Tapewire

Nasdaq · USD

PENG

Penguin Solutions, Inc.

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Tapewire entity
4377
SEC CIK
0001616533
Parsed reports
444

Last 12 months

Inside the activity.

0 purchase rows · 34 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202603
Mar 202601
Apr 202605
May 2026010
Jun 2026010
Jul 202602
Aug 202603
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 01, 2019 Filed Feb 5, 2019 11:43 UTC
FURR RANDY WDirector
GrantOrdinary Shares 4,836 $0.00 $0.00
Disclosure

SEC source: 0000950103-19-001695 · dp102029_4-furr.xml · nonDerivative · entry 1

FURR RANDY W · CIK 0001245699 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,652

F1 · shares: 100% of the RSUs vest on February 1, 2020.

F2 · balance_after: Includes Restricted Stock Units.

Read SEC document
February 01, 2019 Filed Feb 5, 2019 16:45 UTC GrantOrdinary Shares 4,836 $0.00 $0.00
Disclosure

SEC source: 0000950103-19-001697 · dp102030_4-nayyar.xml · nonDerivative · entry 1

NAYYAR SANDEEP · CIK 0001230307 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,220

F1 · shares: 100% of the RSUs vest on February 1, 2020.

F2 · balance_after: Includes Restricted Stock Units.

Read SEC document
January 30, 2019 Filed Feb 1, 2019 14:02 UTC
GOLDBERG BRUCE MV.P., Chief Legal Officer
SaleOrdinary Shares 2,200 $24.26 $53,372.00
Disclosure

SEC source: 0000950103-19-001432 · dp101808_4-goldberg.xml · nonDerivative · entry 1

GOLDBERG BRUCE M · CIK 0001005688 · V.P., Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,691

F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $24.12 to $24.44. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges.

Read SEC document
January 30, 2019 Filed Feb 1, 2019 18:06 UTC
Pacheco Jack AExecutive VP, CFO, COO
Tax withholdingOrdinary Shares 6,384 $23.81 $152,003.04
Disclosure

SEC source: 0000950103-19-001509 · dp101854_4-pacheco.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,172

F1 · shares: This amount reflects a net share withholding by the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold.

Read SEC document
January 30, 2019 Filed Feb 1, 2019 19:00 UTC
Kim KiWanSVP of EM & Pres. Brazil
SaleOrdinary Shares 6,875 $24.28 $166,925.00
Disclosure

SEC source: 0000950103-19-001431 · dp101809_4-kim.xml · nonDerivative · entry 1

Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,168

F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/26/2017.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $24.06 to $24.47. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges.

Read SEC document
January 22, 2019 Filed Jan 25, 2019 20:49 UTC
GOLDBERG BRUCE MV.P., Chief Legal Officer
GrantEmployee Stock Options (right to buy) · Derivative 20,000 $0.00 Strike: $21.55 $0.00
Disclosure

SEC source: 0000950103-19-000918 · dp101268_4-goldberg.xml · derivative · entry 1

GOLDBERG BRUCE M · CIK 0001005688 · V.P., Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Ordinary Shares · 20,000 shares

Expires 2029-01-22

F1 · derivative.exercise_date: The option will vest and become exerciseable as to 25% on 1/22/2020, and the remaining shares will vest monthly and become exerciseable over four years.

Read SEC document
January 22, 2019 Filed Jan 25, 2019 20:45 UTC
Pacheco Jack AExecutive VP, CFO, COO
GrantEmployee Stock Options (right to buy) · Derivative 70,000 $0.00 Strike: $21.55 $0.00
Disclosure

SEC source: 0000950103-19-000916 · dp101264_4-pacheco.xml · derivative · entry 1

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Ordinary Shares · 70,000 shares

Expires 2029-01-22

F1 · derivative.exercise_date: The option will vest and become exerciseable as to 25% on 1/22/2020, and the remaining shares will vest monthly and become exerciseable over four years.

