Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Advantage Solutions Inc.ADV · Entity 5563 | Director | October 28, 2020 | October 30, 2020 |
| Container Store Group, Inc.TCS · Entity 87876 | Director · 10% owner | August 31, 2022 | September 02, 2022 |
| JOANN Inc.JOAN · Entity 93003 | Director · 10% owner | June 27, 2023 | June 29, 2023 |
| SIGNET JEWELERS LTDSIG · Entity 8824 | Director · 10% owner | June 25, 2020 | June 29, 2020 |
| Shake Shack Inc.SHAK · Entity 4254 | Director | June 29, 2023 | June 29, 2023 |
| WHOLE FOODS MARKET INCWFM · Entity 173568 | Director | December 07, 2016 | December 09, 2016 |
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.
Advantage Solutions Inc.
Report date October 28, 2020 · Filed October 30, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote. | 15,450,000 |
Reported balance
After 2020-10-28 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-10-28 · Grant · Acquired 15,450,000 · Balance 15,450,000 F1: Represents shares of Class A common stock, par value $0.0001 per share ("A-Common") of the Issuer purchased by Green Equity Investors VI, L.P. ("GEI VI"), Green Equity Investors Side VI, L.P. ("GEI Side VI"), and Karman Coinvest L.P. ("Karman") in a private placement concurrent with the execution of the Agreement and Plan of Merger by and among the Issuer, CP II Merger Sub, Inc., Advantage Solutions Inc., and Karman Topco L.P., dated September 7, 2020. Of the shares of A-Common purchased, 9,580,210 shares were purchased by GEI VI, 5,709,790 were purchased by GEI Side VI, and 160,000 were purchased by Karman. Karman is jointly controlled and managed by an affiliate of GEI VI and GEI Side VI, and an entity controlled by another private equity sponsor. F2: Represents shares owned by GEI VI, GEI Side VI and Karman. Of the shares of A-Common reported, 9,580,210 shares are owned by GEI VI, 5,709,790 shares are owned by GEI Side VI, and 160,000 shares are owned by Karman. F3: Mr. Sokoloff directly (whether through ownership or position), or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI VI, GEI Side VI, and Karman. Mr. Sokoloff disclaims beneficial ownership of the shares owned by each of GEI VI, GEI Side VI, and Karman, except to the extent of his pecuniary interest in GEI VI and GEI Side VI, and this report shall not otherwise be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Class A common stock, par value $0.0001 per share ("A-Common") of the Issuer purchased by Green Equity Investors VI, L.P. ("GEI VI"), Green Equity Investors Side VI, L.P. ("GEI Side VI"), and Karman Coinvest L.P. ("Karman") in a private placement concurrent with the execution of the Agreement and Plan of Merger by and among the Issuer, CP II Merger Sub, Inc., Advantage Solutions Inc., and Karman Topco L.P., dated September 7, 2020. Of the shares of A-Common purchased, 9,580,210 shares were purchased by GEI VI, 5,709,790 were purchased by GEI Side VI, and 160,000 were purchased by Karman. Karman is jointly controlled and managed by an affiliate of GEI VI and GEI Side VI, and an entity controlled by another private equity sponsor.
F2: Represents shares owned by GEI VI, GEI Side VI and Karman. Of the shares of A-Common reported, 9,580,210 shares are owned by GEI VI, 5,709,790 shares are owned by GEI Side VI, and 160,000 shares are owned by Karman.
F3: Mr. Sokoloff directly (whether through ownership or position), or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI VI, GEI Side VI, and Karman. Mr. Sokoloff disclaims beneficial ownership of the shares owned by each of GEI VI, GEI Side VI, and Karman, except to the extent of his pecuniary interest in GEI VI and GEI Side VI, and this report shall not otherwise be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Container Store Group, Inc.
