Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FINISAR CORPFNSR · Entity 154739 | EVP & Chief Financial Officer | September 24, 2019 | September 25, 2019 |
| SANMINA CORPSANM · Entity 3522 | EVP & CFO | November 16, 2023 | November 17, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
FINISAR CORP
Report date September 24, 2019 · Filed September 25, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2019-09-24 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-09-24 · Disposition to issuer · Disposed 49,181 · Balance 87,112 F1: These shares were disposed of pursuant to the Agreement and Plan of Merger by and among II-VI Incorporated ("II-VI"), Mutation Merger Sub Inc., and Finisar Corporation, dated as of November 8, 2018 (the "Merger Agreement"), whereby 49,181 of such shares were automatically cancelled and converted into the right to receive, for each such share, 0.2218 shares of II-VI common stock and $15.60 in cash. F2: The remaining 87,112 of such shares consisted of unvested restricted stock units ("RSUs") granted by the issuer (each of which represented the right to receive a share of the issuer's common stock upon vesting of the unit) that, in connection with the termination of the reporting person's employment with the issuer upon the closing of the Merger, were accelerated and converted into the right (subject, however, to the reporting person's delivery and non-revocation of a general release of claims) to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share. Row 2 · 2019-09-24 · Disposition to issuer · Disposed 87,112 · Balance 0 F1: These shares were disposed of pursuant to the Agreement and Plan of Merger by and among II-VI Incorporated ("II-VI"), Mutation Merger Sub Inc., and Finisar Corporation, dated as of November 8, 2018 (the "Merger Agreement"), whereby 49,181 of such shares were automatically cancelled and converted into the right to receive, for each such share, 0.2218 shares of II-VI common stock and $15.60 in cash. F2: The remaining 87,112 of such shares consisted of unvested restricted stock units ("RSUs") granted by the issuer (each of which represented the right to receive a share of the issuer's common stock upon vesting of the unit) that, in connection with the termination of the reporting person's employment with the issuer upon the closing of the Merger, were accelerated and converted into the right (subject, however, to the reporting person's delivery and non-revocation of a general release of claims) to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share. |
| Performance Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2022-05-06 | Direct | 42,166 |
Reported balance
After 2019-09-24 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-09-24 · Disposition to issuer · Disposed 14,494 · Balance 42,166 F3: Each performance stock unit ("PSU") represented the right to receive, upon satisfaction of the performance goals applicable to the unit, one share of the issuer's common stock. Pursuant to the Merger Agreement, each of these PSUs was automatically cancelled and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash. |
| Performance Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2022-05-06 | Direct | 0 |
Reported balance
After 2019-09-24 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-09-24 · Other · Disposed 42,166 · Balance 0 |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were disposed of pursuant to the Agreement and Plan of Merger by and among II-VI Incorporated ("II-VI"), Mutation Merger Sub Inc., and Finisar Corporation, dated as of November 8, 2018 (the "Merger Agreement"), whereby 49,181 of such shares were automatically cancelled and converted into the right to receive, for each such share, 0.2218 shares of II-VI common stock and $15.60 in cash.
F2: The remaining 87,112 of such shares consisted of unvested restricted stock units ("RSUs") granted by the issuer (each of which represented the right to receive a share of the issuer's common stock upon vesting of the unit) that, in connection with the termination of the reporting person's employment with the issuer upon the closing of the Merger, were accelerated and converted into the right (subject, however, to the reporting person's delivery and non-revocation of a general release of claims) to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share.
F3: Each performance stock unit ("PSU") represented the right to receive, upon satisfaction of the performance goals applicable to the unit, one share of the issuer's common stock. Pursuant to the Merger Agreement, each of these PSUs was automatically cancelled and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash.
SANMINA CORP
Report date November 16, 2023 · Filed November 17, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 59,889 |
Reported balance
After 2023-11-16 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-11-16 · Tax withholding · Disposed 3,510 · Balance 59,889 F1: Shares withheld by registrant to satisfy maximum statutory withholding requirements on vesting of restricted stock units granted on November 16, 2020. F2: Since the date of the reporting person's last ownership report, he transferred 5,952 shares of common stock to his ex-wife pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld by registrant to satisfy maximum statutory withholding requirements on vesting of restricted stock units granted on November 16, 2020.
