Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| DNA X, Inc.SONM · Entity 8261 | Director | November 12, 2021 | November 16, 2021 |
| FARADAY FUTURE INTELLIGENT ELECTRIC INC.FFIE · Entity 8069 | Director · Executive Chairperson | January 31, 2022 | March 14, 2022 |
| HARMONIC INC.HLIT · Entity 4789 | Director | February 15, 2024 | February 21, 2024 |
| INSEEGO CORP.INSG · Entity 7061 | Director · Chief Executive Officer | May 12, 2017 | May 15, 2017 |
| Vislink Technologies, Inc.VISL · Entity 9631 | Director | February 16, 2022 | February 18, 2022 |
| WELLS FARGO & COMPANY/MNWFC · Entity 2824 | Director | April 25, 2017 | April 27, 2017 |
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.
DNA X, Inc.
Report date November 12, 2021 · Filed November 16, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 39,806 |
Reported balance
After 2021-11-12 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-11-12 · Grant · Acquired 27,906 · Balance 39,806 F1: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of the Issuer or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock. F2: The amount of securities reported in this Form 4 as beneficially owned by the Reporting Person reflects adjustments made in connection with a 1-for-10 reverse stock split of the Issuer's common stock on September 15, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of the Issuer or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.
F2: The amount of securities reported in this Form 4 as beneficially owned by the Reporting Person reflects adjustments made in connection with a 1-for-10 reverse stock split of the Issuer's common stock on September 15, 2021.
FARADAY FUTURE INTELLIGENT ELECTRIC INC.
Report date January 31, 2022 · Filed March 14, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.28 · Expires 2032-01-31 | Direct | 700,935 |
Reported balance
After 2022-01-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-01-31 · Grant · Acquired 700,935 · Balance 700,935 F1: These stock options vest: (i) 50% on January 31, 2023, subject to the Reporting Person's continued service through the vesting date (including not less than 90 days as Executive Chairperson) and (ii) 50% upon the average stock price of the Issuer's Common Stock being not less than $10 per share for 20 out of the immediately preceding 30 trading days. |
Filing footnotes · ownership attribution and instrument terms
F1: These stock options vest: (i) 50% on January 31, 2023, subject to the Reporting Person's continued service through the vesting date (including not less than 90 days as Executive Chairperson) and (ii) 50% upon the average stock price of the Issuer's Common Stock being not less than $10 per share for 20 out of the immediately preceding 30 trading days.
HARMONIC INC.
Report date February 15, 2024 · Filed February 21, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 244,666 |
Reported balance
After 2024-02-15 transaction · row 1
1 source rowRow 1 · 2024-02-15 · Exercise / conversion · Acquired 10,446 · Balance 244,666 F1: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2024. These restricted stock units were initially granted to the Reporting Person on 2/17/2023, and were identified on a Form 4 filed by the Reporting Person on 2/21/2023. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2024-02-15 | Direct | 0 |
Reported balance
After 2024-02-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-02-15 · Exercise / conversion · Disposed 10,446 · Balance 0 F2: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2025-02-15 | Direct | 12,107 |
Reported balance
After 2024-02-16 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-02-16 · Grant · Acquired 12,107 · Balance 12,107 F2: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F3: The shares subject to the restricted stock units are scheduled to vest in full on 2/15/2025. Vested shares will be delivered to the reporting person on or immediately following 2/15/2025. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2024. These restricted stock units were initially granted to the Reporting Person on 2/17/2023, and were identified on a Form 4 filed by the Reporting Person on 2/21/2023.
F2: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.
F3: The shares subject to the restricted stock units are scheduled to vest in full on 2/15/2025. Vested shares will be delivered to the reporting person on or immediately following 2/15/2025.
INSEEGO CORP.
Report date May 12, 2017 · Filed May 15, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,382,017 |
Reported balance
After 2017-05-12 transaction · row 1
1 source rowRow 1 · 2017-05-12 · Grant · Acquired 430,000 · Balance 1,382,017 F1: One-quarter of the Restricted Stock Units vest each year beginning on the first Anniversary of the award date. F2: The Restricted Stock Units convert into common stock on one-for-one basis. |
Filing footnotes · ownership attribution and instrument terms
F1: One-quarter of the Restricted Stock Units vest each year beginning on the first Anniversary of the award date.
F2: The Restricted Stock Units convert into common stock on one-for-one basis.
Vislink Technologies, Inc.
