Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| DISH Network CORPDISH · Entity 95602 | SVP & Chief Financial Officer | January 01, 2018 | January 03, 2018 |
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.
DISH Network CORP
Report date January 01, 2018 · Filed January 03, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $47.75 · Expires 2028-01-01 | Direct | 50,000 |
Reported balance
After 2018-01-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-01-01 · Grant · Acquired 50,000 · Balance 50,000 F1: The shares underlying the options vest at the rate of 20% per year, commencing on January 1, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares underlying the options vest at the rate of 20% per year, commencing on January 1, 2019.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Brookdale Senior Living Inc.
Report date February 24, 2023 · Filed February 28, 2023
Section 16 reporting ended · disclosed 2023-02-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 284,249 |
Ending reported balance
After 2023-02-24 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-02-24 · Tax withholding · Disposed 48,709 · Balance 530,006 F1: Represents share withholding to satisfy tax withholding obligations due upon the vesting of restricted stock and restricted stock units previously granted to the reporting person. Row 2 · 2023-02-24 · Disposition to issuer · Disposed 245,757 · Balance 284,249 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents share withholding to satisfy tax withholding obligations due upon the vesting of restricted stock and restricted stock units previously granted to the reporting person.
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 |
|---|---|---|---|---|---|---|
| February 24, 2023 Filed Feb 28, 2023 16:34 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | Disposition to issuerCommon Stock | 245,757 | $0.00 | $0.00 |
DisclosureSEC source: 0001332349-23-000049 · wf-form4_167762001939784.xml · nonDerivative · entry 2 Swain Steven E · CIK 0001621557 · Former officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,249 Read SEC document |
| February 24, 2023 Filed Feb 28, 2023 16:34 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | Tax withholdingCommon Stock | 48,709 | $3.29 | $160,252.61 |
DisclosureSEC source: 0001332349-23-000049 · wf-form4_167762001939784.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · Former officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 530,006 F1 · shares: Represents share withholding to satisfy tax withholding obligations due upon the vesting of restricted stock and restricted stock units previously granted to the reporting person. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 19:37 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | GrantCommon Stock | 42,358 | $0.00 | $0.00 |
DisclosureSEC source: 0001332349-23-000028 · wf-form4_167668064760169.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 578,715 F1 · kind: On February 15, 2023, the Compensation Committee determined the level of achievement of a tranche of performance-based restricted stock units previously awarded to the reporting person on February 10, 2022 for the performance period ended December 31, 2022. Each performance-based restricted stock unit reported herein is generally payable in the form of one share of the issuer's common stock upon vesting. Such performance-based restricted stock units are generally eligible to vest on February 27, 2025. Read SEC document |
| February 27, 2022 Filed Feb 28, 2022 18:02 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | Tax withholdingCommon Stock | 37,198 | $7.00 | $260,386.00 |
DisclosureSEC source: 0001332349-22-000049 · wf-form4_164608930991611.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 536,357 F1 · kind: Represents share withholding to satisfy tax withholding obligations due upon the vesting of restricted stock and/or restricted stock units previously granted to the reporting person. F2 · balance_after: Includes 200 shares of common stock acquired by the reporting person on December 31, 2021 pursuant to the issuer's Associate Stock Purchase Plan. Read SEC document |
| February 10, 2022 Filed Feb 14, 2022 19:42 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | GrantCommon Stock | 161,364 | $0.00 | $0.00 |
DisclosureSEC source: 0001332349-22-000036 · wf-form4_164488571123300.xml · nonDerivative · entry 2 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 573,355 F2 · kind: Grant of time-based restricted stock units under the Brookdale Senior Living Inc. Amended and Restated 2014 Omnibus Incentive Plan. Such restricted stock units are eligible to vest ratably in four annual installments beginning February 27, 2023, subject to continued employment. Each restricted stock unit is generally payable in the form of one share of the issuer's common stock upon vesting. This Form 4 does not report the grant of performance-based restricted stock units to the reporting person on February 10, 2022, which will be eligible to vest and be paid with respect to 161,364 shares of the issuer's common stock at target performance levels. The actual number of shares of the issuer's common stock, if any, that become payable under such performance-based restricted stock units will be reported following conclusion of the applicable performance periods. Read SEC document |
| February 10, 2022 Filed Feb 14, 2022 19:42 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | Disposition to issuerCommon Stock | 20,674 | $0.00 | $0.00 |
DisclosureSEC source: 0001332349-22-000036 · wf-form4_164488571123300.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 411,991 F1 · kind: Represents the forfeiture of a portion of the restricted shares granted to the reporting person in 2019 due to the failure to achieve performance goals established by the Compensation Committee. Read SEC document |
| November 19, 2021 Filed Nov 19, 2021 18:38 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | Tax withholdingCommon Stock | 3,242 | $6.65 | $21,559.30 |
