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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowsRow 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 | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | IndirectBy D3 Family Fund LP | 0 |
Reported balance
After 2021-06-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 | 0 |
Reported balance
After 2021-06-15 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 | 0 |
Reported balance
After 2021-06-15 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy The D3 Family Fund, LP | 0 |
Reported balance
After 2020-10-15 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2020-10-15 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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. | 0 |
Reported balance
After 2020-10-15 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2020-10-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2020-10-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2020-10-15 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2020-10-15 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2020-10-15 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2020-10-15 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2020-10-15 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2020-10-15 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 16, 2020 Filed Mar 17, 2020 17:16 UTC | Houston Wire & Cable CO HWCC · Entity 138073 | PurchaseCOMMON STOCK | 31,950 | $2.00 | $63,900.00 |
DisclosureSEC source: 0001356949-20-000005 · 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: 64,216 F1 · security: This Form 4 is filed jointly by David Nierenberg and Nierenberg Investment Management Company, Inc. Solely Mr. Nierenberg is a Director of the Issuer. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F3 · 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 |
| March 16, 2020 Filed Mar 17, 2020 17:16 UTC | Houston Wire & Cable CO HWCC · Entity 138073 | PurchaseCOMMON STOCK | 252,800 | $2.00 | $505,600.00 |
DisclosureSEC source: 0001356949-20-000005 · 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: 1,314,254 F1 · security: This Form 4 is filed jointly by David Nierenberg and Nierenberg Investment Management Company, Inc. Solely Mr. Nierenberg is a Director of the Issuer. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F3 · 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 |
| March 16, 2020 Filed Mar 17, 2020 17:16 UTC | Houston Wire & Cable CO HWCC · Entity 138073 | PurchaseCOMMON STOCK | 115,050 | $2.00 | $230,100.00 |
DisclosureSEC source: 0001356949-20-000005 · 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: 664,888 F1 · security: This Form 4 is filed jointly by David Nierenberg and Nierenberg Investment Management Company, Inc. Solely Mr. Nierenberg is a Director of the Issuer. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F3 · 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 |
| March 13, 2020 Filed Mar 13, 2020 20:57 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 151,601 | $1.01 | $153,117.01 |
DisclosureSEC source: 0000928054-20-000032 · wf-form4_158413300459584.xml · nonDerivative · entry 9 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 2,222,214 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 |
| March 13, 2020 Filed Mar 13, 2020 20:57 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 7,146 | $1.01 | $7,217.46 |
DisclosureSEC source: 0000928054-20-000032 · wf-form4_158413300459584.xml · nonDerivative · entry 6 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 104,755 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 |
| March 13, 2020 Filed Mar 13, 2020 20:57 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 76,451 | $1.01 | $77,215.51 |
DisclosureSEC source: 0000928054-20-000032 · wf-form4_158413300459584.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 1,120,644 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 |
| March 13, 2020 Filed Mar 17, 2020 14:47 UTC | RIVERVIEW BANCORP INC RVSB · Entity 6745 | PurchaseCommon Stock | 16,135 | $5.05 | $81,481.75 |
DisclosureSEC source: 0000939057-20-000104 · primary_doc.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,004 F1 · price: 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 · ownership.direct: Includes 13,000 shares in an inherited IRA owned by wife. Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 20:57 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 151,600 | $0.90 | $136,440.00 |
DisclosureSEC source: 0000928054-20-000032 · wf-form4_158413300459584.xml · nonDerivative · entry 8 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 2,070,613 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 |
| March 12, 2020 Filed Mar 13, 2020 20:57 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 7,146 | $0.90 | $6,431.40 |
DisclosureSEC source: 0000928054-20-000032 · wf-form4_158413300459584.xml · nonDerivative · entry 5 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 97,609 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 |
