Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| KKR & Co. Inc.KKR · Entity 338 | Director | October 20, 2022 | October 21, 2022 |
| ORACLE CORPORCL · Entity 2805 | Director | May 31, 2006 | June 01, 2006 |
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.
KKR & Co. Inc.
Report date October 20, 2022 · Filed October 21, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 89,592 |
Reported balance
After 2022-10-20 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-10-20 · Grant · Acquired 4,134 · Balance 89,592 F1: Represents restricted stock units of KKR & Co. Inc., which were approved for grant under the Amended and Restated KKR & Co. Inc. 2019 Equity Incentive Plan and will vest on October 1, 2023. Upon vesting, each restricted stock unit will be settled by delivery of one share of common stock of KKR & Co. Inc. F2: These securities are held by the Reporting Person's living trust. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units of KKR & Co. Inc., which were approved for grant under the Amended and Restated KKR & Co. Inc. 2019 Equity Incentive Plan and will vest on October 1, 2023. Upon vesting, each restricted stock unit will be settled by delivery of one share of common stock of KKR & Co. Inc.
F2: These securities are held by the Reporting Person's living trust.
ORACLE CORP
Report date May 31, 2006 · Filed June 01, 2006
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.02 · Expires 2016-05-31 | Direct | 30,000 |
Reported balance
After 2006-05-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2006-05-31 · Grant · Acquired 30,000 · Balance 30,000 F1: Option vests 25% annually on anniversary of grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: Option vests 25% annually on anniversary of grant date.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Financial Engines, Inc.
Report date July 19, 2018 · Filed July 23, 2018
Section 16 reporting ended · disclosed 2018-07-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-07-19 transaction · row 1
1 source rowRow 1 · 2018-07-19 · Disposition to issuer · Disposed 26,290 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2018, by and among Financial Engines, Inc. (the "Company"), Edelman Financial, L.P., (the "Parent"), and Flashdance Merger Sub, Inc. ("Merger Sub"), a copy of which is filed as Exhibit 2.1 to the Company's Form 8-K filed with the SEC on May 2, 2018, pursuant to which the Company became a wholly-owned subsidiary of Parent (the "Merger") on July 19, 2018 (the "Effective Time"). At the Effective Time, each issued and outstanding share of common stock of the Company was cancelled and converted into the right to receive $45.00 in cash, (the "Merger Consideration") without interest and subject to applicable withholding taxes. |
| Common StockSEC Table I · non-derivative | IndirectThe Grundfest Living Trust U/T/A DD 8/25/97 | 0 |
Reported balance
After 2018-07-19 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2018-07-19 · Disposition to issuer · Disposed 110,500 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2018, by and among Financial Engines, Inc. (the "Company"), Edelman Financial, L.P., (the "Parent"), and Flashdance Merger Sub, Inc. ("Merger Sub"), a copy of which is filed as Exhibit 2.1 to the Company's Form 8-K filed with the SEC on May 2, 2018, pursuant to which the Company became a wholly-owned subsidiary of Parent (the "Merger") on July 19, 2018 (the "Effective Time"). At the Effective Time, each issued and outstanding share of common stock of the Company was cancelled and converted into the right to receive $45.00 in cash, (the "Merger Consideration") without interest and subject to applicable withholding taxes. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2018-07-19 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-07-19 · Disposition to issuer · Disposed 1,224 · Balance 0 F2: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F3: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2018-07-19 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-07-19 · Disposition to issuer · Disposed 2,517 · Balance 0 F2: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F3: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2018-07-19 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-07-19 · Disposition to issuer · Disposed 2,567 · Balance 0 F3: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2018-07-19 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-07-19 · Disposition to issuer · Disposed 4,482 · Balance 0 F3: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.17 | Direct | 0 |
Reported balance
After 2018-07-19 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-07-19 · Disposition to issuer · Disposed 10,000 · Balance 0 F4: At the Effective Time, each outstanding option to acquire shares of common stock of the Company became fully vested (to the extent unvested) and was cancelled and converted into the right to receive the product of (1) the excess, if any, of the Merger Consideration over the applicable exercise price of such option, multiplied by (2) the total number of shares of common stock of the Company subject to such option, subject to applicable withholding taxes. Any options that had an exercise price per share that was equal to or greater than the Merger Consideration were cancelled for no consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2018, by and among Financial Engines, Inc. (the "Company"), Edelman Financial, L.P., (the "Parent"), and Flashdance Merger Sub, Inc. ("Merger Sub"), a copy of which is filed as Exhibit 2.1 to the Company's Form 8-K filed with the SEC on May 2, 2018, pursuant to which the Company became a wholly-owned subsidiary of Parent (the "Merger") on July 19, 2018 (the "Effective Time"). At the Effective Time, each issued and outstanding share of common stock of the Company was cancelled and converted into the right to receive $45.00 in cash, (the "Merger Consideration") without interest and subject to applicable withholding taxes.
F2: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
F3: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable.
F4: At the Effective Time, each outstanding option to acquire shares of common stock of the Company became fully vested (to the extent unvested) and was cancelled and converted into the right to receive the product of (1) the excess, if any, of the Merger Consideration over the applicable exercise price of such option, multiplied by (2) the total number of shares of common stock of the Company subject to such option, subject to applicable withholding taxes. Any options that had an exercise price per share that was equal to or greater than the Merger Consideration were cancelled for no consideration.