Report date August 31, 2022 · Filed September 02, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01SEC Table I · non-derivative | Direct | 86,567 |
Reported balance
After 2022-08-31 transaction · row 2
1 source rowRow 2 · 2022-08-31 · Grant · Acquired 19,174 · Balance 86,567 F3: Represents shares of restricted Common Stock awarded to the reporting person pursuant to the Issuer's Amended and Restated 2013 Incentive Award Plan on August 31, 2022. F4: Granted as compensation for services. |
| Common Stock, par value $0.01SEC Table I · non-derivative | IndirectSee footnote | 15,334,006 |
Reported balance
Holding disclosure · report date 2022-08-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 15,334,006 F1: Represents shares of Common Stock, par value $0.01 per share (the "Common Stock") owned by Green Equity Investors V, L.P. ("GEI V"), Green Equity Investors Side V, L.P. ("GEI Side V"), and TCS Co-Invest, LLC ("TCS"). Of the shares of Common Stock reported, 11,680,206 are owned by GEI V, 3,503,776 are owned by GEI Side V, and 150,024 are owned by TCS. F2: Mr. Sokoloff directly (whether through ownership or position) or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI V, GEI Side V, and TCS. Mr. Sokoloff disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.00 · Expires 2023-10-31 | Direct | 13,603 |
Reported balance
Holding disclosure · report date 2022-08-31 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 13,603 F5: The options on this row are fully vested. F6: The options reported on this row are held by Mr. Sokoloff for the benefit of Leonard Green & Partners, L.P. Mr. Sokoloff disclaims beneficial ownership of these securities. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $21.53 · Expires 2024-10-27 | Direct | 10,132 |
Reported balance
Holding disclosure · report date 2022-08-31 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 10,132 F5: The options on this row are fully vested. F6: The options reported on this row are held by Mr. Sokoloff for the benefit of Leonard Green & Partners, L.P. Mr. Sokoloff disclaims beneficial ownership of these securities. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.28 · Expires 2025-08-03 | Direct | 11,821 |
Reported balance
Holding disclosure · report date 2022-08-31 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 11,821 F5: The options on this row are fully vested. F6: The options reported on this row are held by Mr. Sokoloff for the benefit of Leonard Green & Partners, L.P. Mr. Sokoloff disclaims beneficial ownership of these securities. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.35 · Expires 2026-08-01 | Direct | 30,675 |
Reported balance
Holding disclosure · report date 2022-08-31 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 30,675 F5: The options on this row are fully vested. F6: The options reported on this row are held by Mr. Sokoloff for the benefit of Leonard Green & Partners, L.P. Mr. Sokoloff disclaims beneficial ownership of these securities. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.10 · Expires 2027-09-12 | Direct | 42,919 |
Reported balance
Holding disclosure · report date 2022-08-31 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 42,919 F5: The options on this row are fully vested. F6: The options reported on this row are held by Mr. Sokoloff for the benefit of Leonard Green & Partners, L.P. Mr. Sokoloff disclaims beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Common Stock, par value $0.01 per share (the "Common Stock") owned by Green Equity Investors V, L.P. ("GEI V"), Green Equity Investors Side V, L.P. ("GEI Side V"), and TCS Co-Invest, LLC ("TCS"). Of the shares of Common Stock reported, 11,680,206 are owned by GEI V, 3,503,776 are owned by GEI Side V, and 150,024 are owned by TCS.
F2: Mr. Sokoloff directly (whether through ownership or position) or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI V, GEI Side V, and TCS. Mr. Sokoloff disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F3: Represents shares of restricted Common Stock awarded to the reporting person pursuant to the Issuer's Amended and Restated 2013 Incentive Award Plan on August 31, 2022.
F4: Granted as compensation for services.
F5: The options on this row are fully vested.
F6: The options reported on this row are held by Mr. Sokoloff for the benefit of Leonard Green & Partners, L.P. Mr. Sokoloff disclaims beneficial ownership of these securities.
JOANN Inc.
Report date June 27, 2023 · Filed June 29, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 175,026 |
Reported balance
After 2023-06-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-06-27 · Grant · Acquired 152,662 · Balance 175,026 F1: The securities reported on this row are held by Mr. Sokoloff for the benefit of Leonard Green & Partners, L.P. Mr. Sokoloff disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote. | 27,827,357 |
Reported balance
Holding disclosure · report date 2023-06-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 27,827,357 F2: Represents shares of common stock owned by Green Equity Investors CF, L.P. ("Main CF"), Green Equity Investors Side CF, L.P. ("Side CF"), and LGP Associates CF, LLC ("Associates CF"). Of the shares of common stock reported, 20,436,421 are held by Main CF, 7,293,957 are held by Side CF, and 96,979 are held by Associates CF. F3: Mr. Sokoloff directly (whether through ownership or position) or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares of common stock owned by Main CF, Side CF, and Associates CF. Mr. Sokoloff disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported on this row are held by Mr. Sokoloff for the benefit of Leonard Green & Partners, L.P. Mr. Sokoloff disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F2: Represents shares of common stock owned by Green Equity Investors CF, L.P. ("Main CF"), Green Equity Investors Side CF, L.P. ("Side CF"), and LGP Associates CF, LLC ("Associates CF"). Of the shares of common stock reported, 20,436,421 are held by Main CF, 7,293,957 are held by Side CF, and 96,979 are held by Associates CF.