Read SEC document
January 22, 2019 Filed Jan 25, 2019 20:45 UTC
Marten AlanSenior Vice President
GrantEmployee Stock Options (right to buy) · Derivative 50,000 $0.00 Strike: $21.55 $0.00
Disclosure

SEC source: 0000950103-19-000915 · dp101267_4-marten.xml · derivative · entry 1

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Ordinary Shares · 50,000 shares

Expires 2029-01-22

F1 · derivative.exercise_date: The option will vest and become exerciseable as to 25% on 1/22/2020, and the remaining shares will vest monthly and become exerciseable over four years.

Read SEC document
January 22, 2019 Filed Jan 26, 2019 01:49 UTC
Coull ThomasSenior Vice President
GrantEmployee Stock Options (right to buy) · Derivative 15,000 $0.00 Strike: $21.55 $0.00
Disclosure

SEC source: 0000950103-19-000919 · dp101266_4-coull.xml · derivative · entry 1

Coull Thomas · CIK 0001754968 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Ordinary Shares · 15,000 shares

Expires 2029-01-22

F1 · derivative.exercise_date: The option will vest and become exerciseable as to 25% on 1/22/2020, and the remaining shares will vest monthly and become exerciseable over four years.

Read SEC document
January 22, 2019 Filed Jan 26, 2019 01:47 UTC
Kim KiWanSVP of EM & Pres. Brazil
GrantEmployee Stock Options (right to buy) · Derivative 50,000 $0.00 Strike: $21.55 $0.00
Disclosure

SEC source: 0000950103-19-000917 · dp101265_4-kim.xml · derivative · entry 1

Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Ordinary Shares · 50,000 shares

Expires 2029-01-22

F1 · derivative.exercise_date: The option will vest and become exerciseable as to 25% on 1/22/2020, and the remaining shares will vest monthly and become exerciseable over four years.

Read SEC document
January 15, 2019 Filed Jan 17, 2019 19:35 UTC SaleOrdinary Shares 10,000 $23.11 $231,100.00
Disclosure

SEC source: 0000950103-19-000697 · dp101020_4-mackenzie.xml · nonDerivative · entry 1

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,973

F1 · shares: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 12/27/17 as modified on 04/07/18 and 10/09/18.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $22.84 to $23.42. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

Read SEC document
January 05, 2019 Filed Jan 8, 2019 15:52 UTC
Pacheco Jack AExecutive VP, CFO, COO
Tax withholdingOrdinary Shares 2,338 $29.65 $69,321.70
Disclosure

SEC source: 0000950103-19-000328 · dp100650_4-pacheco.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,556

F1 · shares: This amount reflects a net share withholding by the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold.

Read SEC document
December 20, 2018 Filed Dec 26, 2018 10:58 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 3,042 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-014945 · dp100030_4-goldberg.xml · derivative · entry 4

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 3,042 shares

Expires 2026-05-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The original option vested and became exercisable 50% in May 2017 with the remainder vesting quarterly through May 2018.

Read SEC document
December 20, 2018 Filed Dec 26, 2018 10:58 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
SaleOrdinary Shares 1,002 $31.00 $31,062.00
Disclosure

SEC source: 0000950103-18-014945 · dp100030_4-goldberg.xml · nonDerivative · entry 3

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,891

F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $30.63 to $31.47. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges.

Read SEC document
December 20, 2018 Filed Dec 26, 2018 10:58 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
SaleOrdinary Shares 2,040 $29.81 $60,812.40
Disclosure

SEC source: 0000950103-18-014945 · dp100030_4-goldberg.xml · nonDerivative · entry 2

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,893

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $29.30 to $30.20. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges.

Read SEC document
December 20, 2018 Filed Dec 26, 2018 10:58 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
Exercise / conversionOrdinary Shares 3,042 $11.55 $35,135.10
Disclosure

SEC source: 0000950103-18-014945 · dp100030_4-goldberg.xml · nonDerivative · entry 1

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,933

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017and modified on 04/07/2018 and 08/03/2018 .

Read SEC document
December 17, 2018 Filed Dec 19, 2018 19:27 UTC
Marten AlanSenior Vice President
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 8,800 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-014828 · dp99762_4-marten.xml · derivative · entry 5

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,922

Underlying: Ordinary Shares · 8,800 shares

Expires 2026-05-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: Fully vested and exercisable.

