PQNT · Katapult Holdings, Inc.
The latest filing states the doubt was alleviated.
“The New Revolving Facility matures on December 4, 2026, which is within one year after the date these financial statements are issued. As of August 4, 2026, we do not have sufficient standalone liquidity to repay the outstanding balance of the New Revolving Facility at its contractual maturity. Accordingly, management concluded that these conditions and events raised substantial doubt about the Company's ability to continue as a going concern. Management intends to refinance, extend or replace the New Revolving Facility prior to its maturity. In addition, we expect the pending mergers with CCFI and Aaron's to close in August 2026. Following completion of the mergers, we expect to have sufficient liquidity to repay the New Revolving Facility, if necessary, and to support the refinancing, extension or replacement of the facility. Based on these plans, management concluded that it is probable the plans will be effectively implemented and will mitigate the conditions and events that raised substantial doubt. Accordingly, management concluded that substantial doubt has been alleviated.”View the 10-Q filed Aug 4, 2026
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 4 and 5. Form 3 supplies initial ownership rather than a trade; Form 4 must be filed within two business days of the trade.
Insider Sentiment Score
Peer-relative 0–100 rank of how aggressively insiders accumulated over the trailing 90 days. See the full ranking.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2026-08-11 | Hanson Kyle |
Director, Executive Chairman |
Award↑
Filing footnotes — Common Stock (Indirect)
Received in exchange for the contribution and assignment of 114.4 units of CCFI MIP Holdings LLC to the Issuer in exchange for shares of the Issuer's common stock in connection with the mergers of Aaron's Intermediate Holdco, Inc. and CCF Holdings, LLC with subsidiaries of the Issuer (the "Mergers"). On the effective date of the Mergers, the closing price of the Issuer's common stock was $8.00 per share. |
Common Stock
(I)
|
3,505,145 |
| 2026-08-11 | IQV Holdco, LLC |
10% Owner |
Other↓
Filing footnotes — Common Stock (Direct)
Reflects (i) a transfer of 57,801 shares from IQV Holdco, LLC ("IQV Holdco") to Brent Turner, (ii) a pro rata distribution from IQV Holdco to its members, including KMJ Group Holdings, LLC ("KMJ") and (iii) a subsequent pro rata distribution immediately thereafter from KMJ of all of the shares received in the distribution from IQV Holdco to all of its members. |
Common Stock
|
11,369,326 |
| 2026-08-11 | Hanson Kyle |
Director, Executive Chairman |
Other↑
Filing footnotes — Common Stock (Indirect)
Reflects a pro rata distribution from KMJ Group Holdings, LLC, a manager-managed Ohio limited liability company, of which the reporting person is a member. Not a market sale. |
Common Stock
(I)
|
900,308 |
| 2026-08-11 | Schutt Eugene R Jr |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Reflects the right to receive shares of the Issuer's common stock in exchange for 18,447,791 phantom restricted units of CCF Holdings, LLC twelve months following the termination of the CCF Holdings, LLC 2021 management incentive plan in connection with the mergers of Aaron's Intermediate Holdco, Inc. and CCF Holdings, LLC into the Issuer (the "Mergers"). On the effective date of the Mergers, the closing price of the Issuer's common stock was $8.00 per share. |
Common Stock
|
594,320 |
| 2026-08-11 | Heller Michael MH |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Reflects the right to receive shares of the Issuer's common stock in exchange for 18,447,791 phantom restricted units of CCF Holdings, LLC twelve months following the termination of the CCF Holdings, LLC 2021 management incentive plan in connection with the mergers of Aaron's Intermediate Holdco, Inc. and CCF Holdings, LLC into the Issuer (the "Mergers"). On the effective date of the Mergers, the closing price of the Issuer's common stock was $8.00 per share. |
Common Stock
|
596,320 |
| 2026-08-11 | Miller Cory J |
EVP and CFO |
Award↓
Filing footnotes — Common Stock (Direct)
Reflects an award of restricted stock units pursuant ("RSUs") as part of the Mergers that will vest over two years, with 25% of the RSUs vesting on February 11, 2027, and the remaining RSUs vesting thereafter in three substantially equal semi-annual installments on the 11th of each of February and August of each year, subject to the Reporting Person's continued employment with the Issuer on each applicable vesting date. |
