organization · Reporting owner
Oak Investment Partners XIII, Limited Partnership
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Airspan Networks Holdings Inc.MIMO · Entity 110488 | 10% owner | August 13, 2021 | August 17, 2021 |
| KRATOS DEFENSE & SECURITY SOLUTIONS, INC.KTOS · Entity 3567 | less than 10% owner | August 07, 2019 | August 09, 2019 |
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.
Airspan Networks Holdings Inc.
Report date August 13, 2021 · Filed August 17, 2021
Jointly reported with CARANO BANDEL L, Oak Investment Partners XI L P
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 25,038,852 |
Reported balance
After 2021-08-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-08-13 · Other · Acquired 25,038,852 · Balance 25,038,852 F1: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub. F2: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,400,207 |
Reported balance
After 2021-08-13 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-08-13 · Other · Acquired 3,400,207 · Balance 3,400,207 F3: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger. F4: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,600,207 |
Reported balance
After 2021-08-13 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-08-13 · Purchase · Acquired 200,000 · Balance 3,600,207 F4: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.50 · Expires 2023-08-13 | IndirectSee footnote | 1,264,993 |
Reported balance
After 2021-08-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-08-13 · Other · Acquired 1,264,993 · Balance 1,264,993 F1: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub. F2: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.50 · Expires 2023-08-13 | IndirectSee footnote | 171,782 |
Reported balance
After 2021-08-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-08-13 · Other · Acquired 171,782 · Balance 171,782 F3: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger. F4: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.00 · Expires 2023-08-13 | IndirectSee footnote | 1,264,993 |
Reported balance
After 2021-08-13 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-08-13 · Other · Acquired 1,264,993 · Balance 1,264,993 F1: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub. F2: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.00 · Expires 2023-08-13 | IndirectSee footnote | 171,782 |
Reported balance
After 2021-08-13 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-08-13 · Other · Acquired 171,782 · Balance 171,782 F3: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger. F4: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.50 · Expires 2023-08-13 | IndirectSee footnote | 1,264,993 |
Reported balance
After 2021-08-13 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-08-13 · Other · Acquired 1,264,993 · Balance 1,264,993 F1: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub. F2: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.50 · Expires 2023-08-13 | IndirectSee footnote | 171,782 |
Reported balance
After 2021-08-13 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-08-13 · Other · Acquired 171,782 · Balance 171,782 F3: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger. F4: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub.
F2: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.
F3: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger.
F4: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein.
KRATOS DEFENSE & SECURITY SOLUTIONS, INC.
Report date August 07, 2019 · Filed August 09, 2019
Jointly reported with CARANO BANDEL L, OAK INVESTMENT PARTNERS X LTD PARTNERSHIP, OAK X AFFILIATES FUND LP, OAK INVESTMENT PARTNERS IX L P, OAK IX AFFILIATES FUND LP, OAK IX AFFILIATES FUND A LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 366,098 |
Reported balance
After 2019-08-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-08-07 · Sale · Disposed 250,000 · Balance 366,098 F1: Represents shares of Common Stock directly owned by Bandel L. Carano. |
| Common StockSEC Table I · non-derivative | IndirectSee | 449,090 |
Reported balance
After 2019-08-08 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-08-08 · Sale · Disposed 250,000 · Balance 449,090 F2: Represents 957 shares of Common Stock sold by Oak Investment Partners IX, L.P. ("Oak IX"); 29 shares of Common Stock sold by Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"); 64 shares of Common Stock sold by Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"); 102,081 shares of Common Stock sold by Oak Investment Partners X, Limited Partnership ("Oak X"); 262 shares of Common Stock sold by Oak X Affiliates Fund, L.P. ("Oak X Affiliates"); 146,607 shares of Common Stock sold by Oak Investment Partners XIII, L.P. ("Oak XIII"). F3: Represents 1,721 shares of Common Stock beneficially owned by Oak IX; 183,636 shares of Common Stock beneficially owned by Oak X; 263,733 shares of Common Stock beneficially owned by Oak XIII. F4: Common Stock sold was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XIII, L.L.C. is the General Partner of Oak XIII and may be deemed to beneficially own the reported securities. |
| Director OptionSEC Table II · derivative / convertible security | Direct | 81,051 |
Reported balance
Holding disclosure · report date 2019-08-07 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 81,051 F5: Consists of Director Option to purchase 19,430 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X; Director Option to purchase 313 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates; and Director Option to purchase 61,308 shares of Common Stock, which is held by Mr. Carano on behalf of Oak XIII. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Common Stock directly owned by Bandel L. Carano.
