Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | APLD | Common Stock | Purchase | $112K | +50K | +4.03% | $2.24 | 1.29M | Nov 25, 2022 | See Footnote | F3, F4 |
transaction | APLD | Common Stock | Purchase | $59.4K | +30K | +2.32% | $1.98 | 1.32M | Nov 28, 2022 | See Footnote | F5 |
holding | APLD | Common Stock | 3.62M | Nov 25, 2022 | Direct | F1 | |||||
holding | APLD | Common Stock | 17.6M | Nov 25, 2022 | See Footnote. | F2 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
holding | APLD | Restricted Stock Unit | 500K | Nov 25, 2022 | Common Stock | 500K | Direct | F6, F7 |
Id | Content |
---|---|
F1 | Includes (i) 125,000 shares of restricted stock, of which 62,500 will vest on each of January 1, 2023, and April 1, 2023, and (ii) 742,166 shares held in the Reporting Person's IRA. |
F2 | Shares are held by Cummins Family Ltd., of which the Reporting Person is the CEO. |
F3 | Constitutes the weighted average purchase price for multiple transactions reported on this line, having prices per share ranging from $2.20 to $2.26. The Reporting Person will provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding each separate transaction. |
F4 | Shares are held by B. Riley Asset Management, LLC, of which the Reporting Person is the President. |
F5 | Constitutes the weighted average purchase price for multiple transactions reported on this line, having prices per share ranging from $1.92 to $2.02. The Reporting Person will provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding each separate transaction. |
F6 | Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock. |
F7 | One-sixth (1/6) of the RSUs vest on each of February 5 and August 5 of each of 2023, 2024 and 2025. |