Report date February 16, 2022 · Filed February 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 230,894 |
Reported balance
After 2022-02-16 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-02-16 · Grant · Acquired 200,000 · Balance 230,894 F1: Restricted Stock Units ("RSUs"). F2: Each RSU represents a one-time award received by non-employee members of the Board of Directors of the Issuer and also represents contingent right to receive one share of common stock of the Issuer. F3: 40,000 of the RSUs vest on each anniversary of the date of the grant over a five year period, provided that the nonemployee director has remained in continuous service as a member of the Board as of such vesting date. The RSUs will become fully vested if, during the 13 month period commencing on a Change in Control of the Issuer, the nonemployee director's service with the Issuer is terminated other than for "Cause" (as such terms are defined in the Reporting Person's Restricted Stock Award). |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted Stock Units ("RSUs").
F2: Each RSU represents a one-time award received by non-employee members of the Board of Directors of the Issuer and also represents contingent right to receive one share of common stock of the Issuer.
F3: 40,000 of the RSUs vest on each anniversary of the date of the grant over a five year period, provided that the nonemployee director has remained in continuous service as a member of the Board as of such vesting date. The RSUs will become fully vested if, during the 13 month period commencing on a Change in Control of the Issuer, the nonemployee director's service with the Issuer is terminated other than for "Cause" (as such terms are defined in the Reporting Person's Restricted Stock Award).
WELLS FARGO & COMPANY/MN
Report date April 25, 2017 · Filed April 27, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $1 2/3 Par ValueSEC Table I · non-derivative | Direct | 104,954 |
Reported balance
After 2017-04-25 transaction · row 1
1 source rowRow 1 · 2017-04-25 · Grant · Acquired 3,300 · Balance 104,954 |
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 16, 2024 Filed Feb 21, 2024 02:36 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 12,107 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-017521 · ownership.xml · derivative · entry 3 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,107 Underlying: Common Stock · 12,107 shares Expires 2025-02-15 F2 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F3 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on 2/15/2025. Vested shares will be delivered to the reporting person on or immediately following 2/15/2025. Read SEC document |
| February 15, 2024 Filed Feb 21, 2024 02:36 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 10,446 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-017521 · ownership.xml · derivative · entry 2 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,446 shares Expires 2024-02-15 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: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. Read SEC document |
| February 15, 2024 Filed Feb 21, 2024 02:36 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 10,446 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-017521 · ownership.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 244,666 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: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2024. These restricted stock units were initially granted to the Reporting Person on 2/17/2023, and were identified on a Form 4 filed by the Reporting Person on 2/21/2023. Read SEC document |
| February 17, 2023 Filed Feb 21, 2023 21:55 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 10,446 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-011241 · doc4.xml · derivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,446 Underlying: Common Stock · 10,446 shares Expires 2024-02-15 F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2024. Vested shares will be delivered to the reporting person on or immediately following February 15, 2024. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 22:26 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 14,395 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-010801 · doc4.xml · derivative · entry 2 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,395 shares Expires 2023-02-15 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: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 22:26 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 14,395 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-010801 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,220 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: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2023. These restricted stock units were initially granted to the Reporting Person on 2/17/2022, and were identified on a Form 4 filed by the Reporting Person on 2/22/2022. Read SEC document |
| February 17, 2022 Filed Feb 22, 2022 21:58 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 14,395 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-011730 · doc4.xml · derivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,395 Underlying: Common Stock · 14,395 shares Expires 2023-02-15 F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2023. Vested shares will be delivered to the reporting person on or immediately following February 15, 2023. Read SEC document |
| February 16, 2022 Filed Feb 18, 2022 21:45 UTC | Vislink Technologies, Inc. VISL · Entity 9631 | GrantCommon Stock | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-22-005031 · ownership.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,894 F1 · security: Restricted Stock Units ("RSUs"). F2 · shares: Each RSU represents a one-time award received by non-employee members of the Board of Directors of the Issuer and also represents contingent right to receive one share of common stock of the Issuer. F3 · shares: 40,000 of the RSUs vest on each anniversary of the date of the grant over a five year period, provided that the nonemployee director has remained in continuous service as a member of the Board as of such vesting date. The RSUs will become fully vested if, during the 13 month period commencing on a Change in Control of the Issuer, the nonemployee director's service with the Issuer is terminated other than for "Cause" (as such terms are defined in the Reporting Person's Restricted Stock Award). Read SEC document |
