Tracy G Smith — SEC Insider Profile, Roles & Companies

Insider at

OCC buying March 26, 2004

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 74 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

74 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Jan. 31, 2026	OCC	F	4,341	$4.93	$21,401	346,311 Direct	-1.24%	Disposed	270.0% (price as of 2026-10-02)
Jan. 31, 2025	OCC	F	2,624	$4.93	$12,936	350,652 Direct	-0.74%	Disposed	270.0% (price as of 2026-10-02)
Aug. 7, 2024	OCC	A	36,630	·	·	353,276 Direct	+11.57%	Acquired	(price as of 2026-10-02)
Jan. 31, 2024	OCC	F	5,142	$2.67	$13,729	316,646 Direct	-1.60%	Disposed	583.1% (price as of 2026-10-02)
Jan. 31, 2023	OCC	F	2,955	$4.09	$12,086	321,788 Direct	-0.91%	Disposed	346.0% (price as of 2026-10-02)
Jan. 31, 2022	OCC	F	4,207	$4.72	$19,857	324,743 Direct	-1.28%	Disposed	286.4% (price as of 2026-10-02)
Sept. 16, 2021	OCC	A	33,393	·	·	328,950 Direct	+11.30%	Acquired	(price as of 2026-10-02)
Dec. 30, 2020	OCC	G	875	$2.73	$2,389	295,557 Direct	+0.30%	Acquired	568.1% (price as of 2026-10-02)
Jan. 31, 2020	OCC	F	243	$3.46	$841	294,682 Direct	-0.08%	Disposed	427.2% (price as of 2026-10-02)
Jan. 31, 2019	OCC	F	35,280	$3.61	$127,361	294,925 Direct	-10.68%	Disposed	405.3% (price as of 2026-10-02)
April 30, 2018	OCC	F	2,328	$2.80	$6,518	330,205 Direct	-0.70%	Disposed	551.4% (price as of 2026-10-02)
Jan. 31, 2018	OCC	F	8,944	$2.35	$21,018	332,533 Direct	-2.62%	Disposed	676.2% (price as of 2026-10-02)
Jan. 29, 2018	OCC	A	51,824	$2.50	$129,560	341,477 Direct	+17.89%	Acquired	629.6% (price as of 2026-10-02)
Oct. 31, 2017	OCC	F	418	$2.45	$1,024	289,653 Direct	-0.14%	Disposed	644.5% (price as of 2026-10-02)
July 31, 2017	OCC	F	407	$2.30	$936	290,071 Direct	-0.14%	Disposed	693.0% (price as of 2026-10-02)
April 30, 2017	OCC	F	3,552	$2.95	$10,478	290,478 Direct	-1.21%	Disposed	518.3% (price as of 2026-10-02)
Jan. 31, 2017	OCC	F	5,131	$3.27	$16,778	294,030 Direct	-1.72%	Disposed	457.8% (price as of 2026-10-02)
Jan. 31, 2017	OCC	F	977	$3.27	$3,195	299,161 Direct	-0.33%	Disposed	457.8% (price as of 2026-10-02)
Jan. 20, 2017	OCC	A	40,071	$3.45	$138,245	300,138 Direct	+15.41%	Acquired	428.7% (price as of 2026-10-02)
Oct. 31, 2016	OCC	F	842	$2.80	$2,358	260,067 Direct	-0.32%	Disposed	551.4% (price as of 2026-10-02)
July 31, 2016	OCC	F	819	$2.20	$1,802	260,909 Direct	-0.31%	Disposed	729.1% (price as of 2026-10-02)
April 30, 2016	OCC	F	3,507	$2.51	$8,803	261,728 Direct	-1.32%	Disposed	626.7% (price as of 2026-10-02)
Jan. 31, 2016	OCC	F	1,589	$2.40	$3,814	265,235 Direct	-0.60%	Disposed	660.0% (price as of 2026-10-02)
Oct. 31, 2015	OCC	F	1,367	$3.13	$4,279	266,824 Direct	-0.51%	Disposed	482.7% (price as of 2026-10-02)
