Last 12 months
Inside the activity.
26 purchase rows · 2 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 26 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 1 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 1 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 16, 2021 Filed Feb 18, 2021 22:30 UTC |
OTT LEONARD LEVP of Engineering and CTO
|
Exercise / conversionCommon Stock | 3,500 | $0.95 | $3,325.00 |
DisclosureSEC source: 0000944075-21-000010 · primary_doc.xml · nonDerivative · entry 1 OTT LEONARD L · CIK 0001192169 · EVP of Engineering and CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,823 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 |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon stock option · Derivative | 2,500 | $0.00 Strike: $2.75 | $0.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · derivative · entry 15 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,500 Underlying: Common · 2,500 shares Expires 2026-02-22 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: Vests monthly over 48 months. Read SEC document |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon stock option · Derivative | 5,000 | $0.00 Strike: $2.75 | $0.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · derivative · entry 14 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,000 Underlying: Common · 5,000 shares Expires 2026-02-22 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: Vests monthly over 48 months. Read SEC document |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon stock option · Derivative | 5,000 | $0.00 Strike: $2.75 | $0.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · derivative · entry 13 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,000 Underlying: Common · 5,000 shares Expires 2026-02-22 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: Vests monthly over 48 months. Read SEC document |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon stock option · Derivative | 5,000 | $0.00 Strike: $2.75 | $0.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · derivative · entry 12 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,000 Underlying: Common · 5,000 shares Expires 2026-02-22 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: Vests monthly over 48 months. Read SEC document |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon stock option · Derivative | 4,000 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · derivative · entry 11 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,000 Underlying: Common · 4,000 shares Expires 2025-02-23 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: Vests monthly over 48 months. Read SEC document |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon stock option · Derivative | 5,000 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · derivative · entry 10 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,000 Underlying: Common · 5,000 shares Expires 2025-02-23 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: Vests monthly over 48 months. Read SEC document |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon stock option · Derivative | 5,000 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · derivative · entry 9 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,000 Underlying: Common · 5,000 shares Expires 2025-02-23 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: Vests monthly over 48 months. Read SEC document |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
SaleCommon Stock | 31,500 | $10.00 | $315,000.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · nonDerivative · entry 8 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,546 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 11/24/2020 for the period of 1/4/2021 to 11/15/2022. F2 · price: The sale price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.917764 to $10.039142, inclusive. The reporting person undertakes to provide to Socket Mobile Inc., any shareholder of Socket Mobile Inc., 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 |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon Stock | 2,500 | $2.75 | $6,875.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · nonDerivative · entry 7 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,046 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 |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon Stock | 5,000 | $2.75 | $13,750.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · nonDerivative · entry 6 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,546 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 |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon Stock | 5,000 | $2.75 | $13,750.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · nonDerivative · entry 5 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,546 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 |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon Stock | 5,000 | $2.75 | $13,750.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · nonDerivative · entry 4 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,546 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 |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon Stock | 4,000 | $2.27 | $9,080.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · nonDerivative · entry 3 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,546 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 |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon Stock | 5,000 | $2.27 | $11,350.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · nonDerivative · entry 2 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,546 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 |