| February 15, 2022 Filed Feb 18, 2022 02:45 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 19,157 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-011087 · doc4.xml · derivative · entry 2 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,157 shares Expires 2022-02-15 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: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. Read SEC document |
| February 15, 2022 Filed Feb 18, 2022 02:45 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 19,157 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-011087 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,825 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: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2022. These restricted stock units were initially granted to the Reporting Person on 2/17/2021, and were identified on a Form 4 filed by the Reporting Person on 2/19/2021. Read SEC document |
| January 31, 2022 Filed Mar 14, 2022 16:12 UTC | FARADAY FUTURE INTELLIGENT ELECTRIC INC. FFIE · Entity 8069 | GrantStock Option (Right to Buy) · Derivative | 700,935 | $0.00 Strike: $4.28 | $0.00 |
DisclosureSEC source: 0001567619-22-006886 · doc1.xml · derivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director · Executive Chairperson 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 700,935 Underlying: Class A Common Stock · 700,935 shares Expires 2032-01-31 F1 · derivative.exercise_date: These stock options vest: (i) 50% on January 31, 2023, subject to the Reporting Person's continued service through the vesting date (including not less than 90 days as Executive Chairperson) and (ii) 50% upon the average stock price of the Issuer's Common Stock being not less than $10 per share for 20 out of the immediately preceding 30 trading days. Read SEC document |
| November 12, 2021 Filed Nov 16, 2021 16:40 UTC | DNA X, Inc. SONM · Entity 8261 | GrantCommon Stock | 27,906 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-044825 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,806 F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of the Issuer or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock. F2 · balance_after: The amount of securities reported in this Form 4 as beneficially owned by the Reporting Person reflects adjustments made in connection with a 1-for-10 reverse stock split of the Issuer's common stock on September 15, 2021. Read SEC document |
| August 18, 2021 Filed Aug 20, 2021 18:49 UTC | Vislink Technologies, Inc. VISL · Entity 9631 | GrantCommon Stock | 17,544 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-020879 · ownership.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,644 F1 · shares: The restricted shares were issued to Reporting Person pursuant to the 2013 Incentive Compensation Plan. The restricted shares vest in full on the earliest to occur of (i) the close of business on the day before the next annual meeting of stockholders, (ii) the first anniversary of the grant date, and (iii) the date immediately prior to a change of control of the Issuer, in each case provided that the Reporting Person remains a non-employee director of the Issuer through the applicable vesting date. Read SEC document |
| February 17, 2021 Filed Feb 19, 2021 20:27 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 19,157 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-012300 · doc4.xml · derivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,157 Underlying: Common Stock · 19,157 shares Expires 2022-02-15 F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2022. Vested shares will be delivered to the reporting person on or immediately following February 15, 2022. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 22:51 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 23,184 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-011407 · doc4.xml · derivative · entry 2 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,184 shares Expires 2021-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 22:51 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 23,184 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-011407 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,668 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: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2021. These restricted stock units were initially granted to the Reporting Person on 3/18/2020, and were identified on a Form 4 filed by the Reporting Person on 3/20/2020. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 21:05 UTC | Vislink Technologies, Inc. VISL · Entity 9631 | GrantCommon Stock | 65,574 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-012705 · ownership.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,605 F1 · shares: The restricted shares were issued to Susan Swenson pursuant to the 2016 Incentive Compensation Plan. The restricted shares vest in full on the earliest to occur of (i) the close of business on the day before the next annual meeting of stockholders, (ii) the first anniversary of the grant date, and (iii) the date immediately prior to a change of control of the Issuer, in each case provided that the Reporting Person remains a non-employee director of the Issuer through the applicable vesting date. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 17:11 UTC | DNA X, Inc. SONM · Entity 8261 | GrantCommon Stock | 104,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-035998 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,000 F1 · shares: Represents the grant of restricted stock units that vest in four equal annual installments beginning on June 9, 2020. Read SEC document |
| March 18, 2020 Filed Mar 20, 2020 20:32 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 23,184 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-020468 · doc4.xml · derivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,184 Underlying: Common Stock · 23,184 shares Expires 2021-02-15 F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2021. Vested shares will be delivered to the reporting person on or immediately following February 15, 2021. Read SEC document |
| February 15, 2020 Filed Feb 19, 2020 21:47 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 21,238 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-010591 · doc4.xml · derivative · entry 2 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,238 shares Expires 2020-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2020 Filed Feb 19, 2020 21:47 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 21,238 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-010591 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,484 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: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2020. These restricted stock units were initially granted to the Reporting Person on 4/3/2019, and were identified on a Form 4 filed by the Reporting Person on 4/4/2019. Read SEC document |
