| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | APLD | Common Stock | Gift | $0 | -119K | -60.89% | $0.00 | 76.2K | Aug 25, 2022 | Direct | F1, F2 |
| transaction | APLD | Common Stock | Gift | $0 | -268K | -100% | $0.00* | 0 | Aug 25, 2022 | Footnote | F3 |
| transaction | APLD | Common Stock | Gift | $0 | +119K | $0.00 | 119K | Aug 25, 2022 | Footnote | F2, F4 | |
| transaction | APLD | Common Stock | Gift | $0 | +268K | +225.59% | $0.00 | 386K | Aug 25, 2022 | See Footnote | F2, F4 |
| transaction | APLD | Common Stock | Sale | -$196K | -100K | -16.3% | $1.96 | 514K | Mar 15, 2023 | Footnote | F5, F6 |
| transaction | APLD | Common Stock | Sale | -$90K | -45K | -8.76% | $2.00 | 469K | Mar 16, 2023 | Footnote | F6, F7 |
| transaction | APLD | Common Stock | Sale | -$206K | -103K | -21.93% | $2.00 | 366K | Mar 17, 2023 | Footnote | F6, F8 |
| transaction | APLD | Common Stock | Sale | -$106K | -52.3K | -14.31% | $2.03 | 314K | Mar 20, 2023 | Footnote | F6, F9 |
| transaction | APLD | Common Stock | Sale | -$11.4K | -5.2K | -1.66% | $2.20 | 308K | Mar 22, 2023 | Footnote | F6, F10 |
| transaction | APLD | Common Stock | Sale | -$116K | -54.5K | -17.68% | $2.12 | 254K | Mar 23, 2023 | Footnote | F6, F11 |
| transaction | APLD | Common Stock | Sale | -$390K | -189K | -74.6% | $2.06 | 64.5K | Mar 24, 2023 | Footnote | F6, F12 |
| transaction | APLD | Common Stock | Sale | -$131K | -64K | -100% | $2.05 | 0 | Mar 27, 2023 | Footnote | F6, F13, F14 |
| Id | Content |
|---|---|
| F1 | Consists of common stock held directly by the Reporting person. Such shares were transferred as a gift to the Moore Family Trust. |
| F2 | Includes 76,191 shares of restricted stock that vest on November 10, 2023 so long as the Reporting Person is a director of the issuer on such date. |
| F3 | Consists of shares of common stock held by Andrew Moore, the Reporting Person's spouse. Such shares were transferred as a gift to the Moore Family Trust. |
| F4 | Held by the Moore Family Trust, of which Virginia Moore is a trustee. Such shares were transferred as a gift from the Reporting Person's spouse and Reporting Person. |
| F5 | The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.95 to $1.98 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| F6 | Consists of shares of common stock held by B. Riley Securities, Inc., of which Andrew Moore, the Reporting Person's spouse, is the Chief Executive Officer. |
| F7 | The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.99 to $2.03 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| F8 | The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.99 per share to $2.03 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| F9 | The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.02 to $2.07 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| F10 | The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.20 to $2.22 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| F11 | The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.06 to $2.21 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| F12 | The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.05 to $2.08 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| F13 | The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.04 to $2.10 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| F14 | This reflects a correction of a ministerial error. Previously, an additional 454 shares were shown as held in error. |