July 31, 2015	OCC	F	1,367	$3.39	$4,634	268,191 Direct	-0.51%	Disposed	438.1% (price as of 2026-10-02)
April 30, 2015	OCC	F	1,619	$4.09	$6,622	269,558 Direct	-0.60%	Disposed	346.0% (price as of 2026-10-02)
April 6, 2015	OCC	A	40,218	·	·	271,177 Direct	+17.41%	Acquired	(price as of 2026-10-02)
Jan. 31, 2015	OCC	F	8,173	$5.21	$42,581	230,959 Direct	-3.42%	Disposed	250.1% (price as of 2026-10-02)
Oct. 31, 2014	OCC	F	1,615	$4.61	$7,445	239,132 Direct	-0.67%	Disposed	295.7% (price as of 2026-10-02)
July 31, 2014	OCC	F	1,571	$4.31	$6,771	240,747 Direct	-0.65%	Disposed	323.2% (price as of 2026-10-02)
April 30, 2014	OCC	F	1,388	$3.72	$5,163	242,318 Direct	-0.57%	Disposed	390.3% (price as of 2026-10-02)
April 1, 2014	OCC	A	40,455	·	·	243,706 Direct	+19.90%	Acquired	(price as of 2026-10-02)
Jan. 31, 2014	OCC	F	1,388	$3.93	$5,455	203,251 Direct	-0.68%	Disposed	364.1% (price as of 2026-10-02)
Oct. 31, 2013	OCC	F	1,197	$3.84	$4,596	204,639 Direct	-0.58%	Disposed	375.0% (price as of 2026-10-02)
July 31, 2013	OCC	F	1,197	$4.40	$5,267	205,836 Direct	-0.58%	Disposed	314.5% (price as of 2026-10-02)
June 17, 2013	OCC	A	40,969	·	·	207,033 Direct	+24.67%	Acquired	(price as of 2026-10-02)
April 30, 2013	OCC	F	1,283	$4.18	$5,363	166,064 Direct	-0.77%	Disposed	336.4% (price as of 2026-10-02)
Jan. 31, 2013	OCC	F	11,209	$4.16	$46,629	167,347 Direct	-6.28%	Disposed	338.5% (price as of 2026-10-02)
Oct. 31, 2012	OCC	F	1,648	$4.15	$6,839	178,556 Direct	-0.91%	Disposed	339.5% (price as of 2026-10-02)
July 31, 2012	OCC	F	1,648	$3.68	$6,065	180,204 Direct	-0.91%	Disposed	395.7% (price as of 2026-10-02)
April 30, 2012	OCC	F	1,648	$3.15	$5,191	181,852 Direct	-0.90%	Disposed	479.0% (price as of 2026-10-02)
April 3, 2012	OCC	A	50,796	·	·	183,500 Direct	+38.28%	Acquired	(price as of 2026-10-02)
Jan. 31, 2012	OCC	F	6,137	$3.54	$21,725	132,704 Direct	-4.42%	Disposed	415.3% (price as of 2026-10-02)
Oct. 31, 2011	OCC	F	1,136	$3.58	$4,067	138,841 Direct	-0.81%	Disposed	409.5% (price as of 2026-10-02)
July 31, 2011	OCC	F	1,136	$4.03	$4,578	139,977 Direct	-0.81%	Disposed	352.6% (price as of 2026-10-02)
April 30, 2011	OCC	F	1,081	$4.49	$4,854	141,113 Direct	-0.76%	Disposed	306.2% (price as of 2026-10-02)
April 10, 2011	OCC	A	29,955	·	·	142,194 Direct	+26.69%	Acquired	(price as of 2026-10-02)
Jan. 31, 2011	OCC	F	5,283	$6.10	$32,226	112,239 Direct	-4.50%	Disposed	199.0% (price as of 2026-10-02)
Oct. 31, 2010	OCC	F	1,535	$3.22	$4,943	117,522 Direct	-1.29%	Disposed	466.5% (price as of 2026-10-02)
Oct. 31, 2010	OCC	F	6,575	$3.22	$21,172	119,057 Direct	-5.23%	Disposed	466.5% (price as of 2026-10-02)
July 31, 2010	OCC	F	1,530	$2.99	$4,575	125,632 Direct	-1.20%	Disposed	510.0% (price as of 2026-10-02)
