Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Fluence Energy, Inc.FLNC · Entity 4531 | SVP & Chief Financial Officer | September 15, 2023 | September 19, 2023 |
| SUNPOWER CORPSPWR · Entity 88423 | EVP and CFO | September 05, 2022 | September 07, 2022 |
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.
Fluence Energy, Inc.
Report date September 15, 2023 · Filed September 19, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 22,853 |
Ending reported balance
After 2023-09-15 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-09-15 · Exercise / conversion · Acquired 45,210 · Balance 45,210 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock of the Issuer. Row 2 · 2023-09-15 · Tax withholding · Disposed 22,357 · Balance 22,853 F2: Represents the number of shares of Class A Common Stock that have been withheld to satisfy income tax withholding obligations in connection with the vesting of the RSUs. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 90,419 |
Reported balance
After 2023-09-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-09-15 · Exercise / conversion · Disposed 45,210 · Balance 90,419 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock of the Issuer. F3: The RSUs will vest in three equal annual installments with the first installment having vested on September 15, 2023, the second installment vesting on September 15, 2024, and the final installment vesting on September 15, 2025, subject to continued service through the applicable vesting date. The RSUs have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock of the Issuer.
F2: Represents the number of shares of Class A Common Stock that have been withheld to satisfy income tax withholding obligations in connection with the vesting of the RSUs.
F3: The RSUs will vest in three equal annual installments with the first installment having vested on September 15, 2023, the second installment vesting on September 15, 2024, and the final installment vesting on September 15, 2025, subject to continued service through the applicable vesting date. The RSUs have no expiration date.
SUNPOWER CORP
Report date September 05, 2022 · Filed September 07, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 54,869 |
Ending reported balance
After 2022-09-05 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-09-05 · Exercise / conversion · Acquired 8,052 · Balance 58,862 Row 2 · 2022-09-05 · Tax withholding · Disposed 3,993 · Balance 54,869 F1: Disposition of shares exempt under Rule 16b-3 as payment of tax liability to Company by delivery or withholding securities incident to vesting of restricted shares. |
| Restricted Stock Units (RSUs)SEC Table II · derivative / convertible security | Direct | 24,158 |
Reported balance
After 2022-09-05 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-09-05 · Exercise / conversion · Disposed 8,052 · Balance 24,158 F2: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. F3: RSU's shall vest in three equal installments on each of September 5, 2023, September 5, 2024 and September 5, 2025. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposition of shares exempt under Rule 16b-3 as payment of tax liability to Company by delivery or withholding securities incident to vesting of restricted shares.
F2: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.
F3: RSU's shall vest in three equal installments on each of September 5, 2023, September 5, 2024 and September 5, 2025.
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 |
|---|---|---|---|---|---|---|
| March 01, 2020 Filed Mar 4, 2020 19:47 UTC | SUNPOWER CORP SPWR · Entity 88423 | Exercise / conversionPerformance Based Restricted Stock Units (PSU's) · Derivative | 17,740 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-016378 · doc4.xml · derivative · entry 5 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,740 Underlying: Common Stock · 17,740 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 PSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. F3 · derivative.exercise_date: On February 12, 2019, Reporting Person was awarded a number of PSUs within a preset range, with the actual number contingent upon the achievement of certain criteria. The Compensation Committee of the Issuer's Board of Directors confirmed the achievement of the performance criteria on February 29, 2020 and, based on that assessment, determined the number of PSUs. The remaining PSUs will vest on March 1, 2021. F3 · derivative.expiration_date: On February 12, 2019, Reporting Person was awarded a number of PSUs within a preset range, with the actual number contingent upon the achievement of certain criteria. The Compensation Committee of the Issuer's Board of Directors confirmed the achievement of the performance criteria on February 29, 2020 and, based on that assessment, determined the number of PSUs. The remaining PSUs will vest on March 1, 2021. Read SEC document |
