Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BIOLASE, INCBIOL · Entity 11470 | Director | June 08, 2023 | June 12, 2023 |
| DEXCOM INCDXCM · Entity 3114 | Director | September 01, 2016 | September 06, 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.
BIOLASE, INC
Report date June 08, 2023 · Filed June 12, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 779,901 |
Reported balance
After 2023-06-08 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-06-08 · Grant · Acquired 721,154 · Balance 779,901 F1: At the option of the Company, each restricted stock unit represents the right to receive, at settlement, one share of common stock, or its cash equivalent. F2: The restricted stock unit award fully vests and is immediately exercisable upon the eleventh month anniversary of the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: At the option of the Company, each restricted stock unit represents the right to receive, at settlement, one share of common stock, or its cash equivalent.
F2: The restricted stock unit award fully vests and is immediately exercisable upon the eleventh month anniversary of the date of grant.
DEXCOM INC
Report date September 01, 2016 · Filed September 06, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 52,820 |
Reported balance
After 2016-09-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2016-09-01 · Sale · Disposed 10,000 · Balance 52,820 F1: Since the date of the reporting person's last Form 4, 63,553 shares of Dexcom Inc. Common stock were transferred to his former spouse pursuant to a domestic relations order. Included in this number are 4,791 unvested restricted stock units which were granted on May 25, 2016 and shall vest on May 25, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: Since the date of the reporting person's last Form 4, 63,553 shares of Dexcom Inc. Common stock were transferred to his former spouse pursuant to a domestic relations order. Included in this number are 4,791 unvested restricted stock units which were granted on May 25, 2016 and shall vest on May 25, 2017.
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 08, 2023 Filed Jun 12, 2023 08:57 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantRestricted Stock Unit · Derivative | 721,154 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-036142 · doc4.xml · derivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 779,901 Underlying: Common Stock · 721,154 shares Expires not disclosed F1 · derivative.exercise_price: At the option of the Company, each restricted stock unit represents the right to receive, at settlement, one share of common stock, or its cash equivalent. F2 · derivative.exercise_date: The restricted stock unit award fully vests and is immediately exercisable upon the eleventh month anniversary of the date of grant. F2 · derivative.expiration_date: The restricted stock unit award fully vests and is immediately exercisable upon the eleventh month anniversary of the date of grant. Read SEC document |
| December 07, 2022 Filed Dec 8, 2022 21:48 UTC | BIOLASE, INC BIOL · Entity 11470 | SaleCommon Stock | 3,537 | $0.75 | $2,652.75 |
DisclosureSEC source: 0001209191-22-060435 · doc4.xml · nonDerivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,925 Read SEC document |
| May 11, 2022 Filed May 12, 2022 21:59 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantRestricted Stock Unit · Derivative | 58,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-028740 · doc4.xml · derivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,747 Underlying: Common Stock · 58,747 shares Expires not disclosed F1 · derivative.exercise_price: At the option of the Company, each restricted stock unit represents the right to receive, at settlement, one share of common stock, or its cash equivalent. F2 · derivative.exercise_date: The restricted stock unit award fully vests and is immediately exercisable upon the one year anniversary of the date of grant. F2 · derivative.expiration_date: The restricted stock unit award fully vests and is immediately exercisable upon the one year anniversary of the date of grant. Read SEC document |
| April 28, 2022 Filed May 2, 2022 13:48 UTC | BIOLASE, INC BIOL · Entity 11470 | Disposition to issuerSeries G Preferred Stock | 1,395.41 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-016099 · doc4.xml · nonDerivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: On March 1, 2022, the Company's board of directors (the "Board") declared a dividend of one one-thousandth of a share of Series G Preferred Stock, par value $0.001 per share ("Preferred Stock"), for each outstanding share of Company Common Stock to stockholders of record at 5:00 p.m. Eastern Time on March 25, 2022 (the "Record Date"), in a transaction exempt from Section 16 under Rule 16a-9. The shares of Preferred Stock were distributed on March 25, 2022. As a result, the Reporting Person received 1,395.41 shares of Preferred Stock. The Preferred Stock is not convertible into, or exchangeable for, shares of any other class or series of stock or other securities of the Company. F2 · shares: On April 28, 2022, these shares of Preferred Stock were redeemed automatically in accordance with the certificate of designation for the shares of Preferred Stock. Each share of Preferred Stock was redeemed in consideration for the right to receive an amount equal to $0.01 in cash for each ten whole shares of Preferred Stock, with any remaining shares (of less than 10) receiving no cash. F2 · price: On April 28, 2022, these shares of Preferred Stock were redeemed automatically in accordance with the certificate of designation for the shares of Preferred Stock. Each share of Preferred Stock was redeemed in consideration for the right to receive an amount equal to $0.01 in cash for each ten whole shares of Preferred Stock, with any remaining shares (of less than 10) receiving no cash. Read SEC document |