Common Stock
|
511,006 |
| 2026-08-11 | HHCF Series 21 Sub, LLC |
10% Owner |
Sell↓
Filing footnotes — Series B Convertible Preferred Stock (Direct)
Each share of Series B Preferred Stock of the Issuer is convertible into 87.79631 shares of Common Stock, based on an implied initial conversion price of $11.39 per share of Common Stock. Until the stockholders of the Issuer approve the conversion of the Series B Convertible Preferred Stock into shares of Common Stock as contemplated by the Nasdaq listing rules, no holder of Preferred Stock may convert shares of Series B Convertible Preferred Stock through either an optional or a mandatory conversion into shares of Common Stock, if and to the extent that such conversion would result in the holder beneficially owning in excess of 19.99% of the aggregate number of votes entitled to be cast generally at a meeting of the Issuer's stockholders held for the election of directors by all outstanding shares of Common Stock as of immediately prior to the closing of the issuance and sale of Series B Convertible Preferred Stock by the Issuer to HHCF Sub. The Issuer, Katapult Merger Sub 1, Inc., a wholly-owned indirect subsidiary of the Issuer ("Merger Sub 1"), Katapult Merger Sub 2, LLC, a wholly-owned indirect subsidiary of Katapult ("Merger Sub 2"), CCF Holdings LLC, and Aaron's Intermediate Holdco, INC. ("Aaron's"), entered into an Agreement and Plan of Merger (the "Merger Agreement"). At the closing of the Mergers, which occurred on August 11, 2026, Merger Sub 1 merged with and into Aaron's (the "Aaron's Merger") and Merger Sub 2 merged with and into CCFI (the "CCFI Merger" and together with the Aaron's Merger, collectively the "Mergers"). Immediately prior to the effective time of the Aaron's Merger, (i) the holders (the "Aaron's MIP Holders") of Class A Unit and Class B Unit membership interests ("Aaron's MIP Units") of Aaron's MIP Holdings, LLC assigned to the Issuer the Aaron's MIP Units and (ii) the Issuer issued to the Aaron's MIP Holders, 943,580 shares of the Issuer's Common Stock (the "Aaron's MIP Exchange"). The Issuer, Aaron's, CCFI and HHCF Sub entered into a side letter, effective as of immediately prior to the Aaron's MIP Exchange, pursuant to which (i) HHCF sold to the Issuer all Series A Convertible Preferred Stock and Series B Preferred Stock held by HHCF at a price per share equal to the liquidation preference of such share, plus any accrued and unpaid regular dividends thereon which purchase price was paid by the issuance of a new debt instrument by a subsidiary of the Issuer. HHCF Series 21 Sub, LLC, a Delaware limited liability company ("HHCF Sub") is a wholly-owned subsidiary of HHCF Series 21 Sub Holdco, LLC, a Delaware limited liability company ("Holdco"), and Holdco is a wholly-owned subsidiary of Hawthorn Horizon Credit Fund LLC, Series 21. Lane Risser ("Mr. Risser") is the sole manager of Hawthorn. Each of Holdco, Hawthorn and Mr. Risser disclaims Section 16 beneficial ownership of the securities reported herein, except to the extent, if any, of its or his pecuniary interest in such securities, and nothing contained herein shall be deemed an omission that any of Holdco, Hawthorn or Mr. Risser is the beneficial owner of such securities for Section 16 or any other purpose. |
Series B Convertible Preferred Stock
|
2,633,890 |
| 2026-08-11 | BAKER WILLIAM C |
EVP & Chief Operating Off. |
Award↓
Filing footnotes — Common Stock (Direct)
Reflects an award of restricted stock units pursuant ("RSUs") as part of the mergers of Aaron's Intermediate Holdco, Inc. and CCF Holdings, LLC into the Issuer that will vest over two years, with 25% of the RSUs vesting on February 11, 2027, and the remaining RSUs vesting thereafter in three substantially equal semi-annual installments on the 11th of each of February and August of each year, subject to the Reporting Person's continued employment with the Issuer on each applicable vesting date. |
Common Stock
|
393,082 |
| 2026-08-11 | Baldock Jennifer A |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Reflects the right to receive shares of the Issuer's common stock in exchange for 18,447,791 phantom restricted units of CCF Holdings, LLC twelve months following the termination of the CCF Holdings, LLC 2021 management incentive plan in connection with the mergers of Aaron's Intermediate Holdco, Inc. and CCF Holdings, LLC into the Issuer (the "Mergers"). On the effective date of the Mergers, the closing price of the Issuer's common stock was $8.00 per share. |
