Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | APLD | Common Stock | Purchase | $90K | +25K | +1.27% | $3.60 | 2M | Apr 13, 2023 | See Footnote | F3, F4 |
holding | APLD | Common Stock | 3.69M | Apr 13, 2023 | Direct | F1 | |||||
holding | APLD | Common Stock | 17.6M | Apr 13, 2023 | 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 | 417K | Apr 13, 2023 | Common Stock | 417K | Direct | F5, F6 | ||||||
holding | APLD | Restricted Stock Unit | 600K | Apr 13, 2023 | Common Stock | 600K | Direct | F5, F7 |
Id | Content |
---|---|
F1 | Includes 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 $3.53 to $3.66. 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 | Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. |
F6 | 83,333 RSUs will vest on August 5, 2023, August 5, 2024, and February 5, 2025 and 83,334 RSUs will vest on February 5, 2024 and August 5, 2025. |
F7 | One-third of the RSUs will vest on April 4, 2024, and one-sixth of the RSUs will vest on each of October 4, 2024, April 4, 2025, October 4, 2025 and April 4, 2026. |