F3: Mr. Sokoloff directly (whether through ownership or position) or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares of common stock owned by Main CF, Side CF, and Associates CF. Mr. Sokoloff disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
SIGNET JEWELERS LTD
Report date June 25, 2020 · Filed June 29, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, par value $0.18SEC Table I · non-derivative | Direct | 14,363 |
Reported balance
After 2020-06-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-06-25 · Grant · Acquired 857 · Balance 14,363 F1: Granted as compensation for services. F2: The shares reported on this row were granted in respect of Mr. Sokoloff's service on the Issuer's board of directors for the period through his resignation from the Issuer's board of directors, effective June 12, 2020, and are held by Mr. Sokoloff for the benefit of Leonard Green & Partners, L.P. |
| Series A Convertible Preference SharesSEC Table II · derivative / convertible security · Conversion / exercise price $81.77 | IndirectSee footnote | 7,739,107 |
Reported balance
Holding disclosure · report date 2020-06-25 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 7,739,107 F3: Series A Convertible Preference Shares, par value $0.01 per share ("Series A Preference Shares"). F4: The Series A Preference Shares have a stated value of $1,012.50 and are convertible into Common Shares of the issuer at a current conversion price of $81.7682 per share at a conversion rate of 12.2297 Common Shares per Series A Preference Share. The conversion rate is subject to certain anti-dilution and other adjustments and is subject to change. Since the acquisition of the Series A Preference Shares, the conversion rate has been adjusted as a result of these anti-dilution adjustments. F5: Immediately. F6: The Series A Preference Shares do not have an expiration date. F7: Green Equity Investors VI, L.P. ("GEI VI"), Green Equity Investors Side VI, L.P. ("GEI Side VI"), LGP Associates VI-A LLC ("Associates VI-A") and LGP Associates VI-B LLC ("Associates VI-B") are the direct owners of the shares reported herein. Of the shares reported on this row, GEI VI is the direct owner of 387,522 Series A Preference Shares which are convertible into 4,798,519 Common Shares, GEI Side VI is the direct owner of 230,963 Series A Preference Shares which are convertible into 2,859,916 Common Shares, Associates VI-A is the direct owner of 470 Series A Preference Shares which are convertible into 5,820 Common Shares, and Associates VI-B is the direct owner of 6,045 Series A Preference Shares which are convertible into 74,852 Common Shares. F8: Mr. Sokoloff directly (whether through ownership or position) or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI VI, GEI Side VI, Associates VI-A and Associates VI-B. Mr. Sokoloff disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Granted as compensation for services.
F2: The shares reported on this row were granted in respect of Mr. Sokoloff's service on the Issuer's board of directors for the period through his resignation from the Issuer's board of directors, effective June 12, 2020, and are held by Mr. Sokoloff for the benefit of Leonard Green & Partners, L.P.
F3: Series A Convertible Preference Shares, par value $0.01 per share ("Series A Preference Shares").
F4: The Series A Preference Shares have a stated value of $1,012.50 and are convertible into Common Shares of the issuer at a current conversion price of $81.7682 per share at a conversion rate of 12.2297 Common Shares per Series A Preference Share. The conversion rate is subject to certain anti-dilution and other adjustments and is subject to change. Since the acquisition of the Series A Preference Shares, the conversion rate has been adjusted as a result of these anti-dilution adjustments.
F5: Immediately.
F6: The Series A Preference Shares do not have an expiration date.
F7: Green Equity Investors VI, L.P. ("GEI VI"), Green Equity Investors Side VI, L.P. ("GEI Side VI"), LGP Associates VI-A LLC ("Associates VI-A") and LGP Associates VI-B LLC ("Associates VI-B") are the direct owners of the shares reported herein. Of the shares reported on this row, GEI VI is the direct owner of 387,522 Series A Preference Shares which are convertible into 4,798,519 Common Shares, GEI Side VI is the direct owner of 230,963 Series A Preference Shares which are convertible into 2,859,916 Common Shares, Associates VI-A is the direct owner of 470 Series A Preference Shares which are convertible into 5,820 Common Shares, and Associates VI-B is the direct owner of 6,045 Series A Preference Shares which are convertible into 74,852 Common Shares.
F8: Mr. Sokoloff directly (whether through ownership or position) or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI VI, GEI Side VI, Associates VI-A and Associates VI-B. Mr. Sokoloff disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Shake Shack Inc.
