Daily feed · SEC Form 4 filings

Stock options and other derivative activity — Dec 28, 2018

Table II activity from Forms 3/4/5: option exercises, awards, grants, conversions and expirations.

112 filings · trading day Dec 28, 2018Download CSV Quotes for these symbols ↗

Trade	Reported (ET)	Company	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Dec 21, 2018 JForm 4 →	Dec 27, 5:02 pm EST	Knight-Swift Transportation Holdings Inc.KNX	Jerry Moyes +210% Owner	1	$37,612,793.00	$37,612,793	0	—	late
Dec 24, 2018 JForm 4 →	Dec 27, 4:38 pm EST	FINDEX COM INCFIND	Steven MaloneChief Executive Officer, Director	84,712,115	$0.0078	$658,785	0	—
Dec 27, 2018 MPForm 4 →	Dec 27, 5:02 pm EST	OMNICOMM SYSTEMS INCOMCM	Cornelis F WitExecutive Chairman, Director, 10% Owner	4,000,000	$0.14	$560,000	0	—	amended
Dec 21, 2018 AForm 4 →	Dec 27, 4:16 pm EST	ICAD INCICAD	Andy SassineDirector	100,000	$4.00	$400,000	100,000	—	late
Dec 21, 2018 AForm 4 →	Dec 27, 4:16 pm EST	ICAD INCICAD	Michael S KleinInterim CEO, Director	25,000	$4.00	$100,000	25,000	—	late
Dec 28, 2018 MForm 4 →	Dec 28, 1:13 pm EST	IMMUCELL CORP /DE/ICCC	Michael F BrighamPresident & CEO, Director	47,500	$1.70	$80,750	0	—
Dec 27, 2018 MForm 4 →	Dec 28, 9:15 am EST	ServisFirst Bancshares, Inc.SFBS	Stanley M. BrockDirector	15,000	$5.00	$75,000	0	—
Dec 11, 2018 AForm 4 →	Dec 27, 4:44 pm EST	NAPCO SECURITY TECHNOLOGIES, INCNSSC	Randy B BlausteinDirector	4,000	$16.20	$64,800	4,000	—	late
Dec 27, 2018 SForm 4 →	Dec 27, 5:02 pm EST	OMNICOMM SYSTEMS INCOMCM	Stephen Eric JohnsonCEO & President	2,000,000	$0.03	$60,000	0	—
Dec 21, 2018 AForm 4 →	Dec 27, 4:19 pm EST	ICAD INCICAD	Rakesh PatelDirector	12,500	$4.00	$50,000	12,500	—	late
Dec 27, 2018 MForm 4 →	Dec 27, 5:02 pm EST	OMNICOMM SYSTEMS INCOMCM	Keith L HowellsChief Technology Officer	1,000,000	$0.03	$30,000	0	—	amended
Dec 21, 2018 APForm 4 →	Dec 27, 4:08 pm EST	SOLENO THERAPEUTICS INCSLNO	Andrew SinclairDirector	4,689,272	$0.0062	$28,949	20,000	—	late
Dec 25, 2018 AForm 4 →	Dec 27, 4:18 pm EST	National Commerce CorpNCOM	G Ruffner Page Jr.Director	795	$35.84	$28,500	15,997	—
Dec 25, 2018 AForm 4 →	Dec 27, 4:32 pm EST	National Commerce CorpNCOM	William Stancil StarnesDirector	705	$35.84	$25,249	6,018	—
Dec 25, 2018 AForm 4 →	Dec 27, 4:11 pm EST	National Commerce CorpNCOM	R Holman HeadDirector	642	$35.84	$23,000	5,754	—
Dec 25, 2018 AForm 4 →	Dec 27, 4:37 pm EST	National Commerce CorpNCOM	Temple W Tutwiler IIIDirector	642	$35.84	$23,000	5,975	—