Common Stock
|
596,320 |
| 2026-08-11 | Hanson Kyle |
Director, Executive Chairman |
Award↑
Filing footnotes — Common Stock (Direct)
Reflects an award of restricted stock units pursuant ("RSUs") as part of the Mergers that will vest over two years, with 25% of the RSUs vesting on February 11, 2027, and the remaining RSUs vesting thereafter in three substantially equal semi-annual installments on the 11th of each of February and August of each year, subject to the Reporting Person's continued employment with the Issuer on each applicable vesting date. |
Common Stock
|
628,931 |
| 2026-08-11 | Zayas Orlando |
Director, Chief Executive Officer |
Other↓
|
Common Stock
|
20,468 |
| 2026-08-11 | DeVault Lynn |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Received in exchange for 6,286,289 Class D Preferred Units of CCF Holdings, LLC in connection with the mergers of Aaron's Intermediate Holdco, Inc. and CCF Holdings, LLC into the Issuer (the "Mergers"). On the effective date of the Mergers, the closing price of the Issuer's common stock was $8.00 per share. |
Common Stock
|
203,202 |
| 2026-08-11 | HHCF Series 21 Sub, LLC |
10% Owner |
Sell↓
Filing footnotes — Series A Convertible Preferred Stock (Direct)
Each share of Series A Convertible Preferred Stock (the "Series A Convertible Preferred Stock"), of Katapult Holdings, Inc., a Delaware corporation (the "Issuer"), is convertible into 81.16883 shares of Common Stock of the Issuer, based on an implied initial conversion price of $12.32 per share of Common Stock. Until the stockholders of the Issuer approve the conversion of the Series A Convertible Preferred Stock into shares of Common Stock as contemplated by the Nasdaq listing rules, no holder of Series A Convertible Preferred Stock may convert shares of Series A Convertible Preferred Stock through either an optional or a mandatory conversion into shares of Common Stock, if and to the extent that such conversion would result in the holder beneficially owning in excess of 19.99% of the aggregate number of votes entitled to be cast generally at a meeting of the Issuer's stockholders held for the election of directors by all outstanding shares of Common Stock as of immediately prior to the closing of the issuance and sale of Series A Convertible Preferred Stock by the Issuer to HHCF Sub. The Issuer, Katapult Merger Sub 1, Inc., a wholly-owned indirect subsidiary of the Issuer ("Merger Sub 1"), Katapult Merger Sub 2, LLC, a wholly-owned indirect subsidiary of Katapult ("Merger Sub 2"), CCF Holdings LLC, and Aaron's Intermediate Holdco, INC. ("Aaron's"), entered into an Agreement and Plan of Merger (the "Merger Agreement"). At the closing of the Mergers, which occurred on August 11, 2026, Merger Sub 1 merged with and into Aaron's (the "Aaron's Merger") and Merger Sub 2 merged with and into CCFI (the "CCFI Merger" and together with the Aaron's Merger, collectively the "Mergers"). Immediately prior to the effective time of the Aaron's Merger, (i) the holders (the "Aaron's MIP Holders") of Class A Unit and Class B Unit membership interests ("Aaron's MIP Units") of Aaron's MIP Holdings, LLC assigned to the Issuer the Aaron's MIP Units and (ii) the Issuer issued to the Aaron's MIP Holders, 943,580 shares of the Issuer's Common Stock (the "Aaron's MIP Exchange"). The Issuer, Aaron's, CCFI and HHCF Sub entered into a side letter, effective as of immediately prior to the Aaron's MIP Exchange, pursuant to which (i) HHCF sold to the Issuer all Series A Convertible Preferred Stock and Series B Preferred Stock held by HHCF at a price per share equal to the liquidation preference of such share, plus any accrued and unpaid regular dividends thereon which purchase price was paid by the issuance of a new debt instrument by a subsidiary of the Issuer. HHCF Series 21 Sub, LLC, a Delaware limited liability company ("HHCF Sub") is a wholly-owned subsidiary of HHCF Series 21 Sub Holdco, LLC, a Delaware limited liability company ("Holdco"), and Holdco is a wholly-owned subsidiary of Hawthorn Horizon Credit Fund LLC, Series 21. Lane Risser ("Mr. Risser") is the sole manager of Hawthorn. Each of Holdco, Hawthorn and Mr. Risser disclaims Section 16 beneficial ownership of the securities reported herein, except to the extent, if any, of its or his pecuniary interest in such securities, and nothing contained herein shall be deemed an omission that any of Holdco, Hawthorn or Mr. Risser is the beneficial owner of such securities for Section 16 or any other purpose. |