| December 15, 2021 Filed Dec 16, 2021 18:38 UTC | BIOLASE, INC BIOL · Entity 11470 | SaleCommon Stock | 11,038 | $0.38 | $4,194.44 |
DisclosureSEC source: 0001209191-21-070069 · doc4.xml · nonDerivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 633,096 Read SEC document |
| June 11, 2021 Filed Jun 14, 2021 20:50 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantRestricted Stock Unit · Derivative | 330,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-040456 · doc4.xml · derivative · entry 2 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 330,000 Underlying: Common Stock · 330,000 shares Expires not disclosed F2 · derivative.exercise_price: At the option of the Company, each restricted stock unit represents the right to receive, at settlement, one share of common stock, or its cash equivalent. F3 · derivative.exercise_date: The restricted stock unit award fully vests and is immediately exercisable upon the filing with the SEC of the Annual Report on Form 10-K for the year ending December 31, 2023. F3 · derivative.expiration_date: The restricted stock unit award fully vests and is immediately exercisable upon the filing with the SEC of the Annual Report on Form 10-K for the year ending December 31, 2023. Read SEC document |
| June 11, 2021 Filed Jun 14, 2021 20:50 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantStock Appreciation Right · Derivative | 189,902 | $0.00 Strike: $0.84 | $0.00 |
DisclosureSEC source: 0001209191-21-040456 · doc4.xml · derivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,902 Underlying: Common Stock · 189,902 shares Expires 2031-06-11 F1 · derivative.exercise_date: Of the stock appreciation rights subject to this SAR, one-fourth of the stock appreciation rights vest on each of the third, sixth, ninth, and twelfth-month anniversaries of the date of grant. Read SEC document |
| August 06, 2020 Filed Aug 10, 2020 09:51 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantRestricted Stock Unit · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-045876 · doc4.xml · derivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 443,602 Underlying: Common Stock · 20,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_date: The restricted stock unit award fully vests and is immediately exercisable on the first anniversary of the date of the award, subject to the Reporting Person's continued service. F2 · derivative.expiration_date: The restricted stock unit award fully vests and is immediately exercisable on the first anniversary of the date of the award, subject to the Reporting Person's continued service. Read SEC document |
| July 22, 2020 Filed Jul 23, 2020 18:40 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantSeries F Convertible Preferred · Derivative | 6 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0001209191-20-043538 · doc4.xml · derivative · entry 2 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · price: An investment of $1,000 in the Issuer's rights offering provided the Reporting Person with one share of Series E Preferred Stock and 2,500 Warrants, which are the subject securities reported by the Reporting Person in this Form 4. F2 · derivative.expiration_date: Each share of Series F Preferred Stock will be convertible at the Issuer's option at any time on or after July 15, 2021 or at the option of the Reporting Person at any time, into the number of shares of the Issuer's common stock determined by dividing the $1,000 stated value per share of the Series E Preferred Stock by a Conversion Price of $0.40 per share. F2 · derivative.underlying_shares: Each share of Series F Preferred Stock will be convertible at the Issuer's option at any time on or after July 15, 2021 or at the option of the Reporting Person at any time, into the number of shares of the Issuer's common stock determined by dividing the $1,000 stated value per share of the Series E Preferred Stock by a Conversion Price of $0.40 per share. Read SEC document |
| July 22, 2020 Filed Jul 23, 2020 18:40 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantWarrants · Derivative | 15,000 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0001209191-20-043538 · doc4.xml · derivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2025-07-22 F1 · price: An investment of $1,000 in the Issuer's rights offering provided the Reporting Person with one share of Series E Preferred Stock and 2,500 Warrants, which are the subject securities reported by the Reporting Person in this Form 4. Read SEC document |
| May 13, 2020 Filed May 28, 2020 11:46 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantStock Option (right to buy) · Derivative | 330,178 | $0.00 Strike: $0.38 | $0.00 |
DisclosureSEC source: 0001209191-20-032521 · doc4.xml · derivative · entry 2 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 443,659 Underlying: Common Stock · 330,178 shares Expires 2030-05-13 F3 · derivative.exercise_date: The stock option vests and is immediately exercisable on the first anniversary of the date of grant, subject to the Reporting Person's continued service. Read SEC document |