Dec 25, 2018 AForm 4 →	Dec 27, 4:04 pm EST	National Commerce CorpNCOM	Mark L DrewDirector	628	$35.84	$22,500	3,017	—
Dec 25, 2018 AForm 4 →	Dec 27, 4:00 pm EST	National Commerce CorpNCOM	Thomas ColeyDirector	600	$35.84	$21,500	1,672	—
Dec 25, 2018 AForm 4 →	Dec 27, 4:41 pm EST	National Commerce CorpNCOM	Russell H Vandevelde IVDirector	600	$35.84	$21,500	5,261	—
Dec 25, 2018 AForm 4 →	Dec 27, 4:28 pm EST	National Commerce CorpNCOM	William Duberry Smith Jr.Director	572	$35.84	$20,499	835	—
Dec 21, 2018 AForm 4 →	Dec 27, 4:17 pm EST	ICAD INCICAD	Richard ChristopherExecutive VP and CFO	5,000	$4.00	$20,000	5,000	—	late
Dec 21, 2018 AForm 4 →	Dec 27, 4:21 pm EST	ICAD INCICAD	Rachel BremDirector	5,000	$4.00	$20,000	5,000	—	late
Dec 21, 2018 AForm 4 →	Dec 27, 4:23 pm EST	ICAD INCICAD	Stacey M StevensExecutive Vice President	5,000	$4.00	$20,000	5,000	—	late
Dec 25, 2018 AForm 4 →	Dec 27, 4:22 pm EST	National Commerce CorpNCOM	Stephen A SevignyDirector	544	$35.84	$19,500	4,180	—
Dec 25, 2018 AForm 4 →	Dec 27, 4:14 pm EST	National Commerce CorpNCOM	C Phillip McWaneDirector	516	$35.84	$18,500	4,358	—
Dec 26, 2018 AForm 4 →	Dec 28, 10:27 am EST	BRYN MAWR BANK CORPBMTC	Scott Mahaley JenkinsDirector	478	$33.97	$16,238	20,874	—
Dec 26, 2018 AForm 4 →	Dec 28, 10:49 am EST	CATERPILLAR INCCAT	Suzette M LongGeneral Counsel/Corporate Sec.	96	$124.76	$11,977	4,315	—
Dec 26, 2018 AForm 4 →	Dec 28, 10:48 am EST	CATERPILLAR INCCAT	Denise C JohnsonGroup President	91	$124.76	$11,353	7,532	—
Dec 25, 2018 AForm 4 →	Dec 27, 4:07 pm EST	National Commerce CorpNCOM	Brian C HamiltonDirector	300	$35.84	$10,750	609	—
Dec 21, 2018 AForm 4 →	Dec 27, 4:23 pm EST	ICAD INCICAD	Susan Alyson WoodDirector	2,500	$4.00	$10,000	2,500	—	late
Dec 26, 2018 AForm 4 →	Dec 28, 10:22 am EST	BRYN MAWR BANK CORPBMTC	Michael Joseph ClementDirector	258	$33.97	$8,764	3,435	—
Dec 26, 2018 AForm 4 →	Dec 28, 10:47 am EST	CATERPILLAR INCCAT	Bob De LangeGroup President	60	$124.76	$7,486	1,336	—
Dec 26, 2018 AForm 4 →	Dec 28, 10:47 am EST	CATERPILLAR INCCAT	Jananne A. CopelandChief Accounting Officer	23	$124.76	$2,869	3,291	—
Dec 26, 2018 AForm 4 →	Dec 28, 10:31 am EST	BRYN MAWR BANK CORPBMTC	A John May IIIDirector	68	$33.97	$2,310	973	—
Dec 24, 2018 MForm 4 →	Dec 27, 4:05 pm EST	FORTINET INCFTNT	Keith JensenCFO & Chief Accounting Officer	626	—	—	10,834	—
Dec 21, 2018 JForm 4/A →	Dec 27, 4:06 pm EST	Altus Midstream CoALTM	KAYNE ANDERSON CAPITAL ADVISORS LP +110% Owner	1,122,020	—	—	1,122,020	—