Series A Convertible Preferred Stock
|
2,840,910 |
| 2026-08-11 | Hanson Kyle |
Director, Executive Chairman |
Other↑
Filing footnotes — Common Stock (Indirect)
Reflects a pro rata distribution from KMJ Group Holdings, LLC, a manager-managed Ohio limited liability company, of which the reporting person is a member. Not a market sale. |
Common Stock
(I)
|
900,308 |
| 2026-08-11 | George Rachel G |
Chief Legal Officer |
Award↓
Filing footnotes — Common Stock (Direct)
Reflects an award of restricted stock units pursuant ("RSUs") as part of the Mergers that will vest over two years, with 25% of the RSUs vesting on February 11, 2027, and the remaining RSUs vesting thereafter in three substantially equal semi-annual installments on the 11th of each of February and August of each year, subject to the Reporting Person's continued employment with the Issuer on each applicable vesting date. |
Common Stock
|
314,465 |
| 2026-08-11 | Falkenstein Russell |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
Received in exchange for the contribution and assignment of 95 Class B Units of Aaron's MIP Holdings, LLC to the Issuer in exchange for shares the Issuer's common stock in connection with the mergers of Aaron's Intermediate Holdco, Inc. and CCF Holdings, LLC into the Issuer (the "Mergers"). On the effective date of the Mergers, the closing price of the Issuer's common stock was $8.00 per share. |
Common Stock
|
224,100 |
| 2026-08-11 | Hanson Kyle |
Director, Executive Chairman |
Award↑
Filing footnotes — Common Stock (Direct)
Reflects an award of restricted stock units pursuant ("RSUs") as part of the mergers of Aaron's Intermediate Holdco, Inc. and CCF Holdings, LLC with subsidiaries of the Issuer that will vest over two years, with 25% of the RSUs vesting on February 11, 2027, and the remaining RSUs vesting thereafter in three substantially equal semi-annual installments on the 11th of each of February and August of each year, subject to the Reporting Person's continued employment with the Issuer on each applicable vesting date. |
Common Stock
|
628,931 |
| 2026-08-11 | HHCF Series 21 Sub, LLC |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Direct)
HHCF Series 21 Sub, LLC, a Delaware limited liability company ("HHCF Sub") is a wholly-owned subsidiary of HHCF Series 21 Sub Holdco, LLC, a Delaware limited liability company ("Holdco"), and Holdco is a wholly-owned subsidiary of Hawthorn Horizon Credit Fund LLC ("Hawthorn"). Lane Risser ("Mr. Risser") is the sole manager of Hawthorn. Each of Holdco, Hawthorn and Mr. Risser disclaims Section 16 beneficial ownership of the securities reported herein, except to the extent, if any, of its or his pecuniary interest in such securities, and nothing contained herein shall be deemed an omission that any of Holdco, Hawthorn or Mr. Risser is the beneficial owner of such securities for Section 16 or any other purpose. |
Common Stock
|
612,985 |
| 2026-08-11 | Miller Cory J |
EVP and CFO |
Award↑
Filing footnotes — Common Stock (Direct)
Received in exchange for the contribution and assignment of 114 Class B Units of Aaron's MIP Holdings, LLC to the Issuer in exchange for shares the Issuer's common stock in connection with the mergers of Aaron's Intermediate Holdco, Inc. and CCF Holdings, LLC with subsidiaries of the Issuer (the "Mergers"). On the effective date of the Mergers, the closing price of the Issuer's common stock was $8.00 per share. |
Common Stock
|
268,920 |
| 2026-08-11 | Zayas Orlando |
Director, Chief Executive Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
On August 11, 2026, the reporting person resigned as Chief Executive Officer of the issuer but will continue to serve as a director. The shares reported in Column 4 are shares withheld for the payment of taxes associated with the acceleration and settlement of the reporting person's outstanding, unvested restricted stock units that were awarded on May 6, 2024. |
Common Stock
|
2,608 |
| 2026-08-11 | BAKER WILLIAM C |
EVP & Chief Operating Off. |
Award↑
Filing footnotes — Common Stock (Indirect)
Received in exchange for the contribution and assignment of 41.4 units of CCFI MIP Holdings LLC to the Issuer in exchange for shares of the Issuer's common stock in connection with the mergers of Aaron's Intermediate Holdco, Inc. and CCF Holdings, LLC with subsidiaries of the Issuer (the "Mergers"). On the effective date of the Mergers, the closing price of the Issuer's common stock was $8.00 per share. |
Common Stock