| December 30, 2019 Filed Jan 2, 2020 18:03 UTC | DNA X, Inc. SONM · Entity 8261 | GrantStock Option (right to buy) · Derivative | 43,928 | $0.00 Strike: $3.87 | $0.00 |
DisclosureSEC source: 0001209191-20-000415 · doc4.xml · derivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,928 Underlying: Common Stock · 43,928 shares Expires 2029-12-29 F1 · derivative.exercise_date: The Options shall vest: (a) with respect to 75% of the shares at such time as the price of the Company's Common Stock equals or exceeds $5.00 per share, (b) with respect to 15% of the shares at such time as the price of the Company's Common Stock equals or exceeds $7.00 per share; and (c) with respect to 10% of the shares at such time as the price of the Company's Common Stock equals or exceeds $8.00 per share, provided that all shares shall vest in full upon consummation of a change in control transaction. Read SEC document |
| November 13, 2019 Filed Nov 15, 2019 18:46 UTC | DNA X, Inc. SONM · Entity 8261 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-056821 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F1 · shares: Represents the grant of restricted stock units (the "RSU") that vest in three equal annual installments beginning on May 9, 2019, subject to continued service. The RSU is the initial equity grant to which each non-employee director is entitled for service on the Issuer's board of directors pursuant to the non-employee director compensation policy that has been approved by the compensation committee of the Issuer's board of directors. The number of shares subject to the RSU was determined by reference to the price of the Issuer's common stock in its initial public offering, or $11 per share. Read SEC document |
| May 24, 2019 Filed May 30, 2019 07:21 UTC | Vislink Technologies, Inc. VISL · Entity 9631 | GrantCommon Stock | 4,630 | $1.62 | $7,500.60 |
DisclosureSEC source: 0001493152-19-008399 · ownership.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,031 F1 · shares: The shares were received as compensation for Ms. Swenson's service as a member of the Board of Directors of the Issuer for the 1st quarter of fiscal year 2019, ending March 31, 2019. F2 · balance_after: Shares have been split-adjusted pursuant to the Company's 1-for-10 reverse stock split effective May 13, 2019. Read SEC document |
| April 03, 2019 Filed Apr 4, 2019 20:02 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 21,238 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-023610 · doc4.xml · derivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,238 Underlying: Common Stock · 21,238 shares Expires 2020-02-15 F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2020. Vested shares will be delivered to the reporting person on or immediately following February 15, 2020. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:48 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 33,802 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011586 · doc4.xml · derivative · entry 2 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,802 shares Expires 2019-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:48 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 33,802 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011586 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,246 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: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2019. These restricted stock units were initially granted to the Reporting Person on 3/9/2018, and were identified on a Form 4 filed by the Reporting Person on 3/12/2018. Read SEC document |
| January 30, 2019 Filed Feb 22, 2019 09:00 UTC | Vislink Technologies, Inc. XGTI · Entity 9631 | GrantCommon Stock | 12,058 | $0.37 | $4,437.34 |
DisclosureSEC source: 0001493152-19-002397 · ownership.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,004 F1 · shares: The shares were received as compensation for Ms. Swenson's service as a member of the Board of Directors of the Issuer for the 4th quarter of fiscal year 2018, ending December 31, 2018. Read SEC document |
| December 14, 2018 Filed Dec 17, 2018 21:42 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionStock Option/Right to Buy · Derivative | 30,000 | $4.24 Strike: $4.24 | $127,200.00 |
DisclosureSEC source: 0001209191-18-062958 · doc4.xml · derivative · entry 3 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2019-07-30 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. Read SEC document |
| December 14, 2018 Filed Dec 17, 2018 21:42 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 30,000 | $5.18 | $155,526.00 |
DisclosureSEC source: 0001209191-18-062958 · doc4.xml · nonDerivative · entry 2 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,444 Read SEC document |
| December 14, 2018 Filed Dec 17, 2018 21:42 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 30,000 | $4.24 | $127,200.00 |
DisclosureSEC source: 0001209191-18-062958 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,444 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: These shares of common stock were acquired upon the exercise of a stock option/right to buy on December 14, 2018. The option was initially granted to the Reporting Person on 7/30/2012, and was identified on a Form 4 filed by the Reporting Person on 8/1/2012. Read SEC document |