Dec 21, 2018 AForm 4 →	Dec 27, 4:06 pm EST	FGL HoldingsFG	Jonathan BayerSee Remarks	2,106,738	—	—	306,738	—	late
Dec 24, 2018 AForm 4 →	Dec 27, 4:08 pm EST	ASPEN GROUP, INC.ASPU	Frank J CotroneoDirector	41,667	—	—	41,667	—
Dec 24, 2018 AForm 4 →	Dec 27, 4:09 pm EST	ASPEN GROUP, INC.ASPU	Norman D DicksDirector	10,000	—	—	10,000	—
Dec 24, 2018 AForm 4 →	Dec 27, 4:11 pm EST	ASPEN GROUP, INC.ASPU	Malcolm F MacLean IVDirector	10,000	—	—	10,000	—
Dec 24, 2018 MForm 4 →	Dec 27, 4:12 pm EST	Five9, Inc.FIVN	Scott WelchEVP, Cloud Operations	1,031	—	—	26,817	—
Dec 21, 2018 MForm 4 →	Dec 27, 4:17 pm EST	DISH Network CORPDISH	Thomas A CullenEVP, Corporate Development	50,000	—	—	0	—	late
Dec 22, 2018 MForm 4 →	Dec 27, 4:19 pm EST	LEMAITRE VASCULAR INCLMAT	George W LeMaitreChairman and CEO, Director, 10% Owner	30	—	—	17	—	late
Dec 24, 2018 CMForm 4 →	Dec 27, 4:19 pm EST	MINDBODY, Inc.MB	Brett T WhiteCFO & COO	30,000	—	—	0	—
Dec 26, 2018 CForm 4 →	Dec 27, 4:20 pm EST	EverQuote, Inc.EVER	John David GiordanoOther	303,784	—	—	0	—
Dec 22, 2018 MForm 4 →	Dec 27, 4:21 pm EST	LEMAITRE VASCULAR INCLMAT	Joseph P Pellegrino Jr.Chief Financial Officer, Director	10	—	—	5	—	late
Dec 22, 2018 MForm 4 →	Dec 27, 4:23 pm EST	LEMAITRE VASCULAR INCLMAT	David B RobertsPresident and Director, Director	10	—	—	5	—	late
Dec 22, 2018 MForm 4 →	Dec 27, 4:26 pm EST	LEMAITRE VASCULAR INCLMAT	Trent G KamkeSenior V. P., Operations	5	—	—	0	—	late
Dec 26, 2018 MForm 4 →	Dec 27, 4:27 pm EST	Alexander & Baldwin, Inc.ALEX	Christopher J BenjaminPresident & CEO, Director	12,768	—	—	0	—
Dec 24, 2018 HForm 4 →	Dec 27, 4:32 pm EST	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	Phillip Md Et Al Frost +1Other	3,610,000	—	—	0	—
Dec 24, 2018 MForm 4 →	Dec 27, 4:50 pm EST	ACCESS NATIONAL CORPANCX	Michael W ClarkePresident, CEO, Director	7,500	—	—	5,000	—
Dec 24, 2018 CForm 4 →	Dec 27, 4:59 pm EST	Okta, Inc.OKTA	Todd McKinnonChief Executive Officer, Director	3,500	—	—	5,183,906	—
Dec 21, 2018 AForm 4 →	Dec 27, 5:00 pm EST	ViewRay, Inc.VRAY	Brian K RobertsDirector	19,116	—	—	19,116	—	late
Dec 24, 2018 CMForm 4 →	Dec 27, 5:02 pm EST	SMARTSHEET INCSMAR	Kara HamiltonSenior VP of People Operations	15,000	—	—	0	—
Dec 21, 2018 AForm 4/A →	Dec 27, 5:04 pm EST	ViewRay, Inc.VRAY	Aditya PuriDirector	19,116	—	—	19,116	—
Dec 25, 2018 MForm 4 →	Dec 27, 5:06 pm EST	LendingClub CorpLC	Sameer GulatiChief Operations Officer	15,725	—	—	267,333	—
