Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| META MATERIALS INC.MMAT · Entity 95865 | See remarks | March 03, 2023 | April 03, 2023 |
| Rocket One Inc.HOTH · Entity 7736 | Director | July 21, 2020 | July 23, 2020 |
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.
META MATERIALS INC.
Report date March 03, 2023 · Filed April 03, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 21,103 |
Ending reported balance
After 2023-03-13 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-03-03 · Exercise / conversion · Acquired 39,557 · Balance 39,557 F1: The Reporting Person was granted 158,228 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 25% of the RSUs vested on March 3, 2023, 25% of the RSUs will vest on March 3, 2024, 25% of the RSUs will vest on March 3, 2025, and 25% of the RSUs will vest on March 3, 2026, subject to continued service to the Issuer through each vesting date. Row 2 · 2023-03-13 · Sale · Disposed 18,454 · Balance 21,103 F2: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2032-03-03 | Direct | 118,671 |
Reported balance
After 2023-03-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-03-03 · Exercise / conversion · Disposed 39,557 · Balance 118,671 F1: The Reporting Person was granted 158,228 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 25% of the RSUs vested on March 3, 2023, 25% of the RSUs will vest on March 3, 2024, 25% of the RSUs will vest on March 3, 2025, and 25% of the RSUs will vest on March 3, 2026, subject to continued service to the Issuer through each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person was granted 158,228 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 25% of the RSUs vested on March 3, 2023, 25% of the RSUs will vest on March 3, 2024, 25% of the RSUs will vest on March 3, 2025, and 25% of the RSUs will vest on March 3, 2026, subject to continued service to the Issuer through each vesting date.
F2: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.
Rocket One Inc.
Report date July 21, 2020 · Filed July 23, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $3.05 · Expires 2030-07-21 | Direct | 15,000 |
Reported balance
After 2020-07-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-07-21 · Grant · Acquired 15,000 · Balance 15,000 F1: The options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vested in full upon grant. |
Filing footnotes · ownership attribution and instrument terms
F1: The options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vested in full upon grant.
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 13, 2023 Filed Apr 3, 2023 18:13 UTC | META MATERIALS INC. MMAT · Entity 95865 | SaleCommon Stock | 18,454 | $0.63 | $11,626.02 |
DisclosureSEC source: 0000899243-23-010261 · doc4.xml · nonDerivative · entry 2 RICE KENNETH L JR · CIK 0001126350 · See remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,103 F2 · shares: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. Read SEC document |
| March 03, 2023 Filed Apr 3, 2023 18:13 UTC | META MATERIALS INC. MMAT · Entity 95865 | Exercise / conversionRestricted Stock Units · Derivative | 39,557 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-010261 · doc4.xml · derivative · entry 3 RICE KENNETH L JR · CIK 0001126350 · See remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 118,671 Underlying: Common Stock · 39,557 shares Expires 2032-03-03 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: The Reporting Person was granted 158,228 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 25% of the RSUs vested on March 3, 2023, 25% of the RSUs will vest on March 3, 2024, 25% of the RSUs will vest on March 3, 2025, and 25% of the RSUs will vest on March 3, 2026, subject to continued service to the Issuer through each vesting date. F1 · derivative.exercise_date: The Reporting Person was granted 158,228 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 25% of the RSUs vested on March 3, 2023, 25% of the RSUs will vest on March 3, 2024, 25% of the RSUs will vest on March 3, 2025, and 25% of the RSUs will vest on March 3, 2026, subject to continued service to the Issuer through each vesting date. Read SEC document |