F2: Since the date of the reporting person's last ownership report, he transferred 5,952 shares of common stock to his ex-wife pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 19, 2017 Filed Jun 21, 2017 19:08 UTC | FINISAR CORP FNSR · Entity 154739 | Tax withholdingCommon Stock | 6,211 | $27.58 | $171,299.38 |
DisclosureSEC source: 0001094739-17-000065 · wf-form4_149808648929274.xml · nonDerivative · entry 1 Adzema Kurt · CIK 0001486769 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,573 F1 · kind: On June 19, 2017, the Reporting Person vested in 11,902 restricted stock units ("RSUs") and as a result acquired 11,902 shares of common stock of the Issuer pursuant to the Reporting Person's June 21, 2016 grant of RSUs. This Form 4 reports shares withheld by the Issuer pursuant to the RSUs' grant agreement in order to satisfy the Reporting Person's withholding obligations for various taxes due upon the vesting of the RSUs. No shares were sold by the Reporting Person. The Issuer will pay the taxes on behalf of the Reporting Person. F2 · balance_after: Includes 589 shares purchased under the Issuer's Employee Stock Purchase Plan on June 15, 2017 and such purchase was not required to be reported pursuant to Section 16(a). Read SEC document |
| February 13, 2017 Filed Feb 14, 2017 18:05 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $21.68 | $0.00 |
DisclosureSEC source: 0001094739-17-000008 · wf-form4_148711351490140.xml · derivative · entry 9 Adzema Kurt · CIK 0001486769 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 shares Expires 2017-09-07 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 13, 2017 Filed Feb 14, 2017 18:05 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 678 | $0.00 Strike: $25.68 | $0.00 |
DisclosureSEC source: 0001094739-17-000008 · wf-form4_148711351490140.xml · derivative · entry 8 Adzema Kurt · CIK 0001486769 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 678 shares Expires 2017-03-08 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 13, 2017 Filed Feb 14, 2017 18:05 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3 | $0.00 Strike: $8.29 | $0.00 |
DisclosureSEC source: 0001094739-17-000008 · wf-form4_148711351490140.xml · derivative · entry 7 Adzema Kurt · CIK 0001486769 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3 shares Expires 2019-12-08 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 13, 2017 Filed Feb 14, 2017 18:05 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1 | $0.00 Strike: $8.29 | $0.00 |
DisclosureSEC source: 0001094739-17-000008 · wf-form4_148711351490140.xml · derivative · entry 6 Adzema Kurt · CIK 0001486769 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1 shares Expires 2019-12-08 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 13, 2017 Filed Feb 14, 2017 18:05 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 35,888 | $35.00 | $1,256,080.00 |
DisclosureSEC source: 0001094739-17-000008 · wf-form4_148711351490140.xml · nonDerivative · entry 5 Adzema Kurt · CIK 0001486769 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,195 F2 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on October 7, 2016. Read SEC document |
| February 13, 2017 Filed Feb 14, 2017 18:05 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 12,500 | $21.68 | $271,000.00 |
DisclosureSEC source: 0001094739-17-000008 · wf-form4_148711351490140.xml · nonDerivative · entry 4 Adzema Kurt · CIK 0001486769 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,083 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 13, 2017 Filed Feb 14, 2017 18:05 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 678 | $25.68 | $17,411.04 |
DisclosureSEC source: 0001094739-17-000008 · wf-form4_148711351490140.xml · nonDerivative · entry 3 Adzema Kurt · CIK 0001486769 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,583 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 13, 2017 Filed Feb 14, 2017 18:05 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 3 | $8.29 | $24.87 |
DisclosureSEC source: 0001094739-17-000008 · wf-form4_148711351490140.xml · nonDerivative · entry 2 Adzema Kurt · CIK 0001486769 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,905 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 13, 2017 Filed Feb 14, 2017 18:05 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 1 | $8.29 | $8.29 |
DisclosureSEC source: 0001094739-17-000008 · wf-form4_148711351490140.xml · nonDerivative · entry 1 Adzema Kurt · CIK 0001486769 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,902 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 · balance_after: Includes 717 shares purchased under the Issuer's Employee Stock Purchase Plan on December 15, 2016 and such purchase was not required to be reported pursuant to Section 16(a), and also includes 252 shares received as an Issuer match under the Issuer's 401K Plan on December 27, 2016 and not required to be reported. 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.