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Nasdaq · USD

SONO

Sonos Inc

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Tapewire entity
1773
SEC CIK
0001314727
Parsed reports
419

Last 12 months

Inside the activity.

17 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202501
Jan 202600
Feb 202690
Mar 202660
Apr 202600
May 202610
Jun 202600
Jul 202602
Aug 202600
Sep 202603
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
August 27, 2020 Filed Aug 31, 2020 18:34 UTC
Maeda JohnDirector
Exercise / conversionStock Option · Derivative 8,274 $0.00 Strike: $13.56 $0.00
Disclosure

SEC source: 0001562180-20-005713 · primarydocument.xml · derivative · entry 2

Maeda John · CIK 0001743480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 828

Underlying: Common Stock · 8,274 shares

Expires 2026-11-14

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 · derivative.exercise_date: The stock option vested and became exercisable, and shall continue to vest and become exercisable, in 48 equal monthly installments beginning on November 15, 2016, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.

Read SEC document
August 27, 2020 Filed Aug 31, 2020 18:34 UTC
Maeda JohnDirector
Exercise / conversionCommon Stock 8,274 $13.56 $112,195.44
Disclosure

SEC source: 0001562180-20-005713 · primarydocument.xml · nonDerivative · entry 1

Maeda John · CIK 0001743480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,555

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 17, 2020 Filed Aug 19, 2020 18:54 UTC
Fraser AnnaChief People Officer
Exercise / conversionRestricted Stock Units · Derivative 17,600 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-005564 · primarydocument.xml · derivative · entry 3

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,864

Underlying: Common Stock · 17,600 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date of until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date of until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 18:54 UTC
Fraser AnnaChief People Officer
Tax withholdingCommon Stock 9,267 $14.04 $130,108.68
Disclosure

SEC source: 0001562180-20-005564 · primarydocument.xml · nonDerivative · entry 2

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,023

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 18:54 UTC
Fraser AnnaChief People Officer
Exercise / conversionCommon Stock 17,600 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-20-005564 · primarydocument.xml · nonDerivative · entry 1

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,290

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:56 UTC
Bagley BrittanyChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 33,994 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-005565 · primarydocument.xml · derivative · entry 3

Bagley Brittany · CIK 0001743490 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,932

Underlying: Common Stock · 33,994 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date of until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date of until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:56 UTC
Bagley BrittanyChief Financial Officer
Tax withholdingCommon Stock 16,855 $14.04 $236,644.20
Disclosure

SEC source: 0001562180-20-005565 · primarydocument.xml · nonDerivative · entry 2

Bagley Brittany · CIK 0001743490 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,347

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:56 UTC
Bagley BrittanyChief Financial Officer
Exercise / conversionCommon Stock 33,994 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-20-005565 · primarydocument.xml · nonDerivative · entry 1

Bagley Brittany · CIK 0001743490 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,202

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:52 UTC
Lazarus Edward PChief Legal Officer & Secty.
Exercise / conversionRestricted Stock Units · Derivative 14,841 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-005563 · primarydocument.xml · derivative · entry 3

Lazarus Edward P · CIK 0001610766 · Chief Legal Officer & Secty.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,864

Underlying: Common Stock · 14,841 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date of until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date of until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:52 UTC
Lazarus Edward PChief Legal Officer & Secty.
Tax withholdingCommon Stock 5,133 $14.04 $72,067.32
Disclosure

SEC source: 0001562180-20-005563 · primarydocument.xml · nonDerivative · entry 2

Lazarus Edward P · CIK 0001610766 · Chief Legal Officer & Secty.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,207

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:52 UTC
Lazarus Edward PChief Legal Officer & Secty.
Exercise / conversionCommon Stock 14,841 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-20-005563 · primarydocument.xml · nonDerivative · entry 1

Lazarus Edward P · CIK 0001610766 · Chief Legal Officer & Secty.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,340

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:50 UTC
Millington NicholasChief Innovation Officer
Exercise / conversionRestricted Stock Units · Derivative 26,592 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-005562 · primarydocument.xml · derivative · entry 3

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 417,242

Underlying: Common Stock · 26,592 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date of until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date of until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:50 UTC
Millington NicholasChief Innovation Officer
Tax withholdingCommon Stock 13,185 $14.04 $185,117.40
Disclosure

SEC source: 0001562180-20-005562 · primarydocument.xml · nonDerivative · entry 2

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,812

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:50 UTC
Millington NicholasChief Innovation Officer
Exercise / conversionCommon Stock 26,592 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-20-005562 · primarydocument.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,997

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:46 UTC
Siegel Matthew O.Chief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 26,048 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-005561 · primarydocument.xml · derivative · entry 3