| March 03, 2023 Filed Apr 3, 2023 18:13 UTC | META MATERIALS INC. MMAT · Entity 95865 | Exercise / conversionCommon Stock | 39,557 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-010261 · doc4.xml · nonDerivative · entry 1 RICE KENNETH L JR · CIK 0001126350 · See remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,557 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: The Reporting Person was granted 158,228 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 25% of the RSUs vested on March 3, 2023, 25% of the RSUs will vest on March 3, 2024, 25% of the RSUs will vest on March 3, 2025, and 25% of the RSUs will vest on March 3, 2026, subject to continued service to the Issuer through each vesting date. Read SEC document |
| November 11, 2022 Filed Nov 14, 2022 21:36 UTC | META MATERIALS INC. MMAT · Entity 95865 | GrantStock Option (Right to Buy) · Derivative | 68,830 | $0.00 Strike: $1.31 | $0.00 |
DisclosureSEC source: 0000899243-22-035810 · doc4.xml · derivative · entry 1 RICE KENNETH L JR · CIK 0001126350 · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,830 Underlying: Common Stock · 68,830 shares Expires 2032-11-11 F1 · derivative.exercise_date: The option is fully vested. Read SEC document |
| June 27, 2022 Filed Jun 29, 2022 21:33 UTC | META MATERIALS INC. MMAT · Entity 95865 | GrantStock Option (Right to Buy) · Derivative | 41,759 | $0.00 Strike: $1.17 | $0.00 |
DisclosureSEC source: 0000899243-22-024552 · doc4.xml · derivative · entry 1 RICE KENNETH L JR · CIK 0001126350 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,759 Underlying: Common Stock · 41,759 shares Expires 2032-06-27 F1 · derivative.exercise_date: The option is fully vested. Read SEC document |
| May 10, 2022 Filed May 12, 2022 21:21 UTC | META MATERIALS INC. MMAT · Entity 95865 | GrantStock Option (Right to Buy) · Derivative | 110,252 | $0.00 Strike: $1.21 | $0.00 |
DisclosureSEC source: 0000899243-22-017898 · doc4.xml · derivative · entry 1 RICE KENNETH L JR · CIK 0001126350 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 881,463 Underlying: Common Stock · 110,252 shares Expires 2032-05-10 F1 · derivative.exercise_date: The options are fully vested. Read SEC document |
| March 03, 2022 Filed May 12, 2022 21:30 UTC | META MATERIALS INC. MMAT · Entity 95865 | GrantRestricted Stock Unit · Derivative | 158,228 | $1.58 | $250,000.24 |
DisclosureSEC source: 0000899243-22-017916 · doc4.xml · derivative · entry 2 RICE KENNETH L JR · CIK 0001126350 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,228 Underlying: Common Stock · 158,228 shares Expires 2032-03-03 F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of MMAT common stock upon vest. F3 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning on March 3, 2023 subject to continued service to the Issuer through each vesting date. Read SEC document |
| March 03, 2022 Filed May 12, 2022 21:30 UTC | META MATERIALS INC. MMAT · Entity 95865 | GrantStock Option (Right to Buy) · Derivative | 217,711 | $1.58 Strike: $1.58 | $343,983.38 |
DisclosureSEC source: 0000899243-22-017916 · doc4.xml · derivative · entry 1 RICE KENNETH L JR · CIK 0001126350 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 771,211 Underlying: Common Stock · 217,711 shares Expires 2032-03-03 F1 · derivative.exercise_date: The options vest in four equal annual installments beginning on March 3, 2023 subject to continued service to the Issuer through each vesting date. Read SEC document |
| July 21, 2020 Filed Jul 23, 2020 16:34 UTC | Rocket One Inc. HOTH · Entity 7736 | GrantOptions · Derivative | 15,000 | $0.00 Strike: $3.05 | $0.00 |
DisclosureSEC source: 0001213900-20-018408 · ownership.xml · derivative · entry 1 RICE KENNETH L JR · CIK 0001126350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-07-21 F1 · kind: The options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vested in full upon grant. Read SEC document |
| December 24, 2019 Filed Dec 26, 2019 16:19 UTC | Rocket One Inc. HOTH · Entity 7736 | OtherOptions · Derivative | 35,000 | $0.00 Strike: $5.26 | $0.00 |
DisclosureSEC source: 0001213900-19-027000 · ownership.xml · derivative · entry 1 RICE KENNETH L JR · CIK 0001126350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2029-12-24 F1 · kind: The options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vested in full upon grant. 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.