Dec 24, 2018 MForm 4 →	Dec 27, 5:20 pm EST	ENBRIDGE INCENB	John K WhelenSee Remarks	90,000	—	—	0	—
Dec 24, 2018 CMForm 4 →	Dec 27, 5:22 pm EST	MINDBODY, Inc.MB	Kimberly Gail LytikainenChief Legal Officer &Secretary	19,064	—	—	11,280	—
Dec 17, 2018 CForm 4/A →	Dec 27, 5:24 pm EST	Goosehead Insurance, Inc.GSHD	Mark S. ColbyChief Financial Officer	1,032	—	—	106,128	—
Dec 26, 2018 MForm 4 →	Dec 27, 5:35 pm EST	BIOMARIN PHARMACEUTICAL INCBMRN	Jean Jacques BienaimeChief Executive Officer, Director	4,000	—	—	95,000	—
Dec 24, 2018 MForm 4 →	Dec 27, 6:06 pm EST	Lazard LtdLAZ	Scott D HoffmanCAO and General Counsel	73,629	—	—	0	—
Dec 27, 2018 MForm 4 →	Dec 27, 6:15 pm EST	ALIGN TECHNOLOGY INCALGN	Stuart A HockridgeSVP Global HR	1,200	—	—	3,599	—
Dec 27, 2018 CForm 4 →	Dec 27, 6:17 pm EST	Alphabet Inc.GOOG	Eric E SchmidtDirector	24,075	—	—	370,440	—
Dec 24, 2018 AForm 4 →	Dec 27, 6:23 pm EST	WINDTREE THERAPEUTICS INC /DE/WINT	John R LeoneDirector	32,000	—	—	32,000	—
Dec 21, 2018 AForm 4 →	Dec 27, 6:24 pm EST	Mercantil Bank Holding CorpAMTB	L. Miguel A CaprilesDirector	9,615	—	—	9,615	—	late
Dec 21, 2018 AForm 4 →	Dec 27, 6:25 pm EST	Mercantil Bank Holding CorpAMTB	A. Gustavo J VollmerDirector	9,615	—	—	9,615	—	late
Dec 24, 2018 AForm 4 →	Dec 27, 6:27 pm EST	WINDTREE THERAPEUTICS INC /DE/WINT	Mahady M JosephDirector	32,000	—	—	32,000	—
Dec 24, 2018 AForm 4 →	Dec 27, 6:30 pm EST	WINDTREE THERAPEUTICS INC /DE/WINT	Bruce PeacockDirector	32,000	—	—	32,000	—
Dec 21, 2018 AForm 4 →	Dec 27, 6:34 pm EST	Mercantil Bank Holding CorpAMTB	M. Gustavo MarturetDirector	9,615	—	—	9,615	—	late
Dec 21, 2018 AForm 4 →	Dec 27, 6:40 pm EST	NATURES SUNSHINE PRODUCTS INCNATR	Nathan G BrowerEVP, General Counsel	20,000	—	—	20,000	—	late
Dec 21, 2018 AForm 4 →	Dec 27, 6:43 pm EST	NATURES SUNSHINE PRODUCTS INCNATR	Joseph W BatyEVP & Chief Financial Officer	36,000	—	—	36,000	—	late
Dec 21, 2018 AForm 4 →	Dec 27, 6:47 pm EST	NATURES SUNSHINE PRODUCTS INCNATR	Susan M ArmstrongEVP & Chief Operations Officer	32,000	—	—	32,000	—	late
Dec 20, 2018 MForm 4 →	Dec 27, 7:01 pm EST	Zomedica Pharmaceuticals Corp.ZOM	Rodney James WilliamsDirector	26,900	—	—	0	—	late
Dec 24, 2018 AForm 4 →	Dec 27, 7:05 pm EST	AMERICOLD REALTY TRUSTNYSE: COLD	James C Snyder Jr.See Remarks	13,852	—	—	13,852	—
Dec 24, 2018 AForm 4 →	Dec 27, 7:06 pm EST	AMERICOLD REALTY TRUSTNYSE: COLD	Thomas C NovoselSee Remarks	15,980	—	—	15,980	—