| March 09, 2018 Filed Mar 12, 2018 20:09 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 33,802 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-018849 · doc4.xml · derivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,802 Underlying: Common Stock · 33,802 shares Expires 2019-02-15 F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2019. Vested shares will be delivered to the reporting person on or immediately following February 15, 2019. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:53 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 20,690 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011570 · doc4.xml · derivative · entry 2 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,690 shares Expires 2018-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:53 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 20,690 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011570 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,444 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: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/27/2017, and were identified on a Form 4 filed by the Reporting Person on 3/29/2017. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:37 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 20,690 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011550 · doc4.xml · derivative · entry 2 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,690 shares Expires 2018-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:37 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 20,690 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011550 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,444 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: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/27/2017, and were identified on a Form 4 filed by the Reporting Person on 3/29/2017. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:27 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 20,690 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011537 · doc4.xml · derivative · entry 2 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,690 shares Expires 2018-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:27 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 20,690 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011537 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,444 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: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/27/2017, and were identified on a Form 4 filed by the Reporting Person on 3/29/2017. Read SEC document |
| May 12, 2017 Filed May 15, 2017 16:53 UTC | INSEEGO CORP. INSG · Entity 7061 | GrantCommon Stock | 430,000 | $1.30 | $559,000.00 |
DisclosureSEC source: 0001022652-17-000043 · edgar.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,382,017 F1 · shares: One-quarter of the Restricted Stock Units vest each year beginning on the first Anniversary of the award date. F2 · shares: The Restricted Stock Units convert into common stock on one-for-one basis. Read SEC document |
| April 25, 2017 Filed Apr 27, 2017 17:51 UTC | WELLS FARGO & COMPANY/MN WFC · Entity 2824 | GrantCommon Stock, $1 2/3 Par Value | 3,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-015681 · form4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,954 Read SEC document |
| March 27, 2017 Filed Mar 29, 2017 13:49 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 20,690 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-023235 · doc4.xml · derivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,690 Underlying: Common Stock · 20,690 shares Expires 2018-02-15 F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2018. Vested shares will be delivered to the reporting person on or immediately following February 15, 2018. Read SEC document |
| March 14, 2017 Filed Mar 15, 2017 17:38 UTC | INSEEGO CORP. INSG · Entity 7061 | Tax withholdingCommon Stock | 6,369 | $2.30 | $14,648.70 |
DisclosureSEC source: 0001112671-17-000003 · edgar.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 952,017 F1 · kind: Automatic disposition of shares back to Issuer (and subsequent cancellation therof) soley to satisfy immediate payroll tax withholding obligation triggered by the vesting of restricted stock. The Reporting Person received no proceeds from this transaction. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 16:22 UTC | INSEEGO CORP. INSG · Entity 7061 | Tax withholdingCommon Stock | 92,415 | $2.93 | $270,775.95 |
DisclosureSEC source: 0001112671-17-000002 · edgar.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 958,386 F1 · kind: Automatic disposition of shares back to Issuer (and subsequent cancellation therof) soley to satisfy immediate payroll tax withholding obligation triggered by the vesting of restricted stock. The Reporting Person received no proceeds from this transaction. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 21:16 UTC | WELLS FARGO & COMPANY/MN WFC · Entity 2824 | Exercise / conversionDirector Stock Purchase Option · Derivative | 7,394 | $0.00 Strike: $35.78 | $0.00 |
DisclosureSEC source: 0001127602-17-010134 · form4.xml · derivative · entry 3 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $1 2/3 Par Value · 7,394 shares Expires 2017-04-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 21:16 UTC | WELLS FARGO & COMPANY/MN WFC · Entity 2824 | Tax withholdingCommon Stock, $1 2/3 Par Value | 4,429 | $59.73 | $264,544.17 |
DisclosureSEC source: 0001127602-17-010134 · form4.xml · nonDerivative · entry 2 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,654 Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 21:16 UTC | WELLS FARGO & COMPANY/MN WFC · Entity 2824 | Exercise / conversionCommon Stock, $1 2/3 Par Value | 7,394 | $35.78 | $264,557.32 |
DisclosureSEC source: 0001127602-17-010134 · form4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,083 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:40 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 24,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012177 · doc4.xml · derivative · entry 2 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 24,000 shares Expires 2017-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:40 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 24,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012177 · doc4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,754 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: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016. Read SEC document |
| April 26, 2016 Filed Apr 28, 2016 20:00 UTC | WELLS FARGO & COMPANY/MN WFC · Entity 2824 | GrantCommon Stock, $1 2/3 Par Value | 3,535 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-050197 · form4.xml · nonDerivative · entry 1 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,689 Read SEC document |
| December 03, 2015 Filed Dec 7, 2015 19:07 UTC | WELLS FARGO & COMPANY/MN WFC · Entity 2824 | Exercise / conversionDirector Stock Purchase Option · Derivative | 6,658 | $0.00 Strike: $32.55 | $0.00 |
DisclosureSEC source: 0001127602-15-033335 · form4.xml · derivative · entry 3 SWENSON SUSAN · CIK 0001112671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $1 2/3 Par Value · 6,658 shares Expires 2016-04-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.