| March 12, 2020 Filed Mar 13, 2020 20:57 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 76,451 | $0.90 | $68,805.90 |
DisclosureSEC source: 0000928054-20-000032 · wf-form4_158413300459584.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 1,044,193 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 |
| March 11, 2020 Filed Mar 13, 2020 20:57 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 363,618 | $0.99 | $359,981.82 |
DisclosureSEC source: 0000928054-20-000032 · wf-form4_158413300459584.xml · nonDerivative · entry 7 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,919,013 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 |
| March 11, 2020 Filed Mar 13, 2020 20:57 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 18,918 | $0.99 | $18,728.82 |
DisclosureSEC source: 0000928054-20-000032 · wf-form4_158413300459584.xml · nonDerivative · entry 4 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 90,463 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 |
| March 11, 2020 Filed Mar 13, 2020 20:57 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 147,069 | $0.99 | $145,598.31 |
DisclosureSEC source: 0000928054-20-000032 · wf-form4_158413300459584.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: 967,742 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 |
| September 16, 2019 Filed Sep 16, 2019 21:38 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 266 | $2.54 | $675.64 |
DisclosureSEC source: 0000928054-19-000091 · wf-form4_156866988350797.xml · nonDerivative · entry 6 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 71,545 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 |
| September 16, 2019 Filed Sep 16, 2019 21:38 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 12,227 | $2.54 | $31,056.58 |
DisclosureSEC source: 0000928054-19-000091 · wf-form4_156866988350797.xml · nonDerivative · entry 4 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,555,395 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 |
| September 16, 2019 Filed Sep 16, 2019 21:38 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 4,207 | $2.54 | $10,685.78 |
DisclosureSEC source: 0000928054-19-000091 · wf-form4_156866988350797.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 820,673 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 |
| September 13, 2019 Filed Sep 16, 2019 21:38 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 3,305 | $2.50 | $8,262.50 |
DisclosureSEC source: 0000928054-19-000091 · wf-form4_156866988350797.xml · nonDerivative · entry 5 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 71,279 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 |
| September 13, 2019 Filed Sep 16, 2019 21:38 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 53,667 | $2.50 | $134,167.50 |
DisclosureSEC source: 0000928054-19-000091 · wf-form4_156866988350797.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,543,168 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 |
| September 13, 2019 Filed Sep 16, 2019 21:38 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 39,828 | $2.50 | $99,570.00 |
DisclosureSEC source: 0000928054-19-000091 · wf-form4_156866988350797.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: 816,466 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 |
| September 12, 2019 Filed Sep 12, 2019 22:21 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 3,243 | $2.45 | $7,945.35 |
DisclosureSEC source: 0000928054-19-000089 · wf-form4_156832687302858.xml · nonDerivative · entry 9 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 67,974 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 |
| September 12, 2019 Filed Sep 12, 2019 22:21 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 52,670 | $2.45 | $129,041.50 |
DisclosureSEC source: 0000928054-19-000089 · wf-form4_156832687302858.xml · nonDerivative · entry 6 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,489,501 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 |
| September 12, 2019 Filed Sep 12, 2019 22:21 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 39,087 | $2.45 | $95,763.15 |
DisclosureSEC source: 0000928054-19-000089 · wf-form4_156832687302858.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 776,638 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 |
| September 11, 2019 Filed Sep 12, 2019 22:21 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 3,831 | $2.40 | $9,194.40 |
DisclosureSEC source: 0000928054-19-000089 · wf-form4_156832687302858.xml · nonDerivative · entry 8 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 64,731 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 |
| September 11, 2019 Filed Sep 12, 2019 22:21 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 62,205 | $2.40 | $149,292.00 |
DisclosureSEC source: 0000928054-19-000089 · wf-form4_156832687302858.xml · nonDerivative · entry 5 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,436,831 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 |