Dec 24, 2018 AForm 4 →	Dec 27, 7:06 pm EST	AMERICOLD REALTY TRUSTNYSE: COLD	Fred W BoehlerCEO and President, Director	58,809	—	—	58,809	—
Dec 24, 2018 JForm 4 →	Dec 27, 7:07 pm EST	Aclaris Therapeutics, Inc.ACRS	James E Flynn +410% Owner	3	—	—	1	—
Dec 24, 2018 AForm 4 →	Dec 27, 7:10 pm EST	AMERICOLD REALTY TRUSTNYSE: COLD	Marc SmernoffSee Remarks	29,233	—	—	29,233	—
Dec 24, 2018 AForm 4 →	Dec 27, 7:12 pm EST	WINDTREE THERAPEUTICS INC /DE/WINT	Craig FraserPresident and CEO, Director	1,265,717	—	—	1,265,717	—
Dec 24, 2018 AForm 4 →	Dec 27, 7:13 pm EST	AMERICOLD REALTY TRUSTNYSE: COLD	David Keith StuverSee Remarks	13,656	—	—	13,656	—
Dec 24, 2018 AForm 4 →	Dec 27, 7:17 pm EST	WINDTREE THERAPEUTICS INC /DE/WINT	Steven SimonsonSVP, Chief Medical Officer	738,335	—	—	738,335	—
Dec 24, 2018 AForm 4 →	Dec 27, 7:19 pm EST	WINDTREE THERAPEUTICS INC /DE/WINT	John A TattorySVP & CFO	738,335	—	—	738,335	—
Dec 24, 2018 AForm 4 →	Dec 27, 7:28 pm EST	WINDTREE THERAPEUTICS INC /DE/WINT	Mary B Templeton Esq.SVP, Gen Counsel & Corp Sec	421,906	—	—	421,906	—
Dec 21, 2018 MForm 4 →	Dec 27, 7:53 pm EST	R F INDUSTRIES LTDRFIL	Marvin FinkDirector	2,000	—	—	12,916	—	late
Dec 27, 2018 OForm 4 →	Dec 27, 8:00 pm EST	vTv Therapeutics Inc.VTVT	Ronald O Perelman10% Owner	1	—	—	1	—
Aug 14, 2018 MForm 4 →	Dec 27, 8:08 pm EST	ADESTO TECHNOLOGIES CorpIOTS	Ron SheltonChief Financial Officer	15,010	—	—	59,944	—	late
Dec 24, 2018 MForm 4 →	Dec 27, 8:11 pm EST	SALESFORCE COM INCCRM	Mark J HawkinsPresident and CFO	8,220	—	—	76,245	—
Dec 23, 2018 AForm 4 →	Dec 27, 8:29 pm EST	GENERAL CANNABIS CORPCANN	Brian P. AndrewsChief Financial Officer	12,500	—	—	12,500	—	late
Dec 23, 2018 AForm 4 →	Dec 27, 8:30 pm EST	GENERAL CANNABIS CORPCANN	Brett M WendtEVP - General Counsel	12,500	—	—	12,500	—	late
Dec 23, 2018 AForm 4 →	Dec 27, 8:30 pm EST	GENERAL CANNABIS CORPCANN	Joe HodasChief Operating Officer	12,500	—	—	12,500	—	late
Dec 23, 2018 AForm 4 →	Dec 27, 8:31 pm EST	GENERAL CANNABIS CORPCANN	Robert Lawrence FrichtelChief Executive Officer, Director	15,000	—	—	15,000	—	late
Dec 24, 2018 AForm 4 →	Dec 27, 9:00 pm EST	ONCOSEC MEDICAL IncONCS	Sara BonsteinCFO/COO	165,000	—	—	165,000	—
Dec 24, 2018 CForm 4 →	Dec 27, 9:36 pm EST	MOVADO GROUP INCMOV	Alexander GrinbergDirector, 10% Owner	10,000	—	—	226,753	—
Dec 26, 2018 AForm 4 →	Dec 28, 9:45 am EST	ENTERPRISE FINANCIAL SERVICES CORPEFSC	John Q ArnoldDirector	147	—	—	1,660	—