Read SEC document
December 17, 2018 Filed Dec 19, 2018 19:27 UTC
Marten AlanSenior Vice President
SaleOrdinary Shares 100 $30.05 $3,005.00
Disclosure

SEC source: 0000950103-18-014828 · dp99762_4-marten.xml · nonDerivative · entry 4

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,666

Read SEC document
December 17, 2018 Filed Dec 19, 2018 19:27 UTC
Marten AlanSenior Vice President
SaleOrdinary Shares 6,310 $29.27 $184,693.70
Disclosure

SEC source: 0000950103-18-014828 · dp99762_4-marten.xml · nonDerivative · entry 3

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,766

F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $28.99 to $29.82. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

Read SEC document
December 17, 2018 Filed Dec 19, 2018 19:27 UTC
Marten AlanSenior Vice President
SaleOrdinary Shares 2,390 $28.22 $67,445.80
Disclosure

SEC source: 0000950103-18-014828 · dp99762_4-marten.xml · nonDerivative · entry 2

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,076

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $27.92 to $28.75. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

Read SEC document
December 17, 2018 Filed Dec 19, 2018 19:27 UTC
Marten AlanSenior Vice President
Exercise / conversionOrdinary Shares 8,800 $11.55 $101,640.00
Disclosure

SEC source: 0000950103-18-014828 · dp99762_4-marten.xml · nonDerivative · entry 1

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,466

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The transactions reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/24/2017 and modified on 4/17/2018.

Read SEC document
December 17, 2018 Filed Dec 20, 2018 00:14 UTC SaleOrdinary Shares 200 $30.05 $6,010.00
Disclosure

SEC source: 0000950103-18-014827 · dp99761_4-mackenzie.xml · nonDerivative · entry 3

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,973

Read SEC document
December 17, 2018 Filed Dec 20, 2018 00:14 UTC SaleOrdinary Shares 7,138 $29.26 $208,857.88
Disclosure

SEC source: 0000950103-18-014827 · dp99761_4-mackenzie.xml · nonDerivative · entry 2

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,173

F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $29.01 to $29.82. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

Read SEC document
December 17, 2018 Filed Dec 20, 2018 00:14 UTC SaleOrdinary Shares 2,662 $28.20 $75,068.40
Disclosure

SEC source: 0000950103-18-014827 · dp99761_4-mackenzie.xml · nonDerivative · entry 1

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,311

F1 · shares: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 12/27/17 as modified on 04/07/18 and 10/09/18.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $27.91 to $28.74. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 17:23 UTC Exercise / conversionEmployee Stock Options (right to buy) · Derivative 9,819 $0.00 Strike: $2.64 $0.00
Disclosure

SEC source: 0000950103-18-014404 · dp99331_4-mackenzie.xml · derivative · entry 7

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 9,819 shares

Expires 2020-09-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: This option became exercisable in monthly installments from October 28, 2010 through September 28, 2014.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 17:23 UTC Exercise / conversionEmployee Stock Options (right to buy) · Derivative 12,609 $0.00 Strike: $22.47 $0.00
Disclosure

SEC source: 0000950103-18-014404 · dp99331_4-mackenzie.xml · derivative · entry 6

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,275

Underlying: Ordinary Shares · 12,609 shares

Expires 2019-10-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: This option became exercisable during a period ending on October 31, 2015.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 17:23 UTC Exercise / conversionEmployee Stock Options (right to buy) · Derivative 29,976 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-014404 · dp99331_4-mackenzie.xml · derivative · entry 5

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,340

Underlying: Ordinary Shares · 29,976 shares

Expires 2026-05-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This option became exercisable on May 23, 2017 as to 50% of the award. The remainder became exercisable in equal quarterly installments through May 23, 2018.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 17:23 UTC SaleOrdinary Shares 52,404 $35.03 $1,835,712.12
Disclosure

SEC source: 0000950103-18-014404 · dp99331_4-mackenzie.xml · nonDerivative · entry 4