Report date June 29, 2023 · Filed June 29, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CLASS A COMMON STOCKSEC Table I · non-derivative | Direct | 5,616 |
Reported balance
After 2023-06-29 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-06-29 · Grant · Acquired 805 · Balance 5,616 F1: Represents shares of Class A Common Stock ("Class A Stock") of Shake Shack Inc. (the "Issuer") underlying restricted stock units acquired by the Reporting Person. On June 29, 2023, pursuant to the Issuer's 2015 Incentive Award Plan, as amended, and the Issuer's Non-Employee Director Compensation Policy, the Reporting Person was awarded restricted stock units that represent the right to receive Class A Stock of the Issuer. The restricted stock units representing the right to receive Class A Stock of the Issuer vest on June 29, 2024, subject to the Reporting Person's continued service with the Issuer. F2: The total reported share amount has been adjusted to reflect shares that were previously left off due to error. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Class A Common Stock ("Class A Stock") of Shake Shack Inc. (the "Issuer") underlying restricted stock units acquired by the Reporting Person. On June 29, 2023, pursuant to the Issuer's 2015 Incentive Award Plan, as amended, and the Issuer's Non-Employee Director Compensation Policy, the Reporting Person was awarded restricted stock units that represent the right to receive Class A Stock of the Issuer. The restricted stock units representing the right to receive Class A Stock of the Issuer vest on June 29, 2024, subject to the Reporting Person's continued service with the Issuer.
F2: The total reported share amount has been adjusted to reflect shares that were previously left off due to error.
WHOLE FOODS MARKET INC
Report date December 07, 2016 · Filed December 09, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 8,983 |
Reported balance
After 2016-12-07 transaction · row 1
1 source rowRow 1 · 2016-12-07 · Grant · Acquired 1,200 · Balance 8,983 F1: Grant of restricted stock for which the restriction lapses 25% on each of the first four anniversaries of the date on which the stock was granted, which was December 7, 2016. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 281,974 |
Reported balance
Holding disclosure · report date 2016-12-07 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 281,974 F2: The shares reported on this row are held by trusts for the benefit of family members of Mr. Sokoloff. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 620,810 |
Reported balance
Holding disclosure · report date 2016-12-07 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 620,810 F3: The shares reported on this row are held by a limited liability company of which Mr. Sokoloff is the sole manager. Mr. Sokoloff owns 1% of the interests in the limited liability company, and a trust for certain of his family members owns the other 99%. Mr. Sokoloff disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,280 |
Reported balance
Holding disclosure · report date 2016-12-07 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 2,280 F4: Leonard Green & Partners, L.P. ("LGP LP") holds 2,280 shares of restricted stock, 1,140 of which are held in respect of Mr. Sokoloff's service on the Issuer's board of directors, and the remaining 1,140 of which are held in respect of Mr. Jonathan Seiffer's service on the Issuer's board of directors. The restricted stock vests in three equal annual installments, the first of which vested on November 16, 2012. F5: Mr. Sokoloff directly (whether through ownership or position) or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by LGP LP. Mr. Seiffer disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock for which the restriction lapses 25% on each of the first four anniversaries of the date on which the stock was granted, which was December 7, 2016.
F2: The shares reported on this row are held by trusts for the benefit of family members of Mr. Sokoloff.
F3: The shares reported on this row are held by a limited liability company of which Mr. Sokoloff is the sole manager. Mr. Sokoloff owns 1% of the interests in the limited liability company, and a trust for certain of his family members owns the other 99%. Mr. Sokoloff disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or any other purpose.
F4: Leonard Green & Partners, L.P. ("LGP LP") holds 2,280 shares of restricted stock, 1,140 of which are held in respect of Mr. Sokoloff's service on the Issuer's board of directors, and the remaining 1,140 of which are held in respect of Mr. Jonathan Seiffer's service on the Issuer's board of directors. The restricted stock vests in three equal annual installments, the first of which vested on November 16, 2012.
