SBIG · SpringBig Holdings, Inc. · Insider Trading
Substantial doubt about the company's ability to continue as a going concern.
“The working capital deficit, limited liquidity and maturity of the Company's secured notes raise substantial doubt about the Company's ability to continue as a going concern for a period of at least twelve months from the date these condensed consolidated financial statements are issued. ... There can be no assurance that the Company will successfully complete any such transaction or that these actions will be sufficient to alleviate the conditions giving rise to substantial doubt about the Company's ability to continue as a going concern.”View the 10-Q filed Aug 19, 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.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2026-04-20 | Ellis Larry C |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
The Reporting Person received a restricted stock unit award pursuant to the Issuer's 2022 Amended and Restated Long-Term Incentive Plan that will vest as to (i) 397,874 shares on April 1, 2027; (ii) 397,874 shares on April 1, 2028 and (iii) the remaining shares in this award on April 1, 2029. Vesting will terminate upon the Reporting Person's termination of continuous service, though if a change of control is consummated and the Reporting Person is in continuous service through that date, then all unvested restricted stock units reported herein will become vested. |
Common Stock
|
1,193,623 |
| 2025-08-29 | Shiffman Marc |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
The reporting person received a restricted stock award pursuant to the issuer's 2022 Amended and Restated Long-Term Incentive Plan that will vest as to (i) 397,874 shares on September 23, 2025; (ii) 397,874 shares on September 23, 2026 and (iii) the remaining shares in this award on September 23, 2027. |
Common Stock
|
1,193,623 |
| 2025-07-31 | Christopher Jaret |
Director, Chairman and CEO |
Award↑
Filing footnotes — Common Stock (Direct)
The reporting person acquired the reported shares directly from the issuer as closing date consideration for the previously announced acquisition of VICE CRM LLC, a Massachusetts limited liability company. |
Common Stock
|
772,133 |
| 2025-05-15 | Silver Mark Laurence |
Director, 10% Owner |
Buy↑
Filing footnotes — 8% Senior Secured Convertible Promissory Notes due 2026 (Indirect)
Mark L. Silver is the President of Shalcor Management, Inc. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by Shalcor Management, Inc., but disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
8% Senior Secured Convertible Promissory Notes due 2026
(I)
|
0 |
| 2025-01-17 | Silver Mark Laurence |
Director, 10% Owner |
Buy↑
Filing footnotes — 8% Senior Secured Convertible Promissory Notes due 2026 (Indirect)
Mark L. Silver is the President of Shalcor Management, Inc. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by Shalcor Management, Inc., but disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
8% Senior Secured Convertible Promissory Notes due 2026
(I)
|
0 |
| 2025-01-17 | Harris Jeffrey Todd |
Director, Chief Executive Officer, 10% Owner |
Sell↓
|
8% Senior Secured Convertible Promissory Notes due 2026
|
0 |
| 2024-11-15 | Sykes Paul |
Chief Financial Officer |
Buy↑
|
Common Stock
|
15,000 |
| 2024-07-07 | Sykes Paul |
Chief Financial Officer |
Convert↓
Filing footnotes — Restricted Stock Units (Direct)
Each restricted stock unit represents a right to acquire one share of the issuer's common stock. Represents the vesting on the second anniversary of the date of the grant of one-third of the 45,000 restricted stock units originally granted to the reporting person. |
Restricted Stock Units
|
15,000 |
| 2024-07-07 | Sykes Paul |
Chief Financial Officer |
Convert↑
Filing footnotes — Common Stock (Direct)
Represents the vesting on the second anniversary of the date of the grant of one-third of the 45,000 restricted stock units originally granted to the reporting person. Each restricted stock unit represents a right to acquire one share of the issuer's common stock. |
Common Stock
|
15,000 |
| 2024-01-23 | Harris Jeffrey Todd |
Director, Chief Executive Officer, 10% Owner |
Award↑
|
8% Senior Secured Convertible Promissory Notes due 2026
|
320,000 |
| 2024-01-23 | Sykes Paul |
Chief Financial Officer |
Award↑
|
8% Senior Secured Convertible Promissory Notes due 2026
|
25,000 |
| 2024-01-23 | Trauben Jonathan |
Director |
Award↑
|
8% Senior Secured Convertible Promissory Notes due 2026
|
15,000 |
| 2023-09-15 | Sykes Paul |
Chief Financial Officer |
Buy↑
Filing footnotes — Common Stock (Direct)
The price reported is the weighted average price of multiple trades at prices ranging from $0.15 to $0.1625 per share, inclusive. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each price within the reported range. |
Common Stock
|
28,307 |
| 2023-09-14 | Sykes Paul |
Chief Financial Officer |
Buy↑
|
Common Stock
|
300 |
| 2023-07-07 | Anand Navin |
Chief Technology Officer |