Siegel Matthew O. · CIK 0001744461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,811

Underlying: Common Stock · 26,048 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date of until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date of until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:46 UTC
Siegel Matthew O.Chief Commercial Officer
Tax withholdingCommon Stock 9,008 $14.04 $126,472.32
Disclosure

SEC source: 0001562180-20-005561 · primarydocument.xml · nonDerivative · entry 2

Siegel Matthew O. · CIK 0001744461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,802

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:46 UTC
Siegel Matthew O.Chief Commercial Officer
Exercise / conversionCommon Stock 26,048 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-20-005561 · primarydocument.xml · nonDerivative · entry 1

Siegel Matthew O. · CIK 0001744461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,810

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:43 UTC
Spence PatrickDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 40,075 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-005560 · primarydocument.xml · derivative · entry 3

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 459,361

Underlying: Common Stock · 40,075 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date of until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date of until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:43 UTC
Spence PatrickDirector · Chief Executive Officer
Tax withholdingCommon Stock 18,373 $14.04 $257,956.92
Disclosure

SEC source: 0001562180-20-005560 · primarydocument.xml · nonDerivative · entry 2

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,471

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 22:43 UTC
Spence PatrickDirector · Chief Executive Officer
Exercise / conversionCommon Stock 40,075 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-20-005560 · primarydocument.xml · nonDerivative · entry 1

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,844

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

Read SEC document
August 12, 2020 Filed Aug 14, 2020 23:09 UTC
Panay PanosDirector
GrantCommon Stock 6,041 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-20-005450 · primarydocument.xml · nonDerivative · entry 1

Panay Panos · CIK 0001821148 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,041

F1 · shares: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on August 12, 2020.

F2 · shares: The RSUs will vest in full on the earlier of February 27, 2021 or the next annual meeting of stockholders, subject to the continuing service of the Reporting Person on the vesting date. Vested shares will be delivered to the Reporting Person upon vesting.

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
July 21, 2020 Filed Jul 23, 2020 21:16 UTC
Millington NicholasChief Innovation Officer
SaleCommon Stock 30,450 $16.87 $513,645.83
Disclosure

SEC source: 0001562180-20-005210 · primarydocument.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,405

F1 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $16.70 to $16.95 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

Read SEC document
July 17, 2020 Filed Jul 20, 2020 20:56 UTC
Millington NicholasChief Innovation Officer
SaleCommon Stock 1,800 $16.71 $30,074.58
Disclosure

SEC source: 0001562180-20-005192 · primarydocument.xml · nonDerivative · entry 4

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,855

F1 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $16.70 to $16.735 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

Read SEC document
July 16, 2020 Filed Jul 20, 2020 20:56 UTC
Millington NicholasChief Innovation Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 45,464 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001562180-20-005192 · primarydocument.xml · derivative · entry 6

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,464 shares

Expires 2021-03-24

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 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F4 · derivative.exercise_date: The stock option is fully vested.

Read SEC document
July 16, 2020 Filed Jul 20, 2020 20:56 UTC
Millington NicholasChief Innovation Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 18,866 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001562180-20-005192 · primarydocument.xml · derivative · entry 5

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,464

Underlying: Common Stock · 18,866 shares

Expires 2021-03-24

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 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F4 · derivative.exercise_date: The stock option is fully vested.

Read SEC document
July 16, 2020 Filed Jul 20, 2020 20:56 UTC
Millington NicholasChief Innovation Officer
SaleCommon Stock 77,523 $16.41 $1,272,462.52
Disclosure

SEC source: 0001562180-20-005192 · primarydocument.xml · nonDerivative · entry 3

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,655

F1 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $15.75 to $16.73 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

Read SEC document
July 16, 2020 Filed Jul 20, 2020 20:56 UTC
Millington NicholasChief Innovation Officer
Exercise / conversionCommon Stock 45,464 $1.70 $77,288.80
Disclosure

SEC source: 0001562180-20-005192 · primarydocument.xml · nonDerivative · entry 2

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,178

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 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

Read SEC document
July 16, 2020 Filed Jul 20, 2020 20:56 UTC
Millington NicholasChief Innovation Officer
Exercise / conversionCommon Stock 18,866 $1.70 $32,072.20
Disclosure

SEC source: 0001562180-20-005192 · primarydocument.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,714

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 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

Read SEC document
July 07, 2020 Filed Jul 9, 2020 21:54 UTC
Millington NicholasChief Innovation Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 1,800 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001562180-20-005089 · primarydocument.xml · derivative · entry 3

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,330

Underlying: Common Stock · 1,800 shares

Expires 2021-03-24

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 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F3 · derivative.exercise_date: The stock option is fully vested.