| February 16, 2021 Filed Feb 18, 2021 22:03 UTC |
DUNLAP DAVID WDirector
|
Exercise / conversionCommon Stock | 5,000 | $2.27 | $11,350.00 |
DisclosureSEC source: 0000944075-21-000009 · primary_doc.xml · nonDerivative · entry 1 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,546 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 |
| February 11, 2021 Filed Feb 16, 2021 22:03 UTC |
MILLS KEVIN JDirector · Chief Executive Officer
|
OtherCommon stock option · Derivative | 19,920 | $1.82 Strike: $1.82 | $36,254.40 |
DisclosureSEC source: 0000944075-21-000008 · primary_doc.xml · derivative · entry 2 MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 278,729 Underlying: Common · 19,920 shares Expires 2021-02-22 F1 · derivative.exercise_date: Grant vested in 48 equal monthly installments commencing March 1, 2011. Read SEC document |
| February 11, 2021 Filed Feb 16, 2021 22:03 UTC |
MILLS KEVIN JDirector · Chief Executive Officer
|
OtherCommon Stock | 19,920 | $1.82 | $36,254.40 |
DisclosureSEC source: 0000944075-21-000008 · primary_doc.xml · nonDerivative · entry 1 MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,581 Read SEC document |
| February 10, 2021 Filed Feb 10, 2021 21:15 UTC |
MILLS KEVIN JDirector · Chief Executive Officer
|
GiftCommon | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000944075-21-000007 · primary_doc.xml · nonDerivative · entry 1 MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,661 Read SEC document |
| February 01, 2021 Filed Feb 2, 2021 22:26 UTC |
MILLS KEVIN JDirector · Chief Executive Officer
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000944075-21-000005 · primary_doc.xml · nonDerivative · entry 1 MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,661 F1 · shares: Restricted shares of Socket Mobile, Inc. Common Stock subject to vesting 15% after year one, 20% after year two, 25% after year three, and final 40% after year four, granted under the 2004 Plan. Read SEC document |
| February 01, 2021 Filed Feb 2, 2021 22:20 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
GrantCommon Stock | 18,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000944075-21-000004 · primary_doc.xml · nonDerivative · entry 1 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,323 F1 · shares: Restricted shares of Socket Mobile, Inc. Common Stock subject to vesting 15% after year one, 20% after year two, 25% after year three, and final 40% after year four, granted under the 2004 Plan. Read SEC document |
| February 01, 2021 Filed Feb 2, 2021 22:14 UTC |
Zhao LynnDirector · Chief Financial Officer
|
GrantCommon Stock | 18,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000944075-21-000003 · primary_doc.xml · nonDerivative · entry 1 Zhao Lynn · CIK 0001724840 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,027 Read SEC document |
| January 21, 2021 Filed Jan 22, 2021 23:27 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
OtherCommon Stock Option · Derivative | 4,940 | $0.00 Strike: $1.04 | $0.00 |
DisclosureSEC source: 0000944075-21-000001 · primary_doc.xml · derivative · entry 3 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,392 Underlying: Common · 4,940 shares Expires 2023-04-01 F2 · derivative.exercise_date: Vests monthly over 48 months. Read SEC document |
| January 21, 2021 Filed Jan 22, 2021 23:27 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
SaleCommon Stock | 4,940 | $2.88 | $14,227.20 |
DisclosureSEC source: 0000944075-21-000001 · primary_doc.xml · nonDerivative · entry 2 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,440 F1 · shares: Automatic 10b5-1 Plan transaction adopted on 11/30/2020. Read SEC document |
| January 21, 2021 Filed Jan 22, 2021 23:27 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
ConversionCommon Stock | 4,940 | $1.04 | $5,137.60 |
DisclosureSEC source: 0000944075-21-000001 · primary_doc.xml · nonDerivative · entry 1 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,380 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 |
| August 31, 2020 Filed Sep 1, 2020 23:17 UTC |
BASS CHARLIEDirector · 10% owner
|
PurchaseSubordinated Convertible note · Derivative | 684,931 | $1,000,000.00 Strike: $1.46 | $684,931,000,000.00 |
DisclosureSEC source: 0000944075-20-000034 · primary_doc.xml · derivative · entry 1 BASS CHARLIE · CIK 0001192161 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 684,931 Underlying: Common Stock · 684,931 shares Expires not disclosed F1 · derivative.exercise_date: The Subordinated Convertible note is convertible any time on or prior to August 30, 2023 (the Maturity Date). In addition, on or after August 31, 2021, the Reporting Person has the option to receive the prepayment of principal and accrued interest in cash. F1 · derivative.expiration_date: The Subordinated Convertible note is convertible any time on or prior to August 30, 2023 (the Maturity Date). In addition, on or after August 31, 2021, the Reporting Person has the option to receive the prepayment of principal and accrued interest in cash. Read SEC document |
| August 31, 2020 Filed Sep 1, 2020 23:08 UTC |
MILLS KEVIN JDirector · President & CEO
|
PurchaseSubordinated Convertible Note · Derivative | 119,863 | $175,000.00 Strike: $1.46 | $20,976,025,000.00 |