DisclosureSEC source: 0001332349-21-000100 · wf-form4_163736509121450.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 432,665 F1 · shares: Represents share withholding to satisfy tax withholding obligations due upon the vesting of restricted stock previously granted to the reporting person. F2 · balance_after: Includes an aggregate of 600 shares of common stock acquired by the reporting person on March 31, 2021, June 30, 2021, and September 30, 2021 pursuant to the issuer's Associate Stock Purchase Plan. Read SEC document |
| February 27, 2021 Filed Mar 2, 2021 21:02 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | Disposition to issuerCommon Stock | 53,248 | $0.00 | $0.00 |
DisclosureSEC source: 0001332349-21-000052 · wf-form4_161473688096575.xml · nonDerivative · entry 2 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 435,307 F2 · shares: Represents the forfeiture of the shares of restricted stock granted to the reporting person in 2018 due to the failure to achieve the performance goal established by the Compensation Committee. Read SEC document |
| February 27, 2021 Filed Mar 2, 2021 21:02 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | Tax withholdingCommon Stock | 20,423 | $5.82 | $118,861.86 |
DisclosureSEC source: 0001332349-21-000052 · wf-form4_161473688096575.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 488,555 F1 · shares: Represents share withholding to satisfy tax withholding obligations due upon the vesting of restricted stock and restricted stock units previously granted to the reporting person. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 21:11 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | Disposition to issuerCommon Stock | 62,023 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001332349-21-000039 · wf-form4_161421907076399.xml · nonDerivative · entry 2 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 508,978 F3 · price: Represents the reporting person's voluntary forfeiture of a portion of the performance-based restricted common stock granted to the reporting person in 2019 in order to become eligible to receive a discretionary cash bonus following the conclusion of fiscal 2020. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 21:11 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | GrantCommon Stock | 189,097 | $0.00 | $0.00 |
DisclosureSEC source: 0001332349-21-000039 · wf-form4_161421907076399.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 571,001 F1 · shares: Grant of time-based restricted stock units under the Brookdale Senior Living Inc. Amended and Restated 2014 Omnibus Incentive Plan. Such restricted stock units are eligible to vest ratably in four annual installments beginning February 27, 2022, subject to continued employment. Each restricted stock unit is generally payable in the form of one share of the issuer's common stock upon vesting. F2 · balance_after: Includes 800 shares of common stock acquired by the reporting person since the last report pursuant to the issuer's Associate Stock Purchase Plan. Read SEC document |
| February 27, 2020 Filed Feb 28, 2020 17:34 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | Tax withholdingCommon Stock | 8,885 | $6.39 | $56,775.15 |
DisclosureSEC source: 0001332349-20-000061 · wf-form4_158292925430460.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 381,104 F1 · shares: Represents share withholding to satisfy tax withholding obligations due upon the vesting of restricted stock previously granted to the reporting person. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 18:17 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | GrantCommon Stock | 120,739 | $0.00 | $0.00 |
DisclosureSEC source: 0001332349-20-000039 · wf-form4_158172221595978.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 389,989 F1 · shares: Grant of time-based restricted stock units under the Amended and Restated Brookdale Senior Living Inc. 2014 Omnibus Incentive Plan. Such restricted stock units are eligible to vest ratably in four annual installments beginning February 27, 2021, subject to continued employment. Each restricted stock unit is generally payable in the form of one share of the issuer's common stock upon vesting. This Form 4 does not report the grant of performance-based restricted stock units to the reporting person on February 12, 2020, which will be eligible to vest and be paid with respect to 120,739 shares of the issuer's common stock at target performance levels. The actual number of shares of the issuer's common stock, if any, that become payable under such performance-based restricted stock units will be reported following conclusion of the performance period ending December 31, 2022. F2 · balance_after: Includes 200 shares of common stock acquired by the reporting person on December 31, 2019 pursuant to the issuer's Associate Stock Purchase Plan. Read SEC document |
| November 19, 2019 Filed Nov 20, 2019 17:42 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | Tax withholdingCommon Stock | 3,242 | $7.09 | $22,985.78 |
DisclosureSEC source: 0001332349-19-000122 · wf-form4_157428974746493.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,050 F1 · shares: Represents share withholding to satisfy tax withholding obligations due upon the vesting of restricted stock previously granted to the reporting person. F2 · balance_after: Includes an aggregate of 400 shares of common stock acquired by the reporting person on June 30, 2019 and September 30, 2019 pursuant to the issuer's Associate Stock Purchase Plan. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 20:15 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | GrantCommon Stock | 20,674 | $0.00 | $0.00 |