Read SEC document
July 07, 2020 Filed Jul 9, 2020 21:54 UTC
Millington NicholasChief Innovation Officer
SaleCommon Stock 1,800 $15.75 $28,353.06
Disclosure

SEC source: 0001562180-20-005089 · primarydocument.xml · nonDerivative · entry 2

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,848

F1 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $15.75 to $15.755 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

Read SEC document
July 07, 2020 Filed Jul 9, 2020 21:54 UTC
Millington NicholasChief Innovation Officer
Exercise / conversionCommon Stock 1,800 $1.70 $3,060.00
Disclosure

SEC source: 0001562180-20-005089 · primarydocument.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,648

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 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

Read SEC document
July 06, 2020 Filed Jul 7, 2020 20:24 UTC
Millington NicholasChief Product Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 35,978 $0.00 Strike: $1.60 $0.00
Disclosure

SEC source: 0001562180-20-005043 · primarydocument.xml · derivative · entry 3

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,978 shares

Expires 2020-07-29

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 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F3 · derivative.exercise_date: The stock option is fully vested.

Read SEC document
July 06, 2020 Filed Jul 7, 2020 20:24 UTC
Millington NicholasChief Product Officer
SaleCommon Stock 35,978 $15.03 $540,832.09
Disclosure

SEC source: 0001562180-20-005043 · primarydocument.xml · nonDerivative · entry 2

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,848

F1 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $14.67 to $15.31 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

Read SEC document
July 06, 2020 Filed Jul 7, 2020 20:24 UTC
Millington NicholasChief Product Officer
Exercise / conversionCommon Stock 35,978 $1.60 $57,564.80
Disclosure

SEC source: 0001562180-20-005043 · primarydocument.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,826

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 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

Read SEC document
June 22, 2020 Filed Jun 22, 2020 18:21 UTC
Maeda JohnDirector
SaleCommon Stock 17,500 $14.11 $246,912.75
Disclosure

SEC source: 0001562180-20-004626 · primarydocument.xml · nonDerivative · entry 2

Maeda John · CIK 0001743480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,281

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $14.00 to $14.26 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

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June 18, 2020 Filed Jun 22, 2020 18:21 UTC
Maeda JohnDirector
SaleCommon Stock 17,500 $12.84 $224,672.00
Disclosure

SEC source: 0001562180-20-004626 · primarydocument.xml · nonDerivative · entry 1

Maeda John · CIK 0001743480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,781

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $12.71 to $13.08 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

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June 17, 2020 Filed Jun 18, 2020 21:00 UTC SaleCommon Stock 13,845,682 $13.00 $179,993,866.00
Disclosure

SEC source: 0001140361-20-014193 · form4.xml · nonDerivative · entry 1

KKR Stream Holdings LLC · CIK 0001746819 · 10% owner

KKR 2006 Fund L.P. · CIK 0001432741 · 10% owner

KKR Associates 2006 LP · CIK 0001432739 · 10% owner

KKR 2006 GP LLC · CIK 0001432740 · 10% owner

KKR Group Partnership L.P. · CIK 0001472698 · 10% owner

KKR Group Holdings Corp. · CIK 0001743754 · 10% owner

KKR & Co. Inc. · CIK 0001404912 · 10% owner

KKR Management LLP · CIK 0001472694 · 10% owner

KRAVIS HENRY R · CIK 0001081714 · 10% owner

ROBERTS GEORGE R · CIK 0001081715 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

F1 · ownership.nature: These securities of Sonos, Inc. are held by KKR Stream Holdings LLC. KKR 2006 Fund L.P. is the sole member of KKR Stream Holdings LLC. KKR Associates 2006 L.P. is the general partner of KKR 2006 Fund L.P. KKR 2006 GP LLC is the general partner of KKR Associates 2006 L.P. KKR Group Partnership L.P. is the designated member of KKR 2006 GP LLC. KKR Group Holdings Corp. is a general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP as the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP. In addition, Messrs. Kravis and Roberts have been designated as managers of KKR 2006 GP LLC by KKR Group Partnership L.P.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

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June 12, 2020 Filed Jun 16, 2020 18:27 UTC
Fraser AnnaChief People Officer
SaleCommon Stock 10,000 $12.37 $123,718.00
Disclosure

SEC source: 0001562180-20-004520 · primarydocument.xml · nonDerivative · entry 1

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,690

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $12.25 to $12.63 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

Read SEC document
June 02, 2020 Filed Jun 4, 2020 21:39 UTC
Millington NicholasChief Product Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 35,978 $0.00 Strike: $1.60 $0.00
Disclosure

SEC source: 0001562180-20-004285 · primarydocument.xml · derivative · entry 3

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,978

Underlying: Common Stock · 35,978 shares

Expires 2020-07-29

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 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F3 · derivative.exercise_date: This stock option is fully vested.