F2: Represents 957 shares of Common Stock sold by Oak Investment Partners IX, L.P. ("Oak IX"); 29 shares of Common Stock sold by Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"); 64 shares of Common Stock sold by Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"); 102,081 shares of Common Stock sold by Oak Investment Partners X, Limited Partnership ("Oak X"); 262 shares of Common Stock sold by Oak X Affiliates Fund, L.P. ("Oak X Affiliates"); 146,607 shares of Common Stock sold by Oak Investment Partners XIII, L.P. ("Oak XIII").
F3: Represents 1,721 shares of Common Stock beneficially owned by Oak IX; 183,636 shares of Common Stock beneficially owned by Oak X; 263,733 shares of Common Stock beneficially owned by Oak XIII.
F4: Common Stock sold was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XIII, L.L.C. is the General Partner of Oak XIII and may be deemed to beneficially own the reported securities.
F5: Consists of Director Option to purchase 19,430 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X; Director Option to purchase 313 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates; and Director Option to purchase 61,308 shares of Common Stock, which is held by Mr. Carano on behalf of Oak XIII.
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 |
|---|---|---|---|---|---|---|
| August 13, 2021 Filed Aug 17, 2021 12:29 UTC | Airspan Networks Holdings Inc. MIMO · Entity 110488 | OtherWarrants (right to buy) · Derivative | 171,782 | Not disclosed Strike: $17.50 | Not disclosed |
DisclosureSEC source: 0001829126-21-008168 · ownership.xml · derivative · entry 9 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 171,782 Underlying: Common Stock · 171,782 shares Expires 2023-08-13 F3 · price: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger. F4 · ownership.nature: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. Read SEC document |
| August 13, 2021 Filed Aug 17, 2021 12:29 UTC | Airspan Networks Holdings Inc. MIMO · Entity 110488 | OtherWarrants (right to buy) · Derivative | 1,264,993 | Not disclosed Strike: $17.50 | Not disclosed |
DisclosureSEC source: 0001829126-21-008168 · ownership.xml · derivative · entry 8 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,264,993 Underlying: Common Stock · 1,264,993 shares Expires 2023-08-13 F1 · price: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub. F2 · ownership.nature: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. Read SEC document |
| August 13, 2021 Filed Aug 17, 2021 12:29 UTC | Airspan Networks Holdings Inc. MIMO · Entity 110488 | OtherWarrants (right to buy) · Derivative | 171,782 | Not disclosed Strike: $15.00 | Not disclosed |
DisclosureSEC source: 0001829126-21-008168 · ownership.xml · derivative · entry 7 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 171,782 Underlying: Common Stock · 171,782 shares Expires 2023-08-13 F3 · price: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger. F4 · ownership.nature: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. Read SEC document |
| August 13, 2021 Filed Aug 17, 2021 12:29 UTC | Airspan Networks Holdings Inc. MIMO · Entity 110488 | OtherWarrants (right to buy) · Derivative | 1,264,993 | Not disclosed Strike: $15.00 | Not disclosed |
DisclosureSEC source: 0001829126-21-008168 · ownership.xml · derivative · entry 6 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,264,993 Underlying: Common Stock · 1,264,993 shares Expires 2023-08-13 F1 · price: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub. F2 · ownership.nature: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. Read SEC document |
| August 13, 2021 Filed Aug 17, 2021 12:29 UTC | Airspan Networks Holdings Inc. MIMO · Entity 110488 | OtherWarrants (right to buy) · Derivative | 171,782 | Not disclosed Strike: $12.50 | Not disclosed |
DisclosureSEC source: 0001829126-21-008168 · ownership.xml · derivative · entry 5 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 171,782 Underlying: Common Stock · 171,782 shares Expires 2023-08-13 F3 · price: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger. F4 · ownership.nature: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. Read SEC document |
| August 13, 2021 Filed Aug 17, 2021 12:29 UTC | Airspan Networks Holdings Inc. MIMO · Entity 110488 | OtherWarrants (right to buy) · Derivative | 1,264,993 | Not disclosed Strike: $12.50 | Not disclosed |
DisclosureSEC source: 0001829126-21-008168 · ownership.xml · derivative · entry 4 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,264,993 Underlying: Common Stock · 1,264,993 shares Expires 2023-08-13 F1 · price: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub. F2 · ownership.nature: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. Read SEC document |
| August 13, 2021 Filed Aug 17, 2021 12:29 UTC | Airspan Networks Holdings Inc. MIMO · Entity 110488 | PurchaseCommon Stock | 200,000 | $10.00 | $2,000,000.00 |
DisclosureSEC source: 0001829126-21-008168 · ownership.xml · nonDerivative · entry 3 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,600,207 F4 · ownership.nature: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. Read SEC document |