Convert↑
Filing footnotes — Common Stock (Direct)
Represents the vesting on the first anniversary of the date of the grant of one-third of the 45,000 restricted stock units originally granted to the reporting person. Each restricted stock unit represents a right to acquire one share of the issuers common stock. |
Common Stock
|
15,000 |
| 2023-07-07 | Trauben Jonathan |
Director |
Convert↑
Filing footnotes — Common Stock (Direct)
Represents the vesting on the first anniversary of the date of the grant of one-third of the 25,000 restricted stock units originally granted to the reporting person. Each restricted stock unit represents a right to acquire one share of the issuers common stock. |
Common Stock
|
8,333 |
| 2023-07-07 | Schwarz Philip |
Director |
Convert↓
Filing footnotes — Restricted Stock Units (Direct)
Each restricted stock unit represents a right to acquire one share of the issuers common stock. Represents the vesting on the first anniversary of the date of the grant of one-third of the 25,000 restricted stock units originally granted to the reporting person. July 7, 2023 |
Restricted Stock Units
|
8,333 |
| 2023-07-07 | Glassford Patricia |
Director |
Convert↓
Filing footnotes — Restricted Stock Units (Direct)
Each restricted stock unit represents a right to acquire one share of the issuers common stock. Represents the vesting on the first anniversary of the date of the grant of one-third of the 25,000 restricted stock units originally granted to the reporting person. July 7, 2023 |
Restricted Stock Units
|
8,333 |
| 2023-07-07 | Trauben Jonathan |
Director |
Convert↓
Filing footnotes — Restricted Stock Units (Direct)
Each restricted stock unit represents a right to acquire one share of the issuers common stock. Represents the vesting on the first anniversary of the date of the grant of one-third of the 25,000 restricted stock units originally granted to the reporting person. July 7, 2023 |
Restricted Stock Units
|
8,333 |
| 2023-07-07 | Lannert Amanda |
Director |
Convert↑
Filing footnotes — Common Stock (Direct)
Represents the vesting on the first anniversary of the date of the grant of one-third of the 25,000 restricted stock units originally granted to the reporting person. Each restricted stock unit represents a right to acquire one share of the issuers common stock. |
Common Stock
|
8,333 |
| 2023-07-07 | BERNSTEIN STEVEN E |
Director |
Convert↑
Filing footnotes — Common Stock (Direct)
Represents the vesting on the first anniversary of the date of the grant of one-third of the 25,000 restricted stock units originally granted to the reporting person Each restricted stock unit represents a right to acquire one share of the issuers common stock. |
Common Stock
|
8,333 |
| 2023-07-07 | Schwarz Philip |
Director |
Convert↑
Filing footnotes — Common Stock (Direct)
Represents the vesting on the first anniversary of the date of the grant of one-third of the 25,000 restricted stock units originally granted to the reporting person. Each restricted stock unit represents a right to acquire one share of the issuers common stock. |
Common Stock
|
8,333 |
| 2023-07-07 | Sherman Sergey |
Director |
Convert↑
Filing footnotes — Common Stock (Indirect)
Represents the vesting on the first anniversary of the date of the grant of one-third of the 25,000 restricted stock units originally granted to the reporting person. Each restricted stock unit represents a right to acquire one share of the issuers common stock. Mr. Sherman has entered into an agreement pursuant to which he has agreed that all equity awards that would otherwise have been granted to him for his service as director of the Issuer are held, from the date of grant, directly by Tuatara Capital, LP. Solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, Tuatara Capital, LP may be deemed a director by deputization with respect to the Issuer. Mr. Sherman disclaims beneficial ownership of all securities reported herein except to the extent of his pecuniary interest therein, if any. Held by Tuatara Capital, LP |
Common Stock
(I)
|
8,333 |
| 2023-07-07 | Sherman Sergey |
Director |
Convert↓
Filing footnotes — Restricted Stock Units (Indirect)
Each restricted stock unit represents a right to acquire one share of the issuers common stock. Represents the vesting on the first anniversary of the date of the grant of one-third of the 25,000 restricted stock units originally granted to the reporting person. July 7, 2023 |
Restricted Stock Units
(I)
|
8,333 |
| 2023-07-07 | BERNSTEIN STEVEN E |
Director |
Convert↓
Filing footnotes — Restricted Stock Units (Direct)
Each restricted stock unit represents a right to acquire one share of the issuers common stock. Represents the vesting on the first anniversary of the date of the grant of one-third of the 25,000 restricted stock units originally granted to the reporting person July 7, 2023 |
Restricted Stock Units
|
8,333 |
| 2023-07-07 | Lannert Amanda |
Director |
Convert↓
Filing footnotes — Restricted Stock Units (Direct)