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,973

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $35.00 to $35.10. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 17:23 UTC Exercise / conversionOrdinary Shares 9,819 $2.64 $25,922.16
Disclosure

SEC source: 0000950103-18-014404 · dp99331_4-mackenzie.xml · nonDerivative · entry 3

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 377,377

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 17:23 UTC Exercise / conversionOrdinary Shares 12,609 $22.74 $286,728.66
Disclosure

SEC source: 0000950103-18-014404 · dp99331_4-mackenzie.xml · nonDerivative · entry 2

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 367,558

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 17:23 UTC Exercise / conversionOrdinary Shares 29,976 $11.55 $346,222.80
Disclosure

SEC source: 0000950103-18-014404 · dp99331_4-mackenzie.xml · nonDerivative · entry 1

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,949

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 12/27/17 as modified on 04/07/18 and 10/09/18.

Read SEC document
November 19, 2018 Filed Nov 20, 2018 22:59 UTC Exercise / conversionEmployee Stock Options (right to buy) · Derivative 98,797 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-013635 · dp98579_4-mackenzie.xml · derivative · entry 4

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,316

Underlying: Ordinary Shares · 98,797 shares

Expires 2026-05-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: This option became exercisable on May 23, 2017 as to 50% of the award. The remainder became exercisable in equal quarterly installments through May 23, 2018.

Read SEC document
November 19, 2018 Filed Nov 20, 2018 22:59 UTC SaleOrdinary Shares 8,107 $31.09 $252,046.63
Disclosure

SEC source: 0000950103-18-013635 · dp98579_4-mackenzie.xml · nonDerivative · entry 3

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,973

F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.01 to $31.46. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

Read SEC document
November 19, 2018 Filed Nov 20, 2018 22:59 UTC SaleOrdinary Shares 90,690 $30.47 $2,763,324.30
Disclosure

SEC source: 0000950103-18-013635 · dp98579_4-mackenzie.xml · nonDerivative · entry 2

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,080

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $30.01 to $31.00. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

Read SEC document
November 19, 2018 Filed Nov 20, 2018 22:59 UTC Exercise / conversionOrdinary Shares 98,797 $11.55 $1,141,105.35
Disclosure

SEC source: 0000950103-18-013635 · dp98579_4-mackenzie.xml · nonDerivative · entry 1

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 423,770

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 12/27/17 as modified on 04/07/18 and 10/09/18.

Read SEC document
November 15, 2018 Filed Nov 16, 2018 18:21 UTC
Marten AlanSenior Vice President
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 8,800 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-013504 · dp98480_4-marten.xml · derivative · entry 3

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,722

Underlying: Ordinary Shares · 8,800 shares

Expires 2026-05-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Fully vested and exercisable.

Read SEC document
November 15, 2018 Filed Nov 16, 2018 18:21 UTC
Marten AlanSenior Vice President
SaleOrdinary Shares 8,800 $29.33 $258,104.00
Disclosure

SEC source: 0000950103-18-013504 · dp98480_4-marten.xml · nonDerivative · entry 2

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,666

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $28.87 to $29.86. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

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November 15, 2018 Filed Nov 16, 2018 18:21 UTC
Marten AlanSenior Vice President
Exercise / conversionOrdinary Shares 8,800 $11.55 $101,640.00
Disclosure

SEC source: 0000950103-18-013504 · dp98480_4-marten.xml · nonDerivative · entry 1

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,466

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The transactions reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/24/2017 and modified on 4/17/2018.