| August 13, 2021 Filed Aug 17, 2021 12:29 UTC | Airspan Networks Holdings Inc. MIMO · Entity 110488 | OtherCommon Stock | 3,400,207 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001829126-21-008168 · ownership.xml · nonDerivative · entry 2 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,400,207 F3 · price: Received in exchange for (a) 128,133 shares of Legacy Airspan Class B Common Stock, (b) 23,163 shares of Legacy Airspan Series F Senior Preferred Stock, (c) 134,512 shares of Legacy Airspan Series G Senior Preferred Stock, (d) 56,910 shares of Legacy Airspan Series H Senior Preferred Stock and (e) warrants exercisable for 28,455 shares of Legacy Airspan Series H Senior Preferred Stock, in each case, in connection with the Merger. F4 · ownership.nature: Represents securities directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XIII are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XIII, LLC, the General Partner of Oak XIII. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. Read SEC document |
| August 13, 2021 Filed Aug 17, 2021 12:29 UTC | Airspan Networks Holdings Inc. MIMO · Entity 110488 | OtherCommon Stock | 25,038,852 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001829126-21-008168 · ownership.xml · nonDerivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 25,038,852 F1 · price: Received in exchange for (a) 72,123 shares of Airspan Networks Inc. ("Legacy Airspan") Series B-1 Preferred Stock, (b) 416,667 shares of Legacy Airspan Series C-1 Preferred Stock, (c) 721,643 shares of Legacy Airspan Series D Preferred Stock, (d) 370,000 shares of Legacy Airspan Series D-2 Preferred Stock, (e) 162,141 shares of Legacy Airspan Series F Senior Preferred Stock and (f) 285,339 shares of Legacy Airspan Series G Senior Preferred Stock, in each case, in connection with the merger of Artemis Merger Sub Corp. ("Merger Sub") with and into Legacy Airspan (the "Merger") pursuant to that certain Business Combination Agreement, dated as of March 8, 2021, by and among Airspan Networks Holdings Inc. (f/k/a New Beginnings Acquisition Corp.), Legacy Airspan and Merger Sub. F2 · ownership.nature: Represents securities directly owned by Oak Investment Partners XI, Limited Partnership ("Oak XI"). Bandel L. Carano is a member of Airspan Networks Holdings Inc.'s board of directors. The names of the parties who share power to vote and dispose of the securities held by Oak XI are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont, each of whom is a Managing Member of Oak Associates XI, LLC, the General Partner of Oak XI. Bandel L. Carano and these individuals disclaim beneficial ownership with respect to such securities except to the extent of their pecuniary interest therein. Read SEC document |
| August 08, 2019 Filed Aug 9, 2019 16:30 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | SaleCommon Stock | 250,000 | $19.26 | $4,813,950.00 |
DisclosureSEC source: 0001183755-19-000007 · edgar.xml · nonDerivative · entry 2 CARANO BANDEL L · CIK 0001183755 · Director Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · less than 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · less than 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · less than 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · less than 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · less than 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · less than 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 449,090 F2 · kind: Represents 957 shares of Common Stock sold by Oak Investment Partners IX, L.P. ("Oak IX"); 29 shares of Common Stock sold by Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"); 64 shares of Common Stock sold by Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"); 102,081 shares of Common Stock sold by Oak Investment Partners X, Limited Partnership ("Oak X"); 262 shares of Common Stock sold by Oak X Affiliates Fund, L.P. ("Oak X Affiliates"); 146,607 shares of Common Stock sold by Oak Investment Partners XIII, L.P. ("Oak XIII"). F3 · ownership.nature: Represents 1,721 shares of Common Stock beneficially owned by Oak IX; 183,636 shares of Common Stock beneficially owned by Oak X; 263,733 shares of Common Stock beneficially owned by Oak XIII. F4 · ownership.nature: Common Stock sold was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XIII, L.L.C. is the General Partner of Oak XIII and may be deemed to beneficially own the reported securities. Read SEC document |
| August 07, 2019 Filed Aug 9, 2019 16:30 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | SaleCommon Stock | 250,000 | $19.11 | $4,778,025.00 |
DisclosureSEC source: 0001183755-19-000007 · edgar.xml · nonDerivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · less than 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · less than 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · less than 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · less than 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · less than 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · less than 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 366,098 F1 · ownership.direct: Represents shares of Common Stock directly owned by Bandel L. Carano. Read SEC document |