Each restricted stock unit represents a right to acquire one share of the issuers common stock. Represents the vesting on the first anniversary of the date of the grant of one-third of the 25,000 restricted stock units originally granted to the reporting person. July 7, 2023 |
Restricted Stock Units
|
8,333 |
| 2023-07-07 | Anand Navin |
Chief Technology Officer |
Convert↓
Filing footnotes — Restricted Stock Units (Direct)
Each restricted stock unit represents a right to acquire one share of the issuers common stock. Represents the vesting on the first anniversary of the date of the grant of one-third of the 45,000 restricted stock units originally granted to the reporting person. July 7, 2023 |
Restricted Stock Units
|
15,000 |
| 2023-07-07 | Sykes Paul |
Chief Financial Officer |
Convert↓
Filing footnotes — Restricted Stock Units (Direct)
Each restricted stock unit represents a right to acquire one share of the issuers common stock. Represents the vesting on the first anniversary of the date of the grant of one-third of the 45,000 restricted stock units originally granted to the reporting person. July 7, 2023 |
Restricted Stock Units
|
15,000 |
| 2023-07-07 | Sykes Paul |
Chief Financial Officer |
Convert↑
Filing footnotes — Common Stock (Direct)
Represents the vesting on the first anniversary of the date of the grant of one-third of the 45,000 restricted stock units originally granted to the reporting person. Each restricted stock unit represents a right to acquire one share of the issuers common stock. |
Common Stock
|
15,000 |
| 2023-07-07 | Glassford Patricia |
Director |
Convert↑
Filing footnotes — Common Stock (Direct)
Represents the vesting on the first anniversary of the date of the grant of one-third of the 25,000 restricted stock units originally granted to the reporting person. Each restricted stock unit represents a right to acquire one share of the issuers common stock. |
Common Stock
|
8,333 |
| 2023-06-28 | Lannert Amanda |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
These shares represent restricted stock units and will be settled in common stock upon vesting, which will occur one-third per year beginning on the first anniversary of the date of grant. |
Common Stock
|
25,000 |
| 2023-06-28 | Sherman Sergey |
Director |
Award↑
Filing footnotes — Common Stock (Indirect)
These shares represent restricted stock units and will be settled in common stock upon vesting, which will occur one-third per year beginning on the first anniversary of the date of grant. Mr. Sherman has entered into an agreement pursuant to which he has agreed that all equity awards that would otherwise have been granted to him for his service as director of the Issuer are held, from the date of grant, directly by Tuatara Capital, LP. Solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, Tuatara Capital, LP may be deemed a director by deputization with respect to the Issuer. Mr. Sherman disclaims beneficial ownership of all securities reported herein except to the extent of his pecuniary interest therein, if any. Held by Tuatara Capital, LP |
Common Stock
(I)
|
25,000 |
| 2023-06-28 | BERNSTEIN STEVEN E |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
These shares represent restricted stock units and will be settled in common stock upon vesting, which will occur one-third per year beginning on the first anniversary of the date of grant. |
Common Stock
|
25,000 |
| 2023-06-28 | Sykes Paul |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
These shares represent restricted stock units and will be settled in common stock upon vesting, which will occur one-third per year beginning on the first anniversary of the date of grant. |
Common Stock
|
215,000 |
| 2023-06-28 | Harris Jeffrey Todd |
Director, Chief Executive Officer, 10% Owner |
Award↑
Filing footnotes — Common Stock (Direct)
On June 28, 2023, the reporting person filed a Form 4 which inadvertently reported that the issuer granted him 25,000 shares of common stock in the form of restricted stock units and that following such grant, he directly held 977,272 shares of common stock. In fact, as reported in this amendment, the issuer granted the reporting person 820,000 shares of common stock in the form of restricted stock units and following such grant, he directly held 1,772,272 shares of common stock. These shares represent restricted stock units and will be settled in common stock upon vesting, which will occur one-third per year beginning on the first anniversary of the date of grant. |
Common Stock
|
820,000 |
| 2023-06-28 | Glassford Patricia |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
These shares represent restricted stock units and will be settled in common stock upon vesting, which will occur one-third per year beginning on the first anniversary of the date of grant. |
Common Stock
|
25,000 |
| 2023-06-28 | Harris Jeffrey Todd |
Director, Chief Executive Officer, 10% Owner |
Award↑
Filing footnotes — Common Stock (Direct)
