00	Disclosure SEC source: 0000928054-22-000054 · wf-form4_164806738493581.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 242,656 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Shares from conversion of convertible debt listed in Table II. Read SEC document
March 21, 2022 Filed Mar 23, 2022 20:30 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	ConversionCommon Shares	1,680,008	$0.00	$0.00	Disclosure SEC source: 0000928054-22-000054 · wf-form4_164806738493581.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 4,795,960 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Shares from conversion of convertible debt listed in Table II. Read SEC document
March 21, 2022 Filed Mar 23, 2022 20:30 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	ConversionCommon Shares	1,036,214	$0.00	$0.00	Disclosure SEC source: 0000928054-22-000054 · wf-form4_164806738493581.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 2,595,383 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Shares from conversion of convertible debt listed in Table II. Read SEC document
February 02, 2022 Filed Feb 4, 2022 21:14 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseConvertible Debt · Derivative	94,773	$0.87 Strike: $0.87	$82,499.90	Disclosure SEC source: 0000928054-22-000012 · wf-form4_164400921442369.xml · derivative · entry 3 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Haredale Limited Disclosed balance after: Not disclosed Underlying: Common Shares · 94,773 shares Expires 2023-02-02 F1 · date: Debt bears 10% PIK interest and converts to common stock at $0.8705 in one year at maturity. Conversion may also take place prior to maturity at $1.088125 under certain circumstances. Read SEC document
February 02, 2022 Filed Feb 4, 2022 21:14 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseConvertible Debt · Derivative	2,072,947	$0.87 Strike: $0.87	$1,804,500.36	Disclosure SEC source: 0000928054-22-000012 · wf-form4_164400921442369.xml · derivative · entry 2 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · D3 Family Bulldog Fund, LP Disclosed balance after: Not disclosed Underlying: Common Shares · 2,072,946 shares Expires 2023-02-03 F1 · date: Debt bears 10% PIK interest and converts to common stock at $0.8705 in one year at maturity. Conversion may also take place prior to maturity at $1.088125 under certain circumstances. Read SEC document
February 02, 2022 Filed Feb 4, 2022 21:14 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseConvertible Debt · Derivative	1,278,576	$0.87 Strike: $0.87	$1,113,000.41	Disclosure SEC source: 0000928054-22-000012 · wf-form4_164400921442369.xml · derivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · D3 Family Fund, LP Disclosed balance after: Not disclosed Underlying: Common Shares · 1,278,576 shares Expires 2023-02-02 F1 · date: Debt bears 10% PIK interest and converts to common stock at $0.8705 in one year at maturity. Conversion may also take place prior to maturity at $1.088125 under certain circumstances. Read SEC document
June 15, 2021 Filed Jun 21, 2021 15:30 UTC	Houston Wire & Cable CO HWCC · Entity 138073	Disposition to issuerCOMMON STOCK	64,216	Not disclosed	Not disclosed	Disclosure SEC source: 0001356949-21-000013 · primary_doc.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale LTD Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration"). F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
June 15, 2021 Filed Jun 21, 2021 15:30 UTC	Houston Wire & Cable CO HWCC · Entity 138073	Disposition to issuerCOMMON STOCK	1,314,254	Not disclosed	Not disclosed	Disclosure SEC source: 0001356949-21-000013 · primary_doc.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By D3 Family Bulldog Fund LP Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration"). F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
June 15, 2021 Filed Jun 21, 2021 15:30 UTC	Houston Wire & Cable CO HWCC · Entity 138073	Disposition to issuerCOMMON STOCK	664,888	Not disclosed	Not disclosed	Disclosure SEC source: 0001356949-21-000013 · primary_doc.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By D3 Family Fund LP Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration"). F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
June 03, 2021 Filed Jun 7, 2021 22:54 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	GrantCommon Stock	103,774	$0.00	$0.00	Disclosure SEC source: 0000928054-21-000111 · wf-form4_162310644250968.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,111 F1 · shares: Grant of shares for annual retainer and board fees, which Mr. Nierenberg elected to take in stock rather than cash. Shares vest at the earlier of one year from date of grant and the 2022 annual meeting. Read SEC document
November 30, 2020 Filed Dec 2, 2020 23:25 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Stock	1,878	$2.05	$3,849.90	Disclosure SEC source: 0000928054-20-000223 · wf-form4_160695151061391.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 152,569 F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein. Read SEC document
November 30, 2020 Filed Dec 2, 2020 23:25 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Stock	37,070	$2.05	$75,993.50	Disclosure SEC source: 0000928054-20-000223 · wf-form4_160695151061391.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 3,011,673 F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein. Read SEC document
November 30, 2020 Filed Dec 2, 2020 23:25 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Stock	10,283	$2.05	$21,080.15	Disclosure SEC source: 0000928054-20-000223 · wf-form4_160695151061391.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 1,520,390 F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein. Read SEC document
November 23, 2020 Filed Nov 25, 2020 21:09 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Stock	16,260	$1.99	$32,357.40	Disclosure SEC source: 0000928054-20-000206 · wf-form4_160633852547516.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 150,691 F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein. Read SEC document
November 23, 2020 Filed Nov 25, 2020 21:09 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Stock	72,607	$1.99	$144,487.93	Disclosure SEC source: 0000928054-20-000206 · wf-form4_160633852547516.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 2,974,603 F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein. Read SEC document
November 23, 2020 Filed Nov 25, 2020 21:09 UTC	FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092	PurchaseCommon Stock	60,693	$1.99	$120,779.07	Disclosure SEC source: 0000928054-20-000206 · wf-form4_160633852547516.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 1,510,107 F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein. Read SEC document
October 15, 2020 Filed Oct 16, 2020 17:10 UTC	ROSETTA STONE INC RST · Entity 12922	Disposition to issuerStock Option (right to buy) · Derivative	7,278	Not disclosed Strike: $17.11	Not disclosed	Disclosure SEC source: 0001209191-20-055084 · doc4.xml · derivative · entry 11 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,278 shares Expires 2030-06-11 F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option. F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option. F2 · balance_after: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein. 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.