| March 01, 2020 Filed Mar 4, 2020 19:47 UTC | SUNPOWER CORP SPWR · Entity 88423 | Tax withholdingCommon Stock | 6,916 | $8.57 | $59,270.12 |
DisclosureSEC source: 0001209191-20-016378 · doc4.xml · nonDerivative · entry 4 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,741 F1 · kind: Disposition of shares exempt under Rule 16b-3 as payment of tax liability to Company by delivery or withholding securities incident to vesting of restricted shares. Read SEC document |
| March 01, 2020 Filed Mar 4, 2020 19:47 UTC | SUNPOWER CORP SPWR · Entity 88423 | Tax withholdingCommon Stock | 6,135 | $8.57 | $52,576.95 |
DisclosureSEC source: 0001209191-20-016378 · doc4.xml · nonDerivative · entry 3 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,657 F1 · kind: Disposition of shares exempt under Rule 16b-3 as payment of tax liability to Company by delivery or withholding securities incident to vesting of restricted shares. Read SEC document |
| March 01, 2020 Filed Mar 4, 2020 19:47 UTC | SUNPOWER CORP SPWR · Entity 88423 | Exercise / conversionCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-016378 · doc4.xml · nonDerivative · entry 2 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,792 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 |
| March 01, 2020 Filed Mar 4, 2020 19:47 UTC | SUNPOWER CORP SPWR · Entity 88423 | Exercise / conversionCommon Stock | 17,740 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-016378 · doc4.xml · nonDerivative · entry 1 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,792 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 29, 2020 Filed Mar 4, 2020 19:47 UTC | SUNPOWER CORP SPWR · Entity 88423 | GrantRestricted Stock Units (RSU's) · Derivative | 58,824 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-016378 · doc4.xml · derivative · entry 8 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,824 Underlying: Common Stock · 58,824 shares Expires not disclosed F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. F7 · derivative.exercise_date: The remaining RSUs shall vest in installments on each of March 1, 2021, March 1, 2022 and March 1, 2023. F7 · derivative.expiration_date: The remaining RSUs shall vest in installments on each of March 1, 2021, March 1, 2022 and March 1, 2023. Read SEC document |
| February 29, 2020 Filed Mar 4, 2020 19:47 UTC | SUNPOWER CORP SPWR · Entity 88423 | GrantPerformance Based Stock Units (PSU's) · Derivative | 35,480 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-016378 · doc4.xml · derivative · entry 7 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,480 Underlying: Common Stock · 35,480 shares Expires not disclosed F2 · derivative.exercise_price: Each PSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. F6 · derivative.exercise_date: On February 12, 2019, Reporting Person was awarded a number of PSUs within a preset range, with the actual number contingent upon the achievement of certain criteria. The Compensation Committee of the Issuer's Board of Directors confirmed the achievement of the performance criteria on February 29, 2020 and, based on that assessment, determined the number of PSUs. The remaining PSUs shall vest on March 1, 2021." F6 · derivative.expiration_date: On February 12, 2019, Reporting Person was awarded a number of PSUs within a preset range, with the actual number contingent upon the achievement of certain criteria. The Compensation Committee of the Issuer's Board of Directors confirmed the achievement of the performance criteria on February 29, 2020 and, based on that assessment, determined the number of PSUs. The remaining PSUs shall vest on March 1, 2021." Read SEC document |
| February 19, 2020 Filed Feb 19, 2020 19:10 UTC | SUNPOWER CORP SPWR · Entity 88423 | SaleCommon Stock | 12,711 | $10.00 | $127,110.00 |
DisclosureSEC source: 0001209191-20-010786 · doc4.xml · nonDerivative · entry 2 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,052 Read SEC document |
| February 18, 2020 Filed Feb 19, 2020 19:10 UTC | SUNPOWER CORP SPWR · Entity 88423 | SaleCommon Stock | 5,084 | $8.28 | $42,095.52 |
DisclosureSEC source: 0001209191-20-010786 · doc4.xml · nonDerivative · entry 1 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,763 F1 · kind: The sale reported on this Form 4 was effected pursuant to a previously adopted rule 10b5-1 trading plan by the reporting person. Read SEC document |
| December 05, 2019 Filed Dec 9, 2019 20:01 UTC | SUNPOWER CORP SPWR · Entity 88423 | Exercise / conversionRestricted Stock · Derivative | 80,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-059775 · doc4.xml · derivative · entry 3 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 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 one share of the Issuer's Common Stock upon vesting. F3 · derivative.exercise_date: The remaining RSUs shall vest on December 5, 2020. F3 · derivative.expiration_date: The remaining RSUs shall vest on December 5, 2020. Read SEC document |