| August 05, 2019 Filed Aug 6, 2019 16:28 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | OtherCommon Stock | 12,235,117 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001183755-19-000006 · edgar.xml · nonDerivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 699,090 F1 · kind: On August 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XIII, L.P. ("Oak XIII") made in-kind distributions of 265,108, 2,824, 6,363, 1,345,243, 25,919, and 10,589,660 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. F1 · shares: On August 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XIII, L.P. ("Oak XIII") made in-kind distributions of 265,108, 2,824, 6,363, 1,345,243, 25,919, and 10,589,660 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. F1 · price: On August 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XIII, L.P. ("Oak XIII") made in-kind distributions of 265,108, 2,824, 6,363, 1,345,243, 25,919, and 10,589,660 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. F2 · balance_after: Consists of 2,678 shares of Common Stock held by Oak IX; 29 shares of Common Stock held by Oak IX Affiliates; 64 shares of Common Stock held by Oak IX Affiliates-A; 285,717 shares of Common Stock held by Oak X; 262 shares of Common Stock held by Oak X Affiliates; 410,340 shares of Common Stock held by Oak XIII. F3 · ownership.nature: Common Stock distributed was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XIII, L.L.C. is the General Partner of Oak XIII and may be deemed to beneficially own the reported securities. Read SEC document |
| May 10, 2019 Filed May 13, 2019 17:52 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | GrantDirector Option (Right to Buy) · Derivative | 787 | Not disclosed Strike: $17.81 | Not disclosed |
DisclosureSEC source: 0001183755-19-000005 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,231 Underlying: Common Stock · 787 shares Expires 2029-05-10 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective May 10, 2019. F4 · price: Not applicable. F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F3 · ownership.direct: Includes Director Option to purchase 101 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 684 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| March 14, 2019 Filed Mar 15, 2019 16:38 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | GrantDirector Option (Right to Buy) · Derivative | 880 | Not disclosed Strike: $15.92 | Not disclosed |
DisclosureSEC source: 0001183755-19-000004 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,444 Underlying: Common Stock · 880 shares Expires 2029-03-14 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective March 14, 2019. F4 · price: Not applicable. F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F3 · ownership.direct: Includes Director Option to purchase 113 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 765 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| December 05, 2018 Filed Dec 6, 2018 18:08 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | GrantDirector Option (Right to Buy) · Derivative | 1,093 | Not disclosed Strike: $12.81 | Not disclosed |
DisclosureSEC source: 0001183755-18-000006 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,155 Underlying: Common Stock · 1,093 shares Expires 2028-12-05 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective December 5, 2018. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 141 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 950 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| October 10, 2018 Filed Oct 11, 2018 16:44 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | GrantDirector Option (Right to Buy) · Derivative | 1,012 | Not disclosed Strike: $13.84 | Not disclosed |
DisclosureSEC source: 0001183755-18-000005 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,579 Underlying: Common Stock · 1,012 shares Expires 2028-10-10 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective October 10, 2018. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 130 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 880 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| June 19, 2018 Filed Jun 20, 2018 12:17 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | GrantDirector Option (Right to Buy) · Derivative | 1,207 | Not disclosed Strike: $11.60 | Not disclosed |
DisclosureSEC source: 0001183755-18-000003 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,861 Underlying: Common Stock · 1,207 shares Expires 2028-06-19 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective June 19, 2018. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 156 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,049 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| March 21, 2018 Filed Mar 22, 2018 13:24 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | GrantDirector Option (Right to Buy) · Derivative | 1,442 | Not disclosed Strike: $9.71 | Not disclosed |