(I)
|
1,268,047 |
| 2026-08-11 | Falkenstein Russell |
Chief Financial Officer |
Award↓
Filing footnotes — Common Stock (Direct)
Reflects an award of restricted stock units pursuant ("RSUs") as part of the Mergers that will vest over two years, with 25% of the RSUs vesting on February 11, 2027, and the remaining RSUs vesting thereafter in three substantially equal semi-annual installments on the 11th of each of February and August of each year, subject to the Reporting Person's continued employment with the Issuer on each applicable vesting date. |
Common Stock
|
393,082 |
| 2026-08-11 | George Rachel G |
Chief Legal Officer |
Award↑
Filing footnotes — Common Stock (Direct)
Received in exchange for the contribution and assignment of 76 Class B Units of Aaron's MIP Holdings, LLC to the Issuer in exchange for shares the Issuer's common stock in connection with the mergers of Aaron's Intermediate Holdco, Inc. and CCF Holdings, LLC with subsidiaries of the Issuer (the "Mergers"). On the effective date of the Mergers, the closing price of the Issuer's common stock was $8.00 per share. |
Common Stock
|
179,280 |
| 2026-08-10 | HHCF Series 21 Sub, LLC |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Direct)
On August 10, 2026, the reporting persons exercised a warrant to purchase 160,000 shares of Common Stock of the Issuer for $0.01 per share. The reporting persons paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 252 of the warrant shares to pay the exercise price and issuing to the reporting persons the remaining 159,748 shares. HHCF Series 21 Sub, LLC, a Delaware limited liability company ("HHCF Sub") is a wholly-owned subsidiary of HHCF Series 21 Sub Holdco, LLC, a Delaware limited liability company ("Holdco"), and Holdco is a wholly-owned subsidiary of Hawthorn Horizon Credit Fund LLC, Series 21. Lane Risser ("Mr. Risser") is the sole manager of Hawthorn. Each of Holdco, Hawthorn and Mr. Risser disclaims Section 16 beneficial ownership of the securities reported herein, except to the extent, if any, of its or his pecuniary interest in such securities, and nothing contained herein shall be deemed an omission that any of Holdco, Hawthorn or Mr. Risser is the beneficial owner of such securities for Section 16 or any other purpose. |
Common Stock
|
252 |
| 2026-08-10 | HHCF Series 21 Sub, LLC |
10% Owner |
Exercise↑
Filing footnotes — Common Stock (Direct)
HHCF Series 21 Sub, LLC, a Delaware limited liability company ("HHCF Sub") is a wholly-owned subsidiary of HHCF Series 21 Sub Holdco, LLC, a Delaware limited liability company ("Holdco"), and Holdco is a wholly-owned subsidiary of Hawthorn Horizon Credit Fund LLC, Series 21. Lane Risser ("Mr. Risser") is the sole manager of Hawthorn. Each of Holdco, Hawthorn and Mr. Risser disclaims Section 16 beneficial ownership of the securities reported herein, except to the extent, if any, of its or his pecuniary interest in such securities, and nothing contained herein shall be deemed an omission that any of Holdco, Hawthorn or Mr. Risser is the beneficial owner of such securities for Section 16 or any other purpose. |
Common Stock
|
160,000 |
| 2026-08-10 | HHCF Series 21 Sub, LLC |
10% Owner |
Exercise↓
Filing footnotes — Warrants (right to buy) (Direct)
HHCF Series 21 Sub, LLC, a Delaware limited liability company ("HHCF Sub") is a wholly-owned subsidiary of HHCF Series 21 Sub Holdco, LLC, a Delaware limited liability company ("Holdco"), and Holdco is a wholly-owned subsidiary of Hawthorn Horizon Credit Fund LLC, Series 21. Lane Risser ("Mr. Risser") is the sole manager of Hawthorn. Each of Holdco, Hawthorn and Mr. Risser disclaims Section 16 beneficial ownership of the securities reported herein, except to the extent, if any, of its or his pecuniary interest in such securities, and nothing contained herein shall be deemed an omission that any of Holdco, Hawthorn or Mr. Risser is the beneficial owner of such securities for Section 16 or any other purpose. |
Warrants (right to buy)
|
160,000 |
| 2026-08-10 | HHCF Series 21 Sub, LLC |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Direct)