These shares represent restricted stock units and will be settled in common stock upon vesting, which will occur one-third per year beginning on the first anniversary of the date of grant. |
Common Stock
|
25,000 |
| 2023-06-28 | Schwarz Philip |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
These shares represent restricted stock units and will be settled in common stock upon vesting, which will occur one-third per year beginning on the first anniversary of the date of grant. |
Common Stock
|
25,000 |
| 2023-06-28 | Trauben Jonathan |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
These shares represent restricted stock units and will be settled in common stock upon vesting, which will occur one-third per year beginning on the first anniversary of the date of grant. |
Common Stock
|
25,000 |
| 2023-06-28 | Anand Navin |
Chief Technology Officer |
Award↑
Filing footnotes — Common Stock (Direct)
These shares represent restricted stock units and will be settled in common stock upon vesting, which will occur one-third per year beginning on the first anniversary of the date of grant. |
Common Stock
|
60,000 |
| 2023-06-16 | Harris Jeffrey Todd |
Director, Chief Executive Officer, 10% Owner |
Convert↑
Filing footnotes — Common Stock (Direct)
On June 16, 2023, the reporting person filed a Form 4 which inadvertently reported that he acquired 233,769 shares of common stock in connection with the exercise of stock options. In fact, as reported in this amendment, he acquired 223,769 shares of common stock in connection with the exercise of stock options. |
Common Stock
|
223,769 |
| 2023-05-31 | Sykes Paul |
Chief Financial Officer |
Buy↑
|
Common Stock
|
164,636 |
| 2023-05-31 | Glassford Patricia |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Represents common stock acquired in connection with the reasonable best efforts registered public offering of SpringBig Holdings, Inc.?s common stock, par value $0.0001 per share, which closed on May 31, 2023. These shares were acquired at the at-the-market public offering price of $0.3037 per share. |
Common Stock
|
164,636 |
| 2023-05-31 | BERNSTEIN STEVEN E |
Director |
Buy↑
Filing footnotes — Common Stock (Indirect)
Represents common stock acquired in connection with the reasonable best efforts registered public offering of SpringBig Holdings, Inc.?s common stock, par value $0.0001 per share, which closed on May 31, 2023. These shares were acquired at the at-the-market public offering price of $0.3037 per share. The reporting person disclaims beneficial ownership of the securities held by Bernstein Limited Partnership II, for which he is the General Partner, except to the extent of his individual pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Held by Bernstein Limited Partnership II |
Common Stock
(I)
|
493,908 |
| 2023-05-31 | Lannert Amanda |
Director |
Buy↑
Filing footnotes — Common Stock (Indirect)
Represents common stock acquired in connection with the reasonable best efforts registered public offering of SpringBig Holdings, Inc.?s common stock, par value $0.0001 per share, which closed on May 31, 2023. These shares were acquired at the at-the-market public offering price of $0.3037 per share. Held of record by The Kevin R. Lannert Revocable Trust Co-Trustees Kevin Lannert & Amanda Lannert UTA DTD 9/26/2018 The reporting person disclaims beneficial ownership of the securities held by such trust, for which she is a Trustee, except to the extent of her individual pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Common Stock
(I)
|
329,272 |
| 2023-05-31 | Trauben Jonathan |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Represents common stock acquired in connection with the reasonable best efforts registered public offering of SpringBig Holdings, Inc.'s common stock, par value $0.0001 per share, which closed on May 31, 2023. These shares of common stock were acquired at the at-the-market public offering price of $0.3037 per share. |
Common Stock
|
82,318 |
| 2023-05-31 | Harris Jeffrey Todd |
Director, Chief Executive Officer, 10% Owner |
Buy↑
|
Common Stock
|
658,544 |
| 2023-05-26 | Trauben Jonathan |
Director |
Buy↑
|
Common Stock
|
15,000 |
| 2022-09-07 | Harris Jeffrey Todd |
Director, Chief Executive Officer, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Direct)
The price reported is the weighted average price of multiple trades at prices ranging from $1.550 to $1.735 per share, inclusive. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the issuer, full information regarding the number of shares sold at each price within the reported range. |
Common Stock
|
39,775 |
| 2022-09-06 | Harris Jeffrey Todd |
Director, Chief Executive Officer, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Direct)
The price reported is the weighted average price of multiple trades at prices ranging from $1.485 to $1.670 per share, inclusive. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the issuer, full information regarding the number of shares sold at each price within the reported range. |
Common Stock
|
20,184 |