| May 13, 2020 Filed May 28, 2020 11:46 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantRestricted Stock Unit · Derivative | 291,178 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-032521 · doc4.xml · derivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 423,602 Underlying: Common Stock · 291,178 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_date: The restricted stock unit award fully vests and is immediately exercisable on the first anniversary of the date of the award, subject to the Reporting Person's continued service. F2 · derivative.expiration_date: The restricted stock unit award fully vests and is immediately exercisable on the first anniversary of the date of the award, subject to the Reporting Person's continued service. Read SEC document |
| August 07, 2019 Filed Aug 9, 2019 10:54 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantRestricted Stock Unit · Derivative | 132,424 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-045263 · doc4.xml · derivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 709,569 Underlying: Common Stock · 132,424 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_date: The restricted stock unit award fully vests and is immediately exercisable on the nine month anniversary of the date of the award. F2 · derivative.expiration_date: The restricted stock unit award fully vests and is immediately exercisable on the nine month anniversary of the date of the award. Read SEC document |
| November 16, 2018 Filed Nov 20, 2018 19:54 UTC | BIOLASE, INC BIOL · Entity 11470 | PurchaseCommon Stock | 10,000 | $1.36 | $13,600.00 |
DisclosureSEC source: 0001209191-18-059595 · doc4.xml · nonDerivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 577,145 Read SEC document |
| August 14, 2018 Filed Aug 14, 2018 18:29 UTC | BIOLASE, INC BIOL · Entity 11470 | PurchaseCommon Stock | 30,598 | $1.45 | $44,367.10 |
DisclosureSEC source: 0001209191-18-046678 · doc4.xml · nonDerivative · entry 2 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 567,145 Read SEC document |
| August 10, 2018 Filed Aug 14, 2018 18:29 UTC | BIOLASE, INC BIOL · Entity 11470 | PurchaseCommon Stock | 69,402 | $1.25 | $86,752.50 |
DisclosureSEC source: 0001209191-18-046678 · doc4.xml · nonDerivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 536,547 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.17 to $1.35, inclusive. The reporting person undertakes to provide to Biolase, Inc., any security holder of Biolase, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| May 14, 2018 Filed May 14, 2018 17:49 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantRestricted Stock Unit · Derivative | 144,828 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-029962 · doc4.xml · derivative · entry 4 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,140 Underlying: Common Stock · 144,828 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F4 · derivative.exercise_date: The restricted stock unit award fully vests and is immediately exercisable on the first anniversary of the date of the award. F4 · derivative.expiration_date: The restricted stock unit award fully vests and is immediately exercisable on the first anniversary of the date of the award. Read SEC document |
| May 14, 2018 Filed May 14, 2018 17:49 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantRestricted Stock Unit · Derivative | 27,312 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-029962 · doc4.xml · derivative · entry 3 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,312 Underlying: Common Stock · 27,312 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F3 · derivative.exercise_date: The restricted stock units vest as follows: (i) two-fifths of the restricted stock units vest on December 31, 2018, and (ii) three-fifths of the restricted stock units vest on December 31, 2019. F3 · derivative.expiration_date: The restricted stock units vest as follows: (i) two-fifths of the restricted stock units vest on December 31, 2018, and (ii) three-fifths of the restricted stock units vest on December 31, 2019. Read SEC document |
| May 11, 2018 Filed May 14, 2018 17:49 UTC | BIOLASE, INC BIOL · Entity 11470 | Exercise / conversionRestricted Stock Unit · Derivative | 7,042 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-029962 · doc4.xml · derivative · entry 2 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,042 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. F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_date: On May 10, 2017, the reporting person was granted 35,211 restricted stock units, which vested on May 11, 2018. On May 10, 2018, the Company issued a press release announcing that, at the Annual Meeting, the Company's stockholders approved a proposal to amend the Company's Restated Certificate of Incorporation to effect a reverse stock split of Company common stock at a ratio of not less than 1-for-5 and not more than 1-for-15, with the final ratio to be determined by the Board. Immediately after the Annual Meeting, the Board approved the reverse stock split at a ratio of one post-split share for every five pre-split shares. F2 · derivative.expiration_date: On May 10, 2017, the reporting person was granted 35,211 restricted stock units, which vested on May 11, 2018. On May 10, 2018, the Company issued a press release announcing that, at the Annual Meeting, the Company's stockholders approved a proposal to amend the Company's Restated Certificate of Incorporation to effect a reverse stock split of Company common stock at a ratio of not less than 1-for-5 and not more than 1-for-15, with the final ratio to be determined by the Board. Immediately after the Annual Meeting, the Board approved the reverse stock split at a ratio of one post-split share for every five pre-split shares. Read SEC document |