DisclosureSEC source: 0001183755-18-000001 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,959 Underlying: Common Stock · 1,442 shares Expires 2028-03-21 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective March 21, 2018. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 186 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 3 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,253 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| December 07, 2017 Filed Dec 8, 2017 16:29 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | GrantDirector Option (Right to Buy) · Derivative | 1,374 | Not disclosed Strike: $10.19 | Not disclosed |
DisclosureSEC source: 0001183755-17-000006 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,031 Underlying: Common Stock · 1,374 shares Expires 2027-12-07 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective December 7, 2017. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 177 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 3 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,194 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| September 12, 2017 Filed Sep 13, 2017 15:09 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | GrantDirector Option (Right to Buy) · Derivative | 1,137 | Not disclosed Strike: $12.32 | Not disclosed |
DisclosureSEC source: 0001183755-17-000005 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,896 Underlying: Common Stock · 1,137 shares Expires 2027-09-12 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective September 12, 2017. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 147 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 988 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 15:29 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | GrantDirector Option (Right to Buy) · Derivative | 1,326 | Not disclosed Strike: $10.56 | Not disclosed |
DisclosureSEC source: 0001183755-17-000003 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,142 Underlying: Common Stock · 1,326 shares Expires 2027-05-31 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective May 31, 2017. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 171 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 3 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,152 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| March 15, 2017 Filed Mar 16, 2017 15:41 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | GrantDirector Option (Right to Buy) · Derivative | 1,892 | Not disclosed Strike: $7.40 | Not disclosed |
DisclosureSEC source: 0001183755-17-000002 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,071 Underlying: Common Stock · 1,892 shares Expires 2027-03-15 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective March 15, 2017. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 244 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 4 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,644 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| March 07, 2017 Filed Mar 8, 2017 10:00 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | PurchaseCommon Stock | 275,862 | $7.25 | $1,999,999.50 |
DisclosureSEC source: 0001183755-17-000001 · edgar.xml · nonDerivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · SEE FOOTNOTES Disclosed balance after: 13,540,305 F1 · balance_after: The 13,540,305 shares of Common Stock are directly owned as follows:(i)11,000,000 shares directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"), (ii)267,786 shares directly owned by Oak Investment Partners IX, Limited Partnership ("Oak IX"), (iii)2,853 shares directly owned by Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"), (iv)6,427 shares directly owned by Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"), (v)1,630,960 shares directly owned by Oak Investment Partners X, Limited Partnership ("Oak X") of which 271,503 shares were purchased pursuant to a public offering of the Issuer that closed on March 7, 2017, (vi)26,181 shares directly owned by Oak X Affiliates Fund, Limited Partnership of which 4,359 shares were purchased pursuant to a public offering of the Issuer that closed on March 7, 2017 ("Oak X Affiliates", together with Oak XIII, Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, and Oak X, "Oak Funds"). F2 · balance_after: Continuation of Footnote 1 - (vii) 606,098 shares directly owned by Bandel L. Carano, a Director of Kratos Defense & Security Solutions, Inc. No other reporting person has any pecuniary interest in these shares. F1 · ownership.nature: The 13,540,305 shares of Common Stock are directly owned as follows:(i)11,000,000 shares directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"), (ii)267,786 shares directly owned by Oak Investment Partners IX, Limited Partnership ("Oak IX"), (iii)2,853 shares directly owned by Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"), (iv)6,427 shares directly owned by Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"), (v)1,630,960 shares directly owned by Oak Investment Partners X, Limited Partnership ("Oak X") of which 271,503 shares were purchased pursuant to a public offering of the Issuer that closed on March 7, 2017, (vi)26,181 shares directly owned by Oak X Affiliates Fund, Limited Partnership of which 4,359 shares were purchased pursuant to a public offering of the Issuer that closed on March 7, 2017 ("Oak X Affiliates", together with Oak XIII, Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, and Oak X, "Oak Funds"). F2 · ownership.nature: Continuation of Footnote 1 - (vii) 606,098 shares directly owned by Bandel L. Carano, a Director of Kratos Defense & Security Solutions, Inc. No other reporting person has any pecuniary interest in these shares. F3 · ownership.nature: Mr. Carano a Managing Member of (i) Oak Associates XIII, LLC, the General Partner of Oak XIII, (ii) Oak Associates IX, LLC, the General Partner of Oak IX, (iii) Oak IX Affiliates, LLC, the General Partner of each of Oak IX Affiliates and Oak IX Affiliates-A, (iv) Oak Associates X, LLC, the General Partner of Oak X, and (v) Oak X Affiliates, LLC, the General Partner of Oak X Affiliates. Read SEC document |