DisclosureSEC source: 0000944075-20-000033 · primary_doc.xml · derivative · entry 2 MILLS KEVIN J · CIK 0001192160 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,863 Underlying: Common Stock · 119,863 shares Expires not disclosed F1 · derivative.exercise_date: The Subordinated Convertible note is convertible any time on or prior to August 30, 2023 (the Maturity Date). In addition, on or after August 31, 2021, the Reporting Person has the option to receive the prepayment of principal and accrued interest in cash. F1 · derivative.expiration_date: The Subordinated Convertible note is convertible any time on or prior to August 30, 2023 (the Maturity Date). In addition, on or after August 31, 2021, the Reporting Person has the option to receive the prepayment of principal and accrued interest in cash. Read SEC document |
| August 31, 2020 Filed Sep 1, 2020 23:08 UTC |
MILLS KEVIN JDirector · President & CEO
|
GrantCommon stock | 45,770 | $0.00 | $0.00 |
DisclosureSEC source: 0000944075-20-000033 · primary_doc.xml · nonDerivative · entry 1 MILLS KEVIN J · CIK 0001192160 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,661 F2 · shares: Restricted shares of Socket Mobile, Inc. Common Stock subject to vesting 100% on August 30, 2023, granted under the 2004 Plan. Read SEC document |
| August 31, 2020 Filed Sep 1, 2020 22:50 UTC |
Zhao LynnDirector · Chief Financial Officer
|
PurchaseSubordinated Convertible Note · Derivative | 17,123 | $25,000.00 Strike: $1.46 | $428,075,000.00 |
DisclosureSEC source: 0000944075-20-000032 · primary_doc.xml · derivative · entry 2 Zhao Lynn · CIK 0001724840 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,123 Underlying: Common Stock · 17,123 shares Expires not disclosed F2 · derivative.exercise_date: The Subordinated Convertible note is convertible any time on or prior to August 30, 2023 (the Maturity Date). In addition, on or after August 31, 2021, the Reporting Person has the option to receive the prepayment of principal and accrued interest in cash. F2 · derivative.expiration_date: The Subordinated Convertible note is convertible any time on or prior to August 30, 2023 (the Maturity Date). In addition, on or after August 31, 2021, the Reporting Person has the option to receive the prepayment of principal and accrued interest in cash. Read SEC document |
| August 31, 2020 Filed Sep 1, 2020 22:50 UTC |
Zhao LynnDirector · Chief Financial Officer
|
GrantCommon stock | 24,027 | $0.00 | $0.00 |
DisclosureSEC source: 0000944075-20-000032 · primary_doc.xml · nonDerivative · entry 1 Zhao Lynn · CIK 0001724840 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,027 F1 · shares: Restricted shares of Socket Mobile, Inc. Common Stock subject to vesting 100% on August 30, 2023, granted under the 2004 Plan. Read SEC document |
| August 31, 2020 Filed Sep 1, 2020 22:41 UTC |
OTT LEONARD LVP of Engineering & CTO
|
GrantCommon stock | 21,883 | $0.00 | $0.00 |
DisclosureSEC source: 0000944075-20-000031 · primary_doc.xml · nonDerivative · entry 1 OTT LEONARD L · CIK 0001192169 · VP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,323 F1 · shares: Restricted shares of Socket Mobile, Inc. Common Stock subject to vesting 100% on August 30, 2023, granted under the 2004 Plan. Read SEC document |
| August 31, 2020 Filed Sep 1, 2020 22:32 UTC |
Baillif LeeVP of Cust. Exp & Quality Sys.
|
PurchaseSubordinated Convertible Note · Derivative | 34,246 | $50,000.00 Strike: $1.46 | $1,712,300,000.00 |
DisclosureSEC source: 0000944075-20-000030 · primary_doc.xml · derivative · entry 1 Baillif Lee · CIK 0001391340 · VP of Cust. Exp & Quality Sys. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,246 Underlying: Common Stock · 34,246 shares Expires not disclosed F1 · derivative.exercise_date: The Subordinated Convertible note is convertible any time on or prior to August 30, 2023 (the Maturity Date). In addition, on or after August 31, 2021, the Reporting Person has the option to receive the prepayment of principal and accrued interest in cash. F1 · derivative.expiration_date: The Subordinated Convertible note is convertible any time on or prior to August 30, 2023 (the Maturity Date). In addition, on or after August 31, 2021, the Reporting Person has the option to receive the prepayment of principal and accrued interest in cash. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 18:12 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
OtherCommon stock option · Derivative | 5,520 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0000944075-20-000025 · primary_doc.xml · derivative · entry 11 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,332 Underlying: Common · 5,520 shares Expires 2021-02-22 F2 · derivative.exercise_date: Vests monthly over 48 months. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 18:12 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
OtherCommon stock option · Derivative | 5,520 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0000944075-20-000025 · primary_doc.xml · derivative · entry 10 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,852 Underlying: Common · 5,520 shares Expires 2021-02-22 F2 · derivative.exercise_date: Vests monthly over 48 months. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 18:12 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
OtherCommon stock option · Derivative | 3,500 | $0.00 Strike: $0.95 | $0.00 |
DisclosureSEC source: 0000944075-20-000025 · primary_doc.xml · derivative · entry 9 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,372 Underlying: Common · 3,500 shares Expires 2024-03-03 F2 · derivative.exercise_date: Vests monthly over 48 months. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 18:12 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
OtherCommon stock option · Derivative | 2,223 | $0.00 Strike: $1.04 | $0.00 |