Read SEC document
June 02, 2020 Filed Jun 4, 2020 21:39 UTC
Millington NicholasChief Product Officer
SaleCommon Stock 35,978 $10.97 $394,646.28
Disclosure

SEC source: 0001562180-20-004285 · primarydocument.xml · nonDerivative · entry 2

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,848

F1 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $10.84 to $11.165 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

Read SEC document
June 02, 2020 Filed Jun 4, 2020 21:39 UTC
Millington NicholasChief Product Officer
Exercise / conversionCommon Stock 35,978 $1.60 $57,564.80
Disclosure

SEC source: 0001562180-20-004285 · primarydocument.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,826

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 · kind: The reported transactions were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

Read SEC document
May 15, 2020 Filed May 19, 2020 19:10 UTC
Fraser AnnaChief People Officer
Exercise / conversionRestricted Stock Units · Derivative 11,678 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-003757 · primarydocument.xml · derivative · entry 5

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,464

Underlying: Common Stock · 11,678 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F6 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F6 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
May 15, 2020 Filed May 19, 2020 19:10 UTC
Fraser AnnaChief People Officer
GrantRestricted Stock Units · Derivative 94,737 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001562180-20-003757 · primarydocument.xml · derivative · entry 4

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,142

Underlying: Common Stock · 94,737 shares

Expires not disclosed

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

F5 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of May 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F5 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of May 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
May 15, 2020 Filed May 19, 2020 19:10 UTC
Fraser AnnaChief People Officer
GrantRestricted Stock Units · Derivative 105,263 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001562180-20-003757 · primarydocument.xml · derivative · entry 3

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,405

Underlying: Common Stock · 105,263 shares

Expires not disclosed

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

F4 · derivative.exercise_date: One half of the shares subject to the RSUs will vest on each annual anniversary date following the vesting commencement date of May 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double - trigger acceleration.

F4 · derivative.expiration_date: One half of the shares subject to the RSUs will vest on each annual anniversary date following the vesting commencement date of May 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double - trigger acceleration.

Read SEC document
May 15, 2020 Filed May 19, 2020 19:10 UTC
Fraser AnnaChief People Officer
Tax withholdingCommon Stock 6,149 $9.08 $55,832.92
Disclosure

SEC source: 0001562180-20-003757 · primarydocument.xml · nonDerivative · entry 2

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,690

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
May 15, 2020 Filed May 19, 2020 19:10 UTC
Fraser AnnaChief People Officer
Exercise / conversionCommon Stock 11,678 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-20-003757 · primarydocument.xml · nonDerivative · entry 1

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,839

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

Read SEC document
May 15, 2020 Filed May 19, 2020 23:11 UTC
Bagley BrittanyChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 135,975 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-003759 · primarydocument.xml · derivative · entry 3

Bagley Brittany · CIK 0001743490 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 407,926

Underlying: Common Stock · 135,975 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: One quarter of the RSUs vested on May 15, 2020, and 1/16th of the RSUs will vest on each quarterly anniversary there after, beginning on August 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.

F4 · derivative.expiration_date: One quarter of the RSUs vested on May 15, 2020, and 1/16th of the RSUs will vest on each quarterly anniversary there after, beginning on August 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.

Read SEC document
May 15, 2020 Filed May 19, 2020 23:11 UTC
Bagley BrittanyChief Financial Officer
Tax withholdingCommon Stock 53,767 $9.08 $488,204.36
Disclosure

SEC source: 0001562180-20-003759 · primarydocument.xml · nonDerivative · entry 2

Bagley Brittany · CIK 0001743490 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,208

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
May 15, 2020 Filed May 19, 2020 23:11 UTC
Bagley BrittanyChief Financial Officer
Exercise / conversionCommon Stock 135,975 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-20-003759 · primarydocument.xml · nonDerivative · entry 1

Bagley Brittany · CIK 0001743490 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,975

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

Read SEC document
May 15, 2020 Filed May 19, 2020 23:08 UTC
Lazarus Edward PChief Legal Officer & Secty.
Exercise / conversionRestricted Stock Units · Derivative 4,345 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-003754 · primarydocument.xml · derivative · entry 8

Lazarus Edward P · CIK 0001610766 · Chief Legal Officer & Secty.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,705

Underlying: Common Stock · 4,345 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F7 · derivative.exercise_date: One quarter of the RSUs vested on February 15, 2020, and 1/16th of the RSUs will vest on each quarterly anniversary there after, beginning on May 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.

F7 · derivative.expiration_date: One quarter of the RSUs vested on February 15, 2020, and 1/16th of the RSUs will vest on each quarterly anniversary there after, beginning on May 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.

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.