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November 05, 2018 Filed Nov 6, 2018 21:29 UTC SaleOrdinary Shares 500 $30.99 $15,495.00
Disclosure

SEC source: 0000950103-18-013127 · dp98130_4-mackenzie.xml · nonDerivative · entry 3

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,973

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November 05, 2018 Filed Nov 6, 2018 21:29 UTC SaleOrdinary Shares 2,900 $29.91 $86,739.00
Disclosure

SEC source: 0000950103-18-013127 · dp98130_4-mackenzie.xml · nonDerivative · entry 2

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,473

F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $29.72 to $30.45. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

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November 05, 2018 Filed Nov 6, 2018 21:29 UTC SaleOrdinary Shares 41,600 $29.18 $1,213,888.00
Disclosure

SEC source: 0000950103-18-013127 · dp98130_4-mackenzie.xml · nonDerivative · entry 1

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,373

F1 · shares: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 12/27/17 as modified on 04/07/18 and 10/09/18.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $28.72 to $29.71. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

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October 22, 2018 Filed Oct 24, 2018 14:06 UTC
Pacheco Jack AExecutive VP, CFO, COO
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 7,500 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-012381 · dp95865_4-pacheco.xml · derivative · entry 4

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 753

Underlying: Ordinary Shares · 7,500 shares

Expires 2026-05-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The original option vested 50% in May 2017 with the remainder vesting quarterly through May 2018.

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October 22, 2018 Filed Oct 24, 2018 14:06 UTC
Pacheco Jack AExecutive VP, CFO, COO
SaleOrdinary Shares 796 $29.53 $23,505.88
Disclosure

SEC source: 0000950103-18-012381 · dp95865_4-pacheco.xml · nonDerivative · entry 3

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,894

F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $29.41 to $29.88. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

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October 22, 2018 Filed Oct 24, 2018 14:06 UTC
Pacheco Jack AExecutive VP, CFO, COO
SaleOrdinary Shares 6,704 $29.07 $194,885.28
Disclosure

SEC source: 0000950103-18-012381 · dp95865_4-pacheco.xml · nonDerivative · entry 2

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,690

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $28.40 to $29.39. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

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October 22, 2018 Filed Oct 24, 2018 14:06 UTC
Pacheco Jack AExecutive VP, CFO, COO
Exercise / conversionOrdinary Shares 7,500 $11.55 $86,625.00
Disclosure

SEC source: 0000950103-18-012381 · dp95865_4-pacheco.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,394

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 10/25/17 as modified on 08/03/2018.

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October 15, 2018 Filed Oct 17, 2018 18:48 UTC
PATEL MUKESHDirector
SaleOrdinary Shares 14,398 $31.85 $458,576.30
Disclosure

SEC source: 0000950103-18-012184 · dp97104_4-patel.xml · nonDerivative · entry 2

PATEL MUKESH · CIK 0001008034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · shares: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on January 25, 2018.

F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.46 to $32.30, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (3) to this Form 4.

F5 · ownership.nature: The Patel Revocable Trust (U/A/D 6/6/2002)

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October 15, 2018 Filed Oct 17, 2018 18:48 UTC
PATEL MUKESHDirector
SaleOrdinary Shares 24,941 $31.86 $794,620.26
Disclosure

SEC source: 0000950103-18-012184 · dp97104_4-patel.xml · nonDerivative · entry 1

PATEL MUKESH · CIK 0001008034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · shares: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on January 25, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.45 to $32.40, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (3) to this Form 4.

F4 · ownership.nature: Patel Family Partners L.P. - Fund No. 2

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October 15, 2018 Filed Oct 17, 2018 18:36 UTC
Marten AlanSenior Vice President
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 8,800 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-012182 · dp97074_4-marten.xml · derivative · entry 3

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,522

Underlying: Ordinary Shares · 8,800 shares

Expires 2026-05-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Fully vested and exercisable.

Read SEC document
October 15, 2018 Filed Oct 17, 2018 18:36 UTC
Marten AlanSenior Vice President
SaleOrdinary Shares 8,800 $31.79 $279,752.00
Disclosure

SEC source: 0000950103-18-012182 · dp97074_4-marten.xml · nonDerivative · entry 2

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,666

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.35 to $32.24. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

Read SEC document
October 15, 2018 Filed Oct 17, 2018 18:36 UTC
Marten AlanSenior Vice President
Exercise / conversionOrdinary Shares 8,800 $11.55 $101,640.00
Disclosure

SEC source: 0000950103-18-012182 · dp97074_4-marten.xml · nonDerivative · entry 1

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,466

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The transactions reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/24/2017 and modified on 4/17/2018.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.