| December 05, 2019 Filed Dec 9, 2019 20:01 UTC | SUNPOWER CORP SPWR · Entity 88423 | Tax withholdingCommon Stock | 29,153 | $7.09 | $206,694.77 |
DisclosureSEC source: 0001209191-19-059775 · doc4.xml · nonDerivative · entry 2 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,847 F1 · kind: Disposition of shares exempt under Rule 16b-3 as payment of tax liability to Company by delivery or withholding securities incident to vesting of restricted shares. Read SEC document |
| December 05, 2019 Filed Dec 9, 2019 20:01 UTC | SUNPOWER CORP SPWR · Entity 88423 | Exercise / conversionCommon Stock | 80,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-059775 · doc4.xml · nonDerivative · entry 1 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 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 08, 2019 Filed Aug 8, 2019 18:19 UTC | SUNPOWER CORP SPWR · Entity 88423 | SaleCommon Stock | 8,178 | $14.60 | $119,398.80 |
DisclosureSEC source: 0001209191-19-045198 · doc4.xml · nonDerivative · entry 1 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: The sale reported on this Form 4 was effected pursuant to a previously adopted rule 10b5-1 trading plan by the reporting person. Read SEC document |
| May 14, 2019 Filed May 15, 2019 18:35 UTC | SUNPOWER CORP SPWR · Entity 88423 | SaleCommon Stock | 8,177 | $8.06 | $65,906.62 |
DisclosureSEC source: 0001209191-19-030140 · doc4.xml · nonDerivative · entry 1 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,178 F1 · kind: The sale reported on this Form 4 was effected pursuant to a previously adopted rule 10b5-1 trading plan by the reporting person. Read SEC document |
| May 05, 2019 Filed May 7, 2019 16:14 UTC | SUNPOWER CORP SPWR · Entity 88423 | Exercise / conversionRestricted Stock Units (RSUs) · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027969 · doc4.xml · derivative · entry 3 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 25,000 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 one share of the Issuer's Common Stock upon vesting. F3 · derivative.exercise_date: The remaining RSUs shall vest in installments on each of May 5, 2020, May 5, 2021 and May 5, 2022. F3 · derivative.expiration_date: The remaining RSUs shall vest in installments on each of May 5, 2020, May 5, 2021 and May 5, 2022. Read SEC document |
| May 05, 2019 Filed May 7, 2019 16:14 UTC | SUNPOWER CORP SPWR · Entity 88423 | Tax withholdingCommon Stock | 8,645 | $7.54 | $65,183.30 |
DisclosureSEC source: 0001209191-19-027969 · doc4.xml · nonDerivative · entry 2 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,355 F1 · kind: Disposition of shares exempt under Rule 16b-3 as payment of tax liability to Company by delivery or withholding securities incident to vesting of restricted shares. Read SEC document |
| May 05, 2019 Filed May 7, 2019 16:14 UTC | SUNPOWER CORP SPWR · Entity 88423 | Exercise / conversionCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027969 · doc4.xml · nonDerivative · entry 1 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 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 12, 2019 Filed Feb 14, 2019 17:46 UTC | SUNPOWER CORP SPWR · Entity 88423 | GrantRestricted Stock Units (RSUs) · Derivative | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-010347 · doc4.xml · derivative · entry 1 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires not disclosed F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. F2 · derivative.exercise_date: The RSUs shall vest in two equal installments on each of March 1, 2020 and March 1, 2021. F2 · derivative.expiration_date: The RSUs shall vest in two equal installments on each of March 1, 2020 and March 1, 2021. Read SEC document |
| December 14, 2018 Filed Dec 19, 2018 09:15 UTC | SUNPOWER CORP SPWR · Entity 88423 | GrantRestricted Stock Units (RSUs) · Derivative | 160,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-063391 · doc4.xml · derivative · entry 1 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,000 Underlying: Common Stock · 160,000 shares Expires not disclosed F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. F2 · derivative.exercise_date: The RSUs shall vest in two equal installments on each of December 5, 2019 and December 5, 2020. F2 · derivative.expiration_date: The RSUs shall vest in two equal installments on each of December 5, 2019 and December 5, 2020. Read SEC document |
| May 18, 2018 Filed May 22, 2018 16:06 UTC | SUNPOWER CORP SPWR · Entity 88423 | GrantRestricted Stock Units (RSUs) · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-032286 · doc4.xml · derivative · entry 1 Sial Manavendra · CIK 0001739706 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. F2 · derivative.exercise_date: The RSUs shall vest in four equal installments on each of May 5, 2019, May 5, 2020, May 5, 2021 and May 5, 2022. F2 · derivative.expiration_date: The RSUs shall vest in four equal installments on each of May 5, 2019, May 5, 2020, May 5, 2021 and May 5, 2022. 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.