F5: Mr. Sokoloff directly (whether through ownership or position) or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by LGP LP. Mr. Seiffer disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
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 |
|---|---|---|---|---|---|---|
| September 06, 2016 Filed Sep 8, 2016 18:21 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleClass A Common Stock | 7,339 | $36.20 | $265,671.80 |
DisclosureSEC source: 0001209191-16-140633 · doc4.xml · nonDerivative · entry 2 SOKOLOFF JONATHAN D · CIK 0001175522 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,408,982 F5 · shares: Represents shares of A-Common sold by GEI VI, GEI Side VI, and Malted. Of the shares of A-Common sold, 4,398 were sold by GEI VI, 2,621 were sold by GEI Side VI, and 320 were sold by Malted. F6 · price: This transaction was executed in multiple trades at prices ranging from $36.03 to $36.34. The price reported above reflects the weighted average sale price. Mr. Sokoloff hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares and prices at which the trades were effected. F7 · balance_after: Represents shares owned by GEI VI, GEI Side VI, and Malted. Of the shares of A-Common reported, 454,450 are owned by GEI VI, 1,926,532 are owned by GEI Side VI, and 28,000 are owned by Malted. F4 · ownership.nature: Mr. Sokoloff directly (whether through ownership or position), or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI VI, GEI Side VI, and Malted. Mr. Sokoloff disclaims beneficial ownership of the shares owned by each of GEI VI, GEI Side VI, and Malted, except to the extent of his pecuniary interest in GEI VI and GEI Side VI, and this report shall not otherwise be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 06, 2016 Filed Sep 8, 2016 18:21 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleClass A Common Stock | 42,661 | $35.47 | $1,513,185.67 |
DisclosureSEC source: 0001209191-16-140633 · doc4.xml · nonDerivative · entry 1 SOKOLOFF JONATHAN D · CIK 0001175522 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,416,321 F1 · shares: Represents shares of Class A common stock, par value $0.001 per share ("A-Common") sold by Green Equity Investors VI, L.P. ("GEI VI"), Green Equity Investors Side VI, L.P. ("GEI Side VI"), and LGP Malted Coinvest LLC ("Malted"). Of the shares of A-Common sold, 25,561 were sold by GEI VI, 15,234 were sold by GEI Side VI, and 1,866 were sold by Malted. GEI VI's, GEI Side VI's, and Malted's A-Common, together with GEI VI's and Malted's B-Common and LLC Interests, are collectively referred to herein as the "Equity Interests." F2 · price: This transaction was executed in multiple trades at prices ranging from $35.03 to $35.94. The price reported above reflects the weighted average sale price. Mr. Sokoloff hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares and prices at which the trades were effected. F3 · balance_after: Represents shares owned by GEI VI, GEI Side VI, and Malted. Of the shares of A-Common reported, 458,848 are owned by GEI VI, 1,929,153 are owned by GEI Side VI, and 28,320 are owned by Malted. F4 · ownership.nature: Mr. Sokoloff directly (whether through ownership or position), or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI VI, GEI Side VI, and Malted. Mr. Sokoloff disclaims beneficial ownership of the shares owned by each of GEI VI, GEI Side VI, and Malted, except to the extent of his pecuniary interest in GEI VI and GEI Side VI, and this report shall not otherwise be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 16:15 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleClass A Common Stock | 50,000 | $35.37 | $1,768,500.00 |
DisclosureSEC source: 0001209191-16-140031 · doc4.xml · nonDerivative · entry 3 SOKOLOFF JONATHAN D · CIK 0001175522 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,458,982 F7 · shares: Represents shares of A-Common sold by GEI VI, GEI Side VI, and Malted. Of the shares of A-Common sold, 29,958 were sold by GEI VI, 17,855 were sold by GEI Side VI, and 2,187 were sold by Malted. F8 · price: This transaction was executed in multiple trades at prices ranging from $35.00 to $35.73. The price reported above reflects the weighted average sale price. Mr. Sokoloff hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares and prices at which the trades were effected. F9 · balance_after: Represents shares owned by GEI VI, GEI Side VI, and Malted. Of the shares of A-Common reported, 484,409 are owned by GEI VI, 1,944,387 are owned by GEI Side VI, and 30,186 are owned by Malted. F3 · ownership.nature: Mr. Sokoloff directly (whether through ownership or position), or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI VI, GEI Side VI, and Malted. Mr. Sokoloff disclaims beneficial ownership of the shares owned by each of GEI VI, GEI Side VI, and Malted, except to the extent of his pecuniary interest in GEI VI and GEI Side VI, and this report shall not otherwise be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 16:15 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleClass A Common Stock | 50,000 | $35.54 | $1,777,000.00 |