| May 11, 2018 Filed May 14, 2018 17:49 UTC | BIOLASE, INC BIOL · Entity 11470 | Exercise / conversionCommon Stock | 7,042 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-029962 · doc4.xml · nonDerivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,470 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 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Read SEC document |
| December 05, 2017 Filed Dec 6, 2017 11:20 UTC | BIOLASE, INC BIOL · Entity 11470 | OtherSubscription Rights (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $0.46 | $0.00 |
DisclosureSEC source: 0001209191-17-064132 · doc4.xml · derivative · entry 2 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2017-11-29 Read SEC document |
| December 05, 2017 Filed Dec 6, 2017 11:20 UTC | BIOLASE, INC BIOL · Entity 11470 | OtherCommon Stock | 100,000 | $0.46 | $45,600.00 |
DisclosureSEC source: 0001209191-17-064132 · doc4.xml · nonDerivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 467,145 Read SEC document |
| November 08, 2017 Filed Nov 9, 2017 19:22 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantStock Option (right to buy) · Derivative | 19,737 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001209191-17-060088 · doc4.xml · derivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 578,131 Underlying: Common Stock · 19,737 shares Expires 2027-11-08 F1 · derivative.exercise_date: The stock option vests and is exercisable in equal monthly installments over a consecutive 6-month period, commencing December 10, 2017. Read SEC document |
| September 12, 2017 Filed Sep 13, 2017 16:37 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantStock Option (right to buy) · Derivative | 65,891 | $0.00 Strike: $0.61 | $0.00 |
DisclosureSEC source: 0001209191-17-052621 · doc4.xml · derivative · entry 2 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 558,394 Underlying: Common Stock · 65,891 shares Expires 2027-09-12 F1 · derivative.exercise_date: The stock option vests and is exercisable in equal monthly installments over a consecutive 8-month period, commencing October 10, 2017. Read SEC document |
| September 11, 2017 Filed Sep 13, 2017 16:37 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantStock Option (right to buy) · Derivative | 65,385 | $0.00 Strike: $0.54 | $0.00 |
DisclosureSEC source: 0001209191-17-052621 · doc4.xml · derivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 492,503 Underlying: Common Stock · 65,385 shares Expires 2027-09-11 F1 · derivative.exercise_date: The stock option vests and is exercisable in equal monthly installments over a consecutive 8-month period, commencing October 10, 2017. Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 17:44 UTC | BIOLASE, INC BIOL · Entity 11470 | ConversionSeries D Participating Convertible Preferred Stock · Derivative | 768 | $0.00 Strike: $1.24 | $0.00 |
DisclosureSEC source: 0001209191-17-042883 · doc4.xml · derivative · entry 2 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 76,800 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 · security: These shares of Series D Participating Convertible Preferred Stock ("Preferred Stock") were acquired by Jonathan T. Lord in a private placement with the Issuer, which closed on April 18, 2017. F3 · derivative.expiration_date: The Preferred Stock had no expiration date. Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 17:44 UTC | BIOLASE, INC BIOL · Entity 11470 | ConversionCommon Stock | 76,800 | $1.24 | $95,232.00 |
DisclosureSEC source: 0001209191-17-042883 · doc4.xml · nonDerivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,490 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 · price: On June 30, 2017, as a result of receipt of the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated April 11, 2017 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on April 14, 2017), each share of Preferred Stock (as defined below) automatically converted into 100 shares of Common Stock, reflecting a conversion price equal to $1.24 per share. Read SEC document |
| May 10, 2017 Filed May 12, 2017 16:08 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantRestricted Stock Unit · Derivative | 35,211 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-031889 · doc4.xml · derivative · entry 2 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,211 Underlying: Common Stock · 35,211 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F3 · derivative.exercise_date: The restricted stock unit award fully vests and is immediately exercisable on the first anniversary of the date of the award. F3 · derivative.expiration_date: The restricted stock unit award fully vests and is immediately exercisable on the first anniversary of the date of the award. Read SEC document |
| May 10, 2017 Filed May 12, 2017 16:08 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantStock Option (right to buy) · Derivative | 105,634 | $0.00 Strike: $1.21 | $0.00 |
DisclosureSEC source: 0001209191-17-031889 · doc4.xml · derivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 427,118 Underlying: Common Stock · 105,634 shares Expires 2027-05-10 F1 · derivative.exercise_date: The stock option vests and is exercisable in equal monthly installments over a consecutive 12-month period, commencing one month from the date of grant. Read SEC document |