April 30, 2010	OCC	F	1,825	$3.16	$5,767	127,162 Direct	-1.41%	Disposed	477.2% (price as of 2026-10-02)
Jan. 31, 2010	OCC	F	1,824	$3.51	$6,402	128,987 Direct	-1.39%	Disposed	419.7% (price as of 2026-10-02)
Oct. 31, 2009	OCC	F	1,530	$3.00	$4,590	130,811 Direct	-1.16%	Disposed	508.0% (price as of 2026-10-02)
July 31, 2009	OCC	F	1,530	$3.45	$5,278	132,341 Direct	-1.14%	Disposed	428.7% (price as of 2026-10-02)
April 30, 2009	OCC	F	1,037	$2.95	$3,059	133,871 Direct	-0.77%	Disposed	518.3% (price as of 2026-10-02)
April 21, 2009	OCC	A	48,984	·	·	134,908 Direct	+57.01%	Acquired	(price as of 2026-10-02)
Jan. 31, 2009	OCC	F	3,267	$2.85	$9,311	85,924 Direct	-3.66%	Disposed	540.0% (price as of 2026-10-02)
Jan. 31, 2009	OCC	F	3,896	$2.85	$11,104	85,295 Direct	-4.37%	Disposed	540.0% (price as of 2026-10-02)
Oct. 31, 2008	OCC	F	1,584	$4.59	$7,271	89,191 Direct	-1.74%	Disposed	297.4% (price as of 2026-10-02)
Oct. 22, 2008	OCC	A	20,002	$4.20	$84,008	90,775 Direct	-18.06%	Disposed	334.3% (price as of 2026-10-02)
July 31, 2008	OCC	F	634	$6.63	$4,203	70,773 Direct	-0.89%	Disposed	175.1% (price as of 2026-10-02)
Jan. 31, 2008	OCC	F	1,585	$4.09	$6,483	71,407 Direct	-2.17%	Disposed	346.0% (price as of 2026-10-02)
Oct. 31, 2007	OCC	F	927	$4.55	$4,218	72,992 Direct	-1.25%	Disposed	300.9% (price as of 2026-10-02)
Oct. 17, 2007	OCC	C	2,500	$1.20	$3,000	0 Direct	-100.00%	Disposed	1420.0% (price as of 2026-10-02)
Oct. 17, 2007	OCC	C	2,500	$4.88	$12,200	73,919 Direct	+3.50%	Acquired	273.8% (price as of 2026-10-02)
July 31, 2007	OCC	F	926	$5.06	$4,686	71,419 Direct	-1.28%	Disposed	260.5% (price as of 2026-10-02)
April 30, 2007	OCC	F	887	$5.27	$4,674	72,345 Direct	-1.21%	Disposed	246.1% (price as of 2026-10-02)
April 2, 2007	OCC	A	18,161	$5.25	$95,345	73,232 Direct	+32.98%	Acquired	247.4% (price as of 2026-10-02)
Jan. 31, 2007	OCC	F	887	$5.19	$4,604	55,071 Direct	-1.59%	Disposed	251.4% (price as of 2026-10-02)
Jan. 28, 2006	OCC	A	22,500	$5.37	$120,825	55,958 Direct	+67.25%	Acquired	239.7% (price as of 2026-10-02)
Dec. 17, 2004	OCC	A	18,500	·	·	33,458 Direct	+123.68%	Acquired	(price as of 2026-10-02)
Oct. 31, 2004	OCC	F	292	$4.59	$1,340	14,958 Direct	-1.91%	Disposed	297.4% (price as of 2026-10-02)
March 26, 2004	OCC	P	2,500	$1.20	$3,000	2,500 Direct	·	Acquired	1420.0% (price as of 2026-10-02)
Dec. 30, 2003	OCC	A	14,500	·	·	15,250 Direct	+1933.33%	Acquired	(price as of 2026-10-02)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II) Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Oct. 17, 2007	OCC	Common Stock Purchase Warrants [F1]	Common Stock (2,500)	$4.88	Oct. 24, 2007	2,500	Disposed
March 26, 2004	OCC	Common Stock Purchase Warrants [F1]	Common Stock (2,500)	$4.88	Oct. 24, 2007	2,500	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).