On August 10, 2026, the reporting persons exercised a warrant to purchase 486,264 shares of common stock (the "Common Stock"), of Katapult Holdings, Inc. (the "Issuer') for $0.01 per share. The reporting persons paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 765 of the warrant shares to pay the exercise price and issuing to the reporting persons the remaining 485,499 shares. HHCF Series 21 Sub, LLC, a Delaware limited liability company ("HHCF Sub") is a wholly-owned subsidiary of HHCF Series 21 Sub Holdco, LLC, a Delaware limited liability company ("Holdco"), and Holdco is a wholly-owned subsidiary of Hawthorn Horizon Credit Fund LLC, Series 21. Lane Risser ("Mr. Risser") is the sole manager of Hawthorn. Each of Holdco, Hawthorn and Mr. Risser disclaims Section 16 beneficial ownership of the securities reported herein, except to the extent, if any, of its or his pecuniary interest in such securities, and nothing contained herein shall be deemed an omission that any of Holdco, Hawthorn or Mr. Risser is the beneficial owner of such securities for Section 16 or any other purpose. |
Common Stock
|
765 |
| 2026-08-10 | HHCF Series 21 Sub, LLC |
10% Owner |
Exercise↓
Filing footnotes — Warrants (right to buy) (Direct)
HHCF Series 21 Sub, LLC, a Delaware limited liability company ("HHCF Sub") is a wholly-owned subsidiary of HHCF Series 21 Sub Holdco, LLC, a Delaware limited liability company ("Holdco"), and Holdco is a wholly-owned subsidiary of Hawthorn Horizon Credit Fund LLC, Series 21. Lane Risser ("Mr. Risser") is the sole manager of Hawthorn. Each of Holdco, Hawthorn and Mr. Risser disclaims Section 16 beneficial ownership of the securities reported herein, except to the extent, if any, of its or his pecuniary interest in such securities, and nothing contained herein shall be deemed an omission that any of Holdco, Hawthorn or Mr. Risser is the beneficial owner of such securities for Section 16 or any other purpose. |
Warrants (right to buy)
|
486,264 |
| 2026-08-10 | HHCF Series 21 Sub, LLC |
10% Owner |
Exercise↑
Filing footnotes — Common Stock (Direct)
HHCF Series 21 Sub, LLC, a Delaware limited liability company ("HHCF Sub") is a wholly-owned subsidiary of HHCF Series 21 Sub Holdco, LLC, a Delaware limited liability company ("Holdco"), and Holdco is a wholly-owned subsidiary of Hawthorn Horizon Credit Fund LLC, Series 21. Lane Risser ("Mr. Risser") is the sole manager of Hawthorn. Each of Holdco, Hawthorn and Mr. Risser disclaims Section 16 beneficial ownership of the securities reported herein, except to the extent, if any, of its or his pecuniary interest in such securities, and nothing contained herein shall be deemed an omission that any of Holdco, Hawthorn or Mr. Risser is the beneficial owner of such securities for Section 16 or any other purpose. |
Common Stock
|
486,264 |
| 2026-05-15 | Zayas Orlando |
Director, Chief Executive Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
On May 6, 2024, the reporting person was granted 26,500 RSUs, one-third of which vested on March 15, 2025, and the remainder scheduled to vest thereafter in eight quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with the Issuer on each applicable vesting date (the "2024 Award"). The shares reported in Column 4 are shares withheld for the payment of taxes associated with the 2024 Award. |
Common Stock
|
868 |
| 2026-05-15 | Walsh Nancy A |
Chief Financial Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
On May 6, 2024, the reporting person was granted 23,000 RSUs, one-third of which vested on March 15, 2025, and the remainder scheduled to vest thereafter in eight quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with the Issuer on each applicable vesting date (the "2024 Award"). On June 16, 2023, the reporting person was granted 511,364 performance stock units ("PSUs") (which, following the Issuer's July 27, 2023 1-for-25 reverse stock split, resulted in 20,455 PSUs), one-third of which vested on March 15, 2024, and the remainder scheduled to vest thereafter in eight quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with the Issuer on each applicable vesting date and the achievement of the applicable performance goals ("2023 Award"). The shares reported in Column 4 are shares withheld for the payment of taxes associated with the 2023 Award and 2024 Award. |
Common Stock
|
1,424 |
| 2026-05-15 | Medlin Derek |
Chief Operating Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
On May 6, 2024, the reporting person was granted 20,000 RSUs, one-third of which vested on March 15, 2025, and the remainder scheduled to vest thereafter in eight quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with the Issuer on each applicable vesting date (the "2024 Award"). The shares reported in Column 4 are shares withheld for the payment of taxes associated with the 2024 Award. |
Common Stock
|
622 |