| May 08, 2017 Filed May 10, 2017 16:14 UTC | BIOLASE, INC BIOL · Entity 11470 | Exercise / conversionRestricted Stock Unit · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-031233 · doc4.xml · derivative · entry 2 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 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. F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_date: On May 6, 2016, the reporting person was granted 50,000 restricted stock units, which vested on May 6, 2017. F2 · derivative.expiration_date: On May 6, 2016, the reporting person was granted 50,000 restricted stock units, which vested on May 6, 2017. Read SEC document |
| May 08, 2017 Filed May 10, 2017 16:14 UTC | BIOLASE, INC BIOL · Entity 11470 | Exercise / conversionCommon Stock | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-031233 · doc4.xml · nonDerivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 353,690 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 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Read SEC document |
| April 18, 2017 Filed Apr 19, 2017 19:40 UTC | BIOLASE, INC BIOL · Entity 11470 | PurchaseWarrants (right to buy) · Derivative | 37,387 | $0.13 Strike: $1.80 | $4,673.38 |
DisclosureSEC source: 0001209191-17-027589 · doc4.xml · derivative · entry 2 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,387 Underlying: Common Stock · 37,387 shares Expires 2022-04-18 F1 · security: These shares of Series D Participating Convertible Preferred Stock ("Preferred Stock") and Warrants were acquired by Jonathan T. Lord in a private placement with the Issuer that closed on April 18, 2017 (the "Closing"). Read SEC document |
| April 18, 2017 Filed Apr 19, 2017 19:40 UTC | BIOLASE, INC BIOL · Entity 11470 | PurchaseSeries D Participating Convertible Preferred Stock · Derivative | 768 | $124.00 | $95,232.00 |
DisclosureSEC source: 0001209191-17-027589 · doc4.xml · derivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 768 Underlying: Common Stock · 76,800 shares Expires not disclosed F1 · security: These shares of Series D Participating Convertible Preferred Stock ("Preferred Stock") and Warrants were acquired by Jonathan T. Lord in a private placement with the Issuer that closed on April 18, 2017 (the "Closing"). F2 · derivative.exercise_price: Each share of Preferred Stock will initially be convertible into 100 shares of Common Stock ("Shares"), reflecting a conversion price equal to $1.24 per Share. The conversion of the Preferred Stock will occur automatically upon the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated April 11, 2017 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on April 14, 2017), which is expected to occur after the Closing. The Preferred Stock has no expiration date. F2 · derivative.exercise_date: Each share of Preferred Stock will initially be convertible into 100 shares of Common Stock ("Shares"), reflecting a conversion price equal to $1.24 per Share. The conversion of the Preferred Stock will occur automatically upon the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated April 11, 2017 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on April 14, 2017), which is expected to occur after the Closing. The Preferred Stock has no expiration date. F2 · derivative.expiration_date: Each share of Preferred Stock will initially be convertible into 100 shares of Common Stock ("Shares"), reflecting a conversion price equal to $1.24 per Share. The conversion of the Preferred Stock will occur automatically upon the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated April 11, 2017 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on April 14, 2017), which is expected to occur after the Closing. The Preferred Stock has no expiration date. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 17:26 UTC | BIOLASE, INC BIOL · Entity 11470 | ConversionSeries C Participating Convertible Preferred Stock · Derivative | 1,770 | $0.00 Strike: $1.13 | $0.00 |
DisclosureSEC source: 0001209191-16-144507 · doc4.xml · derivative · entry 2 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 177,000 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 · security: These shares of Series C Participating Convertible Preferred Stock ("Preferred Stock") were acquired by Jonathan T. Lord in a private placement with the Issuer, which closed on August 8, 2016. F3 · derivative.expiration_date: The Preferred Stock had no expiration date. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 17:26 UTC | BIOLASE, INC BIOL · Entity 11470 | ConversionCommon Stock | 177,000 | $1.13 | $200,010.00 |
DisclosureSEC source: 0001209191-16-144507 · doc4.xml · nonDerivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 303,690 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 · price: On September 30, 2016, as a result of receipt of the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated August 1, 2016 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on August 2, 2016), each share of Preferred Stock (as defined below) automatically converted into 100 shares of Common Stock, reflecting a conversion price equal to $1.13 per share. Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 19:34 UTC | DEXCOM INC DXCM · Entity 3114 | SaleCommon Stock | 10,000 | $91.50 | $915,000.00 |
DisclosureSEC source: 0001093557-16-000672 · edgardoc.xml · nonDerivative · entry 1 LORD JONATHAN T MD · CIK 0001112980 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,820 F1 · balance_after: Since the date of the reporting person's last Form 4, 63,553 shares of Dexcom Inc. Common stock were transferred to his former spouse pursuant to a domestic relations order. Included in this number are 4,791 unvested restricted stock units which were granted on May 25, 2016 and shall vest on May 25, 2017. 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.