| December 06, 2016 Filed Dec 8, 2016 13:04 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | GrantDirector Option (Right to Buy) · Derivative | 1,812 | Not disclosed Strike: $7.73 | Not disclosed |
DisclosureSEC source: 0001183755-16-000020 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,771 Underlying: Common Stock · 1,812 shares Expires 2026-12-06 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective December 6, 2016. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 199 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 3 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,610 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document |
| November 23, 2016 Filed Nov 28, 2016 08:58 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | PurchaseCommon Stock | 833,000 | $6.00 | $4,998,000.00 |
DisclosureSEC source: 0001183755-16-000019 · edgar.xml · nonDerivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · SEE FOOTNOTES Disclosed balance after: 13,264,443 F1 · balance_after: The 13,264,443 shares of Common Stock are directly owned as follows:(i)11,000,000 shares directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"), (ii)267,786 shares directly owned by Oak Investment Partners IX, Limited Partnership ("Oak IX"), (iii)2,853 shares directly owned by Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"), (iv)6,427 shares directly owned by Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"), (v)1,359,457 shares directly owned by Oak Investment Partners X, Limited Partnership ("Oak X") of which 819,839 shares were purchased pursuant to a public offering of the Issuer that closed on November 23, 2016, (vi)21,822 shares directly owned by Oak X Affiliates Fund, Limited Partnership of which 13,161 shares were purchased pursuant to a public offering of the Issuer that closed on November 23, 2016 ("Oak X Affiliates", together with Oak XIII, Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, and Oak X, "Oak Funds"). F2 · balance_after: Continuation of Footnote 1 - (vii) 606,098 shares directly owned by Bandel L. Carano, a Director of Kratos Defense & Security Solutions, Inc. No other reporting person has any pecuniary interest in these shares. F1 · ownership.nature: The 13,264,443 shares of Common Stock are directly owned as follows:(i)11,000,000 shares directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"), (ii)267,786 shares directly owned by Oak Investment Partners IX, Limited Partnership ("Oak IX"), (iii)2,853 shares directly owned by Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"), (iv)6,427 shares directly owned by Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"), (v)1,359,457 shares directly owned by Oak Investment Partners X, Limited Partnership ("Oak X") of which 819,839 shares were purchased pursuant to a public offering of the Issuer that closed on November 23, 2016, (vi)21,822 shares directly owned by Oak X Affiliates Fund, Limited Partnership of which 13,161 shares were purchased pursuant to a public offering of the Issuer that closed on November 23, 2016 ("Oak X Affiliates", together with Oak XIII, Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, and Oak X, "Oak Funds"). F2 · ownership.nature: Continuation of Footnote 1 - (vii) 606,098 shares directly owned by Bandel L. Carano, a Director of Kratos Defense & Security Solutions, Inc. No other reporting person has any pecuniary interest in these shares. F3 · ownership.nature: Mr. Carano a Managing Member of (i) Oak Associates XIII, LLC, the General Partner of Oak XIII, (ii) Oak Associates IX, LLC, the General Partner of Oak IX, (iii) Oak IX Affiliates, LLC, the General Partner of each of Oak IX Affiliates and Oak IX Affiliates-A, (iv) Oak Associates X, LLC, the General Partner of Oak X, and (v) Oak X Affiliates, LLC, the General Partner of Oak X Affiliates. Read SEC document |
| October 14, 2016 Filed Oct 17, 2016 17:36 UTC | KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567 | GrantDirector Option (Right to Buy) · Derivative | 2,216 | Not disclosed Strike: $6.32 | Not disclosed |
DisclosureSEC source: 0001183755-16-000018 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,548 Underlying: Common Stock · 2,216 shares Expires 2026-10-14 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective October 14, 2016. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 104 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 2,110 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. 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.