| 2026-04-30 | Bartow Philip K III |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Annual grant of restricted stock units ("RSUs") for service as a director of the Issuer. The RSUs vest on the earlier of (i) Apirl 30, 2027 and (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders; subject to the Reporting Person's continued service as a director of the Issuer through the vesting date. |
Common Stock
|
20,979 |
| 2026-04-30 | Gayhardt Donald |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Annual grant of deferred restricted stock units ("DSUs") for service as a director of the Issuer. The DSU vests on the earlier of (i) April 30, 2027 and (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders; subject to the Reporting Person's continued service as a director of the Issuer through the vesting date. |
Common Stock
|
20,979 |
| 2026-04-30 | Zink Gregory L |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Annual grant of restricted stock units ("RSUs") for service as a director of the Issuer. The RSUs vest on the earlier of (i) Apirl 30, 2027 and (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders; subject to the Reporting Person's continued service as a director of the Issuer through the vesting date. |
Common Stock
|
20,979 |
| 2026-02-15 | Medlin Derek |
Chief Operating Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
On March 15, 2022, the reporting person was granted 592,946 RSUs (which, following the Issuer's July 27, 2023 1-for-25 reverse stock split, resulted in 23,718 RSUs), 25% of which vested on March 15, 2023, with the remainder scheduled to vest thereafter in 12 quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with the Issuer on each applicable vesting date (the "2022 Award"). On June 16, 2023, the reporting person was granted 385,000 RSUs (which, following the Issuer's July 27, 2023 1-for-25 reverse stock split, resulted in 15,400 RSUs), one-third of which vested on March 15, 2024, and the remainder scheduled to vest thereafter in eight quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with the Issuer on each applicable vesting date (the "2023 Award"). On May 6, 2024, the reporting person was granted 20,000 RSUs, one-third of which vested on March 15, 2025, and the remainder scheduled to vest thereafter in eight quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with the Issuer on each applicable vesting date (the "2024 Award"). The shares reported in Column 4 are shares withheld for the payment of taxes associated with the 2022 Award, 2023 Award and 2024 Award. |
Common Stock
|
1,890 |
| 2026-02-15 | Zayas Orlando |
Director, Chief Executive Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
On March 15, 2022, the reporting person was granted 1,183,224 RSUs (which, following the Issuer's July 27, 2023 1-for-25 reverse stock split, resulted in 47,329 RSUs), 25% of which vested on March 15, 2023,with the remainder scheduled to vest thereafter in 12 quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with the Issuer on each applicable vesting date (the "2022 Award"). On June 16, 2023, the reporting person was granted 530,000 RSUs (which, following the Issuer's July 27, 2023 1-for-25 reverse stock split, resulted in 21,200RSUs), one-third of which vested on March 15, 2024, and the remainder scheduled to vest thereafter in eight quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with the Issuer on each applicable vesting date (the "2023 Award"). On May 6, 2024, the reporting person was granted 26,500 RSUs, one-third of which vested on March15, 2025, and the remainder scheduled to vest thereafter in eight quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with theIssuer on each applicable vesting date (the "2024 Award"). The shares reported in Column 4 are shares withheld for the payment of taxes associated with the 2022 Award, 2023 Award and 2024 Award. |
Common Stock
|
3,096 |
| 2026-02-15 | Walsh Nancy A |
Chief Financial Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