DisclosureSEC source: 0001332349-19-000036 · wf-form4_155010693352364.xml · nonDerivative · entry 3 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,892 F2 · shares: Grant of performance-based vesting restricted common stock under the 2014 Plan. The number of shares that will vest will be based on achievement of performance goals established by the Compensation Committee. Any performance-based shares that do not vest at the conclusion of the applicable performance period will be forfeited. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 20:15 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | GrantCommon Stock | 62,023 | $0.00 | $0.00 |
DisclosureSEC source: 0001332349-19-000036 · wf-form4_155010693352364.xml · nonDerivative · entry 2 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,218 F2 · shares: Grant of performance-based vesting restricted common stock under the 2014 Plan. The number of shares that will vest will be based on achievement of performance goals established by the Compensation Committee. Any performance-based shares that do not vest at the conclusion of the applicable performance period will be forfeited. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 20:15 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | GrantCommon Stock | 82,698 | $0.00 | $0.00 |
DisclosureSEC source: 0001332349-19-000036 · wf-form4_155010693352364.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,195 F1 · shares: Grant of time-based vesting restricted common stock under the Amended and Restated Brookdale Senior Living Inc. 2014 Omnibus Incentive Plan (the "2014 Plan"). Read SEC document |
| September 10, 2018 Filed Sep 12, 2018 18:32 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | GrantCommon Stock | 53,248 | $0.00 | $0.00 |
DisclosureSEC source: 0001332349-18-000128 · wf-form4_153679151045537.xml · nonDerivative · entry 2 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,497 F2 · shares: Grant of restricted common stock under the Brookdale Senior Living Inc. 2014 Omnibus Incentive Plan, as amended and restated. The shares are eligible to vest on February 27, 2021, subject to continued employment and the satisfaction of performance goals established by the Compensation Committee. Read SEC document |
| September 10, 2018 Filed Sep 12, 2018 18:32 UTC | Brookdale Senior Living Inc. BKD · Entity 4268 | GrantCommon Stock | 53,249 | $0.00 | $0.00 |
DisclosureSEC source: 0001332349-18-000128 · wf-form4_153679151045537.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,249 F1 · shares: Grant of restricted common stock under the Brookdale Senior Living Inc. 2014 Omnibus Incentive Plan, as amended and restated. The shares are eligible to vest ratably in four annual installments beginning on November 19, 2019, subject to continued employment. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 16:27 UTC | DISH Network CORP DISH · Entity 95602 | GrantEmployee Stock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $47.75 | $0.00 |
DisclosureSEC source: 0001589074-18-000030 · edgar.xml · derivative · entry 1 Swain Steven E · CIK 0001621557 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Class A Common Stock · 50,000 shares Expires 2028-01-01 F1 · derivative.exercise_date: The shares underlying the options vest at the rate of 20% per year, commencing on January 1, 2019. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:05 UTC | DISH Network CORP DISH · Entity 95602 | GrantEmployee Stock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $62.76 | $0.00 |
DisclosureSEC source: 0001621557-17-000002 · edgar.xml · derivative · entry 1 Swain Steven E · CIK 0001621557 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Class A Common Stock · 10,000 shares Expires 2027-07-01 F1 · derivative.exercise_date: The shares underlying the options vest at the rate of 20% per year, commencing on July 1, 2018. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 17:46 UTC | DISH Network CORP DISH · Entity 95602 | GrantEmployee Stock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $57.93 | $0.00 |
DisclosureSEC source: 0001090537-17-000032 · edgar.xml · derivative · entry 1 Swain Steven E · CIK 0001621557 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Class A Common Stock · 30,000 shares Expires 2027-01-01 F1 · derivative.exercise_date: The grant is subject to achievement of certain performance criteria prior to December 31, 2020 and will vest based on achievement of such criteria. The performance criteria are not tied to the market price of the Issuer's securities. Read SEC document |
| December 08, 2016 Filed Dec 12, 2016 16:32 UTC | DISH Network CORP DISH · Entity 95602 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,000 | $0.00 Strike: $22.28 | $0.00 |
DisclosureSEC source: 0001661533-16-000008 · edgar.xml · derivative · entry 4 Swain Steven E · CIK 0001621557 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 2,000 shares Expires 2021-09-30 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 · kind: The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan. F4 · derivative.exercise_date: The shares underlying the options vest at the rate of 20% per year, commencing on September 30, 2012. Read SEC document |
| December 08, 2016 Filed Dec 12, 2016 16:32 UTC | DISH Network CORP DISH · Entity 95602 | SaleClass A Common Stock | 2,000 | $60.00 | $120,000.00 |
DisclosureSEC source: 0001661533-16-000008 · edgar.xml · nonDerivative · entry 2 Swain Steven E · CIK 0001621557 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 591 F1 · kind: The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan. F2 · balance_after: Includes shares acquired under the Company's Employee Stock Purchase Plan. Read SEC document |
| December 08, 2016 Filed Dec 12, 2016 16:32 UTC | DISH Network CORP DISH · Entity 95602 | Exercise / conversionClass A Common Stock | 2,000 | $22.28 | $44,560.00 |
DisclosureSEC source: 0001661533-16-000008 · edgar.xml · nonDerivative · entry 1 Swain Steven E · CIK 0001621557 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,591 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 · kind: The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan. F2 · balance_after: Includes shares acquired under the Company's Employee Stock Purchase Plan. 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.