| September 11, 2019 Filed Sep 12, 2019 22:21 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 46,164 | $2.40 | $110,793.60 |
DisclosureSEC source: 0000928054-19-000089 · wf-form4_156832687302858.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 737,551 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 |
| September 10, 2019 Filed Sep 12, 2019 22:21 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 2,083 | $2.30 | $4,790.90 |
DisclosureSEC source: 0000928054-19-000089 · wf-form4_156832687302858.xml · nonDerivative · entry 7 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 60,900 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 |
| September 10, 2019 Filed Sep 12, 2019 22:21 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 33,819 | $2.30 | $77,783.70 |
DisclosureSEC source: 0000928054-19-000089 · wf-form4_156832687302858.xml · nonDerivative · entry 4 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,374,626 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 |
| September 10, 2019 Filed Sep 12, 2019 22:21 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 25,098 | $2.30 | $57,725.40 |
DisclosureSEC source: 0000928054-19-000089 · wf-form4_156832687302858.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: 691,387 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 |
| September 04, 2019 Filed Sep 4, 2019 22:12 UTC | RIVERVIEW BANCORP INC RVSP · Entity 6745 | PurchaseCommon Stock | 20,000 | $6.85 | $137,000.00 |
DisclosureSEC source: 0000939057-19-000346 · primary_doc.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,879 F1 · ownership.direct: Includes 13,000 indirect shares in an inherited IRA owned by wife. Read SEC document |
| June 10, 2019 Filed Jun 11, 2019 22:47 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 764 | $3.68 | $2,811.52 |
DisclosureSEC source: 0000928054-19-000069 · wf-form4_156029325052633.xml · nonDerivative · entry 7 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 58,817 F2 · 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 |
| June 10, 2019 Filed Jun 11, 2019 22:47 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 13,825 | $3.68 | $50,876.00 |
DisclosureSEC source: 0000928054-19-000069 · wf-form4_156029325052633.xml · nonDerivative · entry 5 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,340,807 F2 · 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 |
| June 10, 2019 Filed Jun 11, 2019 22:47 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 15,361 | $3.68 | $56,528.48 |
DisclosureSEC source: 0000928054-19-000069 · wf-form4_156029325052633.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 666,289 F2 · 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 |
| June 07, 2019 Filed Jun 11, 2019 22:47 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 2,075 | $3.57 | $7,407.75 |
DisclosureSEC source: 0000928054-19-000069 · wf-form4_156029325052633.xml · nonDerivative · entry 6 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 58,053 F6 · balance_after: This total represents an additional 1,148 shares that were transferred from the reporting person to Haredale Ltd. pursuant to a separate contractual arrangement, as described in footnote #3, which transfer was exempt from reporting under Rule 16a-13 of the Securities Exchange Act of 1934, as amended. F2 · 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 |
| June 07, 2019 Filed Jun 11, 2019 22:47 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 37,527 | $3.57 | $133,971.39 |
DisclosureSEC source: 0000928054-19-000069 · wf-form4_156029325052633.xml · nonDerivative · entry 4 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,326,982 F5 · balance_after: This total represents an additional 26,170 shares that were transferred from the reporting person to The D3 Family Bulldog Fund, LP pursuant to a separate contractual arrangement, as described in footnote #3, which transfer was exempt from reporting under Rule 16a-13 of the Securities Exchange Act of 1934, as amended. F2 · 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 |
| June 07, 2019 Filed Jun 11, 2019 22:47 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 41,698 | $3.57 | $148,861.86 |
DisclosureSEC source: 0000928054-19-000069 · wf-form4_156029325052633.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 650,928 F4 · balance_after: This total represents an additional 13,005 shares that were transferred from the reporting person to The D3 Family Fund, LP pursuant to a separate contractual arrangement as described in footnote #3, which transfer was exempt from reporting under Rule 16a-13 of the Securities Exchange Act of 1934, as amended. F2 · 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 |
| June 06, 2019 Filed Jun 6, 2019 21:11 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 1,047 | $3.42 | $3,580.74 |