On January 31, 2023, the reporting person was granted 459,184 restricted stock units ("RSUs") (which, following the Issuer's July 27, 2023 1-for-25 reverse stock split, resulted in 18,367 RSUs), 25% of which vested on February 15, 2024, with the remainder scheduled to vest thereafter in 12 quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with the Issuer on each applicable vesting date ("January 2023 Award"). On June 16, 2023, the reporting person was granted 511,364 performance stock units ("PSUs") (which, following the Issuer's July 27, 2023 1-for-25 reverse stock split, resulted in 20,455 PSUs), one-third of which vested on March 15, 2024, and the remainder scheduled to vest thereafter in eight quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with the Issuer on each applicable vesting date and the achievement of the applicable performance goals ("June 2023 Award"). On May 6, 2024, the reporting person was granted 23,000 RSUs, one-third of which vested on March 15, 2025, and the remainder scheduled to vest thereafter in eight quarterly installments on each of May 15, August 15, November 15 and February 15 subject to the reporting person's continued employment with the Issuer on each applicable vesting date (the "2024 Award"). The shares reported in Column 4 are shares withheld for the payment of taxes associated with the January 2023 Award, June 2023 Award and 2024 Award. |
Common Stock
|
2,492 |
| 2025-11-26 | Zink Gregory L |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Initial grant of restricted stock units ("RSUs") for service as a director of the Issuer. The RSUs vest on the date of the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continued service as a member of the Board until such vesting date. |
Common Stock
|
12,573 |
| 2025-11-17 | Zayas Orlando |
Director, Chief Executive Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
The shares reported in Column 4 are shares withheld for the payment of taxes associated with the 2022 Award, 2023 Award and 2024 Award. |
Common Stock
|
2,729 |
| 2025-11-17 | Folan Kaitlin |
Chief Accounting Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
The shares reported in Column 4 are shares withheld for the payment of taxes associated with a quarterly vesting tranche of RSUs under the 2024 Award. |
Common Stock
|
368 |
| 2025-11-17 | Medlin Derek |
Chief Operating Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
The shares reported in Column 4 are shares withheld for the payment of taxes associated with the 2022 Award, 2023 Award and 2024 Award. |
Common Stock
|
1,654 |
| 2025-11-17 | Walsh Nancy A |
Chief Financial Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
The shares reported in Column 4 are shares withheld for the payment of taxes associated with the January 2023 Award, June 2023 Award and 2024 Award. |
Common Stock
|
2,219 |
| 2025-11-03 | Bartow Philip K III |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Initial grant of restricted stock units ("RSUs") for service as a director of the Issuer. The RSUs vest on the date of the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continued service as a member of the Board until such vesting date. |
Common Stock
|
7,456 |
| 2025-11-03 | RUBIN JEFFREY |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Initial grant of restricted stock units ("RSUs") for service as a director of the Issuer. The RSUs vest on the date of the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continued service as a member of the Board until such vesting date. |
Common Stock
|
7,456 |
| 2025-08-15 | Folan Kaitlin |
Chief Accounting Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
The shares reported in Column 4 are shares withheld for the payment of taxes associated with the vesting of one-third of the restrictive stock units ("RSUs") granted to the reporting person on August 5, 2024 (the "2024 Award"). |
Common Stock
|
1,483 |
| 2025-08-15 | Medlin Derek |
Chief Operating Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
The shares reported in Column 4 are shares withheld for the payment of taxes associated with the 2022 Award, 2023 Award and 2024 Award. |
Common Stock
|
1,657 |
| 2025-08-15 | Walsh Nancy A |
Chief Financial Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
The shares reported in Column 4 are shares withheld for the payment of taxes associated with the January 2023 Award, June 2023 Award and 2024 Award. |
Common Stock
|
2,374 |
| 2025-08-15 | Zayas Orlando |
Director, Chief Executive Officer |
Tax↓
Filing footnotes — Common Stock (Direct)
The shares reported in Column 4 are shares withheld for the payment of taxes associated with the 2022 Award, 2023 Award and 2024 Award. |
Common Stock
|
2,728 |
| 2025-07-14 | THOMPSON JANE J. |
Director |
Sell↓
Filing footnotes — Common Stock (Direct)
A third-party investment advisor retained by the reporting person carried out this transaction in its sole discretion without direction or knowledge from the reporting person. The reporting person recently became aware of the transaction and promptly reported the transaction upon discovery. |
Common Stock
|
800 |