DisclosureSEC source: 0000944075-20-000025 · primary_doc.xml · derivative · entry 8 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,872 Underlying: Common · 2,223 shares Expires 2023-04-01 F2 · derivative.exercise_date: Vests monthly over 48 months. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 18:12 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
OtherCommon stock option · Derivative | 2,223 | $0.00 Strike: $1.04 | $0.00 |
DisclosureSEC source: 0000944075-20-000025 · primary_doc.xml · derivative · entry 7 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,095 Underlying: Common · 2,223 shares Expires 2023-04-01 F2 · derivative.exercise_date: Vests monthly over 48 months. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 18:12 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
SaleCommon Stock | 18,986 | $3.84 | $72,906.24 |
DisclosureSEC source: 0000944075-20-000025 · primary_doc.xml · nonDerivative · entry 6 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,440 F1 · shares: Automatic 10b5-1 Plan transaction adopted on 6/5/2020. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 18:12 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
ConversionCommon Stock | 5,520 | $1.82 | $10,046.40 |
DisclosureSEC source: 0000944075-20-000025 · primary_doc.xml · nonDerivative · entry 5 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,426 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 |
| July 27, 2020 Filed Jul 29, 2020 18:12 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
ConversionCommon Stock | 5,520 | $1.82 | $10,046.40 |
DisclosureSEC source: 0000944075-20-000025 · primary_doc.xml · nonDerivative · entry 4 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,906 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 |
| July 27, 2020 Filed Jul 29, 2020 18:12 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
ConversionCommon Stock | 3,500 | $0.95 | $3,325.00 |
DisclosureSEC source: 0000944075-20-000025 · primary_doc.xml · nonDerivative · entry 3 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,386 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 |
| July 27, 2020 Filed Jul 29, 2020 18:12 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
ConversionCommon Stock | 2,223 | $1.04 | $2,311.92 |
DisclosureSEC source: 0000944075-20-000025 · primary_doc.xml · nonDerivative · entry 2 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,886 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 |
| July 27, 2020 Filed Jul 29, 2020 18:12 UTC |
OTT LEONARD LEVP of Engineering & CTO
|
ConversionCommon Stock | 2,223 | $1.04 | $2,311.92 |
DisclosureSEC source: 0000944075-20-000025 · primary_doc.xml · nonDerivative · entry 1 OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,663 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 |
| July 27, 2020 Filed Jul 29, 2020 17:54 UTC |
DUNLAP DAVID WDirector
|
OtherCommon stock option · Derivative | 3,500 | $0.00 Strike: $2.36 | $0.00 |
DisclosureSEC source: 0000944075-20-000024 · primary_doc.xml · derivative · entry 11 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,000 Underlying: Common · 3,500 shares Expires 2022-02-27 F2 · derivative.exercise_date: Vests monthly over 48 months. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 17:54 UTC |
DUNLAP DAVID WDirector
|
OtherCommon stock option · Derivative | 5,000 | $0.00 Strike: $2.36 | $0.00 |
DisclosureSEC source: 0000944075-20-000024 · primary_doc.xml · derivative · entry 10 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,500 Underlying: Common · 5,000 shares Expires 2022-02-27 F2 · derivative.exercise_date: Vests monthly over 48 months. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 17:54 UTC |
DUNLAP DAVID WDirector
|
OtherCommon stock option · Derivative | 4,060 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0000944075-20-000024 · primary_doc.xml · derivative · entry 9 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,500 Underlying: Common · 4,060 shares Expires 2021-02-22 F2 · derivative.exercise_date: Vests monthly over 48 months. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 17:54 UTC |
DUNLAP DAVID WDirector
|
OtherCommon stock option · Derivative | 5,000 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0000944075-20-000024 · primary_doc.xml · derivative · entry 8 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,560 Underlying: Common · 5,000 shares Expires 2021-02-22 F2 · derivative.exercise_date: Vests monthly over 48 months. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 17:54 UTC |
DUNLAP DAVID WDirector
|
OtherCommon stock option · Derivative | 5,000 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0000944075-20-000024 · primary_doc.xml · derivative · entry 7 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,560 Underlying: Common · 5,000 shares Expires 2021-02-22 F2 · derivative.exercise_date: Vests monthly over 48 months. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 17:54 UTC |
DUNLAP DAVID WDirector
|
SaleCommon Stock | 22,560 | $3.85 | $86,856.00 |
DisclosureSEC source: 0000944075-20-000024 · primary_doc.xml · nonDerivative · entry 6 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,546 F1 · shares: Automatic 10b5-1 Plan transaction adopted on 11/25/2019 for 1/1/2020 - 2/22/2021. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 17:54 UTC |
DUNLAP DAVID WDirector
|
ConversionCommon Stock | 3,500 | $2.36 | $8,260.00 |
DisclosureSEC source: 0000944075-20-000024 · primary_doc.xml · nonDerivative · entry 5 DUNLAP DAVID W · CIK 0001192162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,106 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.