Dec 26, 2018 AForm 4 →	Dec 28, 10:55 am EST	COATES INTERNATIONAL LTD \DE\COTE	Barry C KayeTreasurer and CFO, Director	32,597	—	—	54,934	—
Dec 26, 2018 AForm 4 →	Dec 28, 10:55 am EST	COATES INTERNATIONAL LTD \DE\COTE	Gregory G CoatesSecretary and Pres. - Tech Div, Director	416,386	—	—	701,991	—
Dec 26, 2018 AForm 4 →	Dec 28, 10:56 am EST	COATES INTERNATIONAL LTD \DE\COTE	George J. CoatesPresident and CEO, Director, 10% Owner	5,192,845	—	—	9,271,892	—
Dec 28, 2018 MForm 4 →	Dec 28, 11:38 am EST	NORWOOD FINANCIAL CORPNWFL	Ralph A MatergiaDirector	825	—	—	5,350	—
Sep 15, 2017 AForm 4 →	Dec 28, 2018, 12:38 pm EST	AIR INDUSTRIES GROUPAIRI	Luciano M MelluzzoPresident	270,000	—	—	270,000	—	late
Dec 26, 2018 MForm 4 →	Dec 28, 12:40 pm EST	Care.com IncCRCM	Sheila Lirio MarceloPresident and CEO, Director	30,000	—	—	366,480	—
Dec 28, 2018 MForm 4 →	Dec 28, 2:01 pm EST	First Savings Financial Group IncFSFG	Jacqueline R JournellEVP Chief Accounting Officer	3,000	—	—	4,710	—
Dec 26, 2018 MForm 4 →	Dec 28, 2:04 pm EST	GOLDMAN SACHS GROUP INCGS	Gregory K PalmExecutive VP - General Counsel	69,912	—	—	0	—
Dec 26, 2018 MForm 4 →	Dec 28, 2:28 pm EST	TACTILE SYSTEMS TECHNOLOGY INCTCMD	Gerald R. MattysChief Executive Officer, Director	59,300	—	—	118,002	—
Dec 28, 2018 AForm 4 →	Dec 28, 2:55 pm EST	XCEL ENERGY INCXEL	Richard T ObrienDirector	786	—	—	51,773	—
Dec 28, 2018 AForm 4 →	Dec 28, 2:59 pm EST	XCEL ENERGY INCXEL	Christopher J. PolicinskiDirector	817	—	—	85,717	—
Dec 28, 2018 AForm 4 →	Dec 28, 3:02 pm EST	XCEL ENERGY INCXEL	David A WesterlundDirector	696	—	—	119,976	—
Dec 28, 2018 AForm 4 →	Dec 28, 3:04 pm EST	XCEL ENERGY INCXEL	Kim WilliamsDirector	786	—	—	84,252	—
Dec 27, 2018 MForm 4 →	Dec 28, 3:12 pm EST	ORACLE CORPORCL	Dorian DaleyEVP, Gen'l Counsel, Secretary	25,000	—	—	25,000	—
Dec 27, 2018 AForm 4 →	Dec 28, 3:48 pm EST	SANDERSON FARMS INCSAFM	Lampkin ButtsPresident and COO, Director	6,750	—	—	6,750	—
Dec 27, 2018 AForm 4 →	Dec 28, 3:49 pm EST	SANDERSON FARMS INCSAFM	D Michael CockrellTreasurer and CFO, Director	5,500	—	—	5,500	—
Dec 27, 2018 AForm 4 →	Dec 28, 3:49 pm EST	SANDERSON FARMS INCSAFM	Tim RigneyController/Secretary	1,000	—	—	1,000	—
Dec 27, 2018 AForm 4 →	Dec 28, 3:50 pm EST	SANDERSON FARMS INCSAFM	Joe F Sanderson Jr.CEO, Chairman of the Board, Director	26,000	—	—	26,000	—

A trading day runs to 4:00 pm ET; filings accepted later appear on the next trading day. Rows aggregate a filing’s matching transaction lines — see the methodology for the exact roll-up rules.