DisclosureSEC source: 0000928054-19-000065 · wf-form4_155985549157816.xml · nonDerivative · entry 10 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 54,830 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 |
| June 06, 2019 Filed Jun 6, 2019 21:11 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 18,925 | $3.42 | $64,723.50 |
DisclosureSEC source: 0000928054-19-000065 · wf-form4_155985549157816.xml · nonDerivative · entry 7 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,263,285 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 |
| June 06, 2019 Filed Jun 6, 2019 21:11 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 21,028 | $3.42 | $71,915.76 |
DisclosureSEC source: 0000928054-19-000065 · wf-form4_155985549157816.xml · nonDerivative · entry 4 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 596,225 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 |
| June 05, 2019 Filed Jun 6, 2019 21:11 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 1,276 | $3.43 | $4,376.68 |
DisclosureSEC source: 0000928054-19-000065 · wf-form4_155985549157816.xml · nonDerivative · entry 9 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 53,783 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 |
| June 05, 2019 Filed Jun 6, 2019 21:11 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 23,079 | $3.43 | $79,160.97 |
DisclosureSEC source: 0000928054-19-000065 · wf-form4_155985549157816.xml · nonDerivative · entry 6 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,244,360 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 |
| June 05, 2019 Filed Jun 6, 2019 21:11 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 25,645 | $3.43 | $87,962.35 |
DisclosureSEC source: 0000928054-19-000065 · wf-form4_155985549157816.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 575,197 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 |
| June 04, 2019 Filed Jun 6, 2019 21:11 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 2,463 | $3.46 | $8,521.98 |
DisclosureSEC source: 0000928054-19-000065 · wf-form4_155985549157816.xml · nonDerivative · entry 8 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 52,507 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 |
| June 04, 2019 Filed Jun 6, 2019 21:11 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 44,543 | $3.46 | $154,118.78 |
DisclosureSEC source: 0000928054-19-000065 · wf-form4_155985549157816.xml · nonDerivative · entry 5 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,221,281 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 |
| June 04, 2019 Filed Jun 6, 2019 21:11 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 49,494 | $3.46 | $171,249.24 |
DisclosureSEC source: 0000928054-19-000065 · wf-form4_155985549157816.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 549,552 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 |
| June 03, 2019 Filed Jun 3, 2019 21:06 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 1,178 | $3.19 | $3,757.82 |
DisclosureSEC source: 0000928054-19-000063 · wf-form4_155959595948750.xml · nonDerivative · entry 10 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 50,044 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 |
| June 03, 2019 Filed Jun 3, 2019 21:06 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 21,302 | $3.19 | $67,953.38 |
DisclosureSEC source: 0000928054-19-000063 · wf-form4_155959595948750.xml · nonDerivative · entry 7 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,176,738 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 |
| June 03, 2019 Filed Jun 3, 2019 21:06 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 23,670 | $3.19 | $75,507.30 |
DisclosureSEC source: 0000928054-19-000063 · wf-form4_155959595948750.xml · nonDerivative · entry 4 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 500,058 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 |
| May 31, 2019 Filed Jun 3, 2019 21:06 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 891 | $3.06 | $2,726.46 |
DisclosureSEC source: 0000928054-19-000063 · wf-form4_155959595948750.xml · nonDerivative · entry 9 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale Ltd. Disclosed balance after: 48,866 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 |
| May 31, 2019 Filed Jun 3, 2019 21:06 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 16,109 | $3.06 | $49,293.54 |
DisclosureSEC source: 0000928054-19-000063 · wf-form4_155959595948750.xml · nonDerivative · entry 6 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Bulldog Fund, LP Disclosed balance after: 1,155,436 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 |
| May 31, 2019 Filed Jun 3, 2019 21:06 UTC | FLOTEK INDUSTRIES INC/CN/ FTK · Entity 5092 | PurchaseCommon Stock | 17,900 | $3.06 | $54,774.00 |
DisclosureSEC source: 0000928054-19-000063 · wf-form4_155959595948750.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The D3 Family Fund, LP Disclosed balance after: 476,388 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.