DisclosureSEC source: 0001209191-16-140031 · doc4.xml · nonDerivative · entry 2 SOKOLOFF JONATHAN D · CIK 0001175522 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,508,982 F4 · shares: Represents shares of A-Common sold by GEI VI, GEI Side VI, and Malted. Of the shares of A-Common sold, 29,958 were sold by GEI VI, 17,855 were sold by GEI Side VI, and 2,187 were sold by Malted. GEI VI's, GEI Side VI's, and Malted's A-Common, together with GEI VI's and Malted's B-Common and LLC Interests, are collectively referred to herein as the "Equity Interests." F5 · price: This transaction was executed in multiple trades at prices ranging from $35.21 to $35.79. The price reported above reflects the weighted average sale price. Mr. Sokoloff hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares and prices at which the trades were effected. F6 · balance_after: Represents shares owned by GEI VI, GEI Side VI, and Malted. Of the shares of A-Common reported, 514,367 are owned by GEI VI, 1,962,242 are owned by GEI Side VI, and 32,373 are owned by Malted. F3 · ownership.nature: Mr. Sokoloff directly (whether through ownership or position), or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI VI, GEI Side VI, and Malted. Mr. Sokoloff disclaims beneficial ownership of the shares owned by each of GEI VI, GEI Side VI, and Malted, except to the extent of his pecuniary interest in GEI VI and GEI Side VI, and this report shall not otherwise be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| August 30, 2016 Filed Sep 6, 2016 16:15 UTC | Shake Shack Inc. SHAK · Entity 4254 | ConversionClass B Common Stock · Derivative | 313,998 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-140031 · doc4.xml · derivative · entry 6 SOKOLOFF JONATHAN D · CIK 0001175522 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,985,902 Underlying: Class A Common Stock · 313,998 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. F13 · derivative.exercise_price: Pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, shares of B-Common can be paired with LLC Interests on a one-to-one basis and tendered to the Issuer in exchange for shares of A-Common (or cash, at the Issuer's election). F14 · shares: Represents shares paired with LLC Interests on a one-to-one basis by GEI VI and Malted and exchanged for shares of A-Common. Of the shares of reported in this row, 292,131 were issued to GEI VI, and 21,867 were issued to Malted. F15 · price: Not applicable. F13 · derivative.exercise_date: Pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, shares of B-Common can be paired with LLC Interests on a one-to-one basis and tendered to the Issuer in exchange for shares of A-Common (or cash, at the Issuer's election). F15 · derivative.expiration_date: Not applicable. F14 · derivative.underlying_shares: Represents shares paired with LLC Interests on a one-to-one basis by GEI VI and Malted and exchanged for shares of A-Common. Of the shares of reported in this row, 292,131 were issued to GEI VI, and 21,867 were issued to Malted. F16 · balance_after: Represents shares of B-Common owned by GEI VI and Malted. Of the shares of B-Common reported on this row, 2,777,968 are owned by GEI VI and 207,934 are owned by Malted. F17 · ownership.nature: Mr. Sokoloff directly (whether through ownership or position), or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the Equity Interests. Mr. Sokoloff disclaims beneficial ownership of the Equity Interests held by each of GEI VI, GEI Side VI, and Malted except to the extent of his pecuniary interest in GEI VI and GEI Side VI, and this report shall not otherwise be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| August 30, 2016 Filed Sep 6, 2016 16:15 UTC | Shake Shack Inc. SHAK · Entity 4254 | ConversionClass A Common Stock | 313,998 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-140031 · doc4.xml · nonDerivative · entry 1 SOKOLOFF JONATHAN D · CIK 0001175522 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,558,982 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents shares of Class A common stock, par value $0.001 per share ("A-Common") issued to Green Equity Investors VI, L.P. ("GEI VI") and LGP Malted Coinvest LLC ("Malted"). The shares were issued in exchange for an equivalent number of shares of Class B common stock, par value $0.001 per share ("B-Common") of the Issuer and limited liability company interests (the "LLC Interests") of SSE Holdings, LLC, pursuant to the exchange right described in note 13 to this Form 4. Of the newly-issued shares of A-Common reported in this row, 292,131 were issued to GEI VI, and 21,867 were issued to Malted. F2 · balance_after: Represents shares owned by GEI VI, Green Equity Investors Side VI, L.P. ("GEI Side VI"), and Malted. Of the shares of A-Common reported, 544,325 are owned by GEI VI, 1,980,097 are owned by GEI Side VI, and 34,560 are owned by Malted. F3 · ownership.nature: Mr. Sokoloff directly (whether through ownership or position), or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI VI, GEI Side VI, and Malted. Mr. Sokoloff disclaims beneficial ownership of the shares owned by each of GEI VI, GEI Side VI, and Malted, except to the extent of his pecuniary interest in GEI VI and GEI Side VI, and this report shall not otherwise be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. 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.