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 |
|---|---|---|---|---|---|---|
| October 20, 2022 Filed Oct 21, 2022 22:01 UTC | KKR & Co. Inc. KKR · Entity 338 | GrantCommon Stock | 4,134 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-038122 · form4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 89,592 F1 · kind: Represents restricted stock units of KKR & Co. Inc., which were approved for grant under the Amended and Restated KKR & Co. Inc. 2019 Equity Incentive Plan and will vest on October 1, 2023. Upon vesting, each restricted stock unit will be settled by delivery of one share of common stock of KKR & Co. Inc. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. Read SEC document |
| December 09, 2021 Filed Dec 10, 2021 22:07 UTC | KKR & Co. Inc. KKR · Entity 338 | GrantCommon Stock | 2,479 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-041243 · form4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 85,458 F1 · kind: Represents restricted stock units of KKR & Co. Inc., which were approved for grant under the Amended and Restated KKR & Co. Inc. 2019 Equity Incentive Plan and will generally vest on October 1, 2022. Upon vesting, each restricted stock unit will be settled by delivery of one share of common stock of KKR & Co. Inc. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. Read SEC document |
| November 02, 2020 Filed Nov 5, 2020 01:00 UTC | KKR & Co. Inc. KKR · Entity 338 | GrantCommon Stock | 4,280 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-024582 · form4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 82,979 F1 · kind: Represents restricted stock units of KKR & Co. Inc., which were approved for grant under the KKR & Co. Inc. 2019 Equity Incentive Plan and will generally vest on October 1, 2021. Upon vesting, each restricted stock unit will be settled by delivery of one share of common stock of KKR & Co. Inc. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. Read SEC document |
| October 30, 2019 Filed Nov 1, 2019 22:03 UTC | KKR & Co. Inc. KKR · Entity 338 | GrantClass A Common Stock | 5,205 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-19-019652 · form4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 78,699 F1 · kind: Represents restricted stock units of KKR & Co. Inc., which were approved for grant under the KKR & Co. Inc. 2019 Equity Incentive Plan and will generally vest on October 1, 2020. Upon vesting, each restricted stock unit will be settled by delivery of one share of Class A common stock of KKR & Co. Inc. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. Read SEC document |
| October 01, 2019 Filed Oct 3, 2019 22:07 UTC | KKR & Co. Inc. KKR · Entity 338 | Exercise / conversionRestricted Stock Units · Derivative | 6,539 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-19-017972 · form4.xml · derivative · entry 2 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 6,539 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 6,539 restricted stock units of KKR & Co. Inc. vested on October 1, 2019 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis. F1 · derivative.exercise_date: 6,539 restricted stock units of KKR & Co. Inc. vested on October 1, 2019 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis. F1 · derivative.expiration_date: 6,539 restricted stock units of KKR & Co. Inc. vested on October 1, 2019 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. Read SEC document |
| October 01, 2019 Filed Oct 3, 2019 22:07 UTC | KKR & Co. Inc. KKR · Entity 338 | Exercise / conversionClass A Common Stock | 6,539 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-19-017972 · form4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 73,494 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 6,539 restricted stock units of KKR & Co. Inc. vested on October 1, 2019 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. Read SEC document |
| October 26, 2018 Filed Oct 29, 2018 22:28 UTC | KKR & Co. Inc. KKR · Entity 338 | GrantRestricted Stock Units · Derivative | 6,539 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-041532 · form4.xml · derivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,539 Underlying: Class A Common Stock · 6,539 shares Expires not disclosed F1 · derivative.exercise_price: These restricted stock units of KKR & Co. Inc. were approved for grant under the Amended and Restated KKR & Co. Inc. 2010 Equity Incentive Plan and will generally vest on October 1, 2019. Upon vesting, each restricted stock unit may be settled by delivery of one share of Class A common stock of KKR & Co. Inc. F1 · derivative.exercise_date: These restricted stock units of KKR & Co. Inc. were approved for grant under the Amended and Restated KKR & Co. Inc. 2010 Equity Incentive Plan and will generally vest on October 1, 2019. Upon vesting, each restricted stock unit may be settled by delivery of one share of Class A common stock of KKR & Co. Inc. F1 · derivative.expiration_date: These restricted stock units of KKR & Co. Inc. were approved for grant under the Amended and Restated KKR & Co. Inc. 2010 Equity Incentive Plan and will generally vest on October 1, 2019. Upon vesting, each restricted stock unit may be settled by delivery of one share of Class A common stock of KKR & Co. Inc. F2 · ownership.nature: These securities are held by the Reporting Person's living trust and were transferred to the Reporting Person's living trust in transactions exempt from reporting under Rule 16a-13 under the Securities Exchange Act of 1934. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 21:37 UTC | KKR & Co. Inc. KKR · Entity 338 | Exercise / conversionRestricted Stock Units · Derivative | 7,372 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-040072 · form4.xml · derivative · entry 2 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 7,372 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 7,372 restricted stock units of KKR & Co. Inc. vested on October 1, 2018 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis. F1 · derivative.exercise_date: 7,372 restricted stock units of KKR & Co. Inc. vested on October 1, 2018 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis. F1 · derivative.expiration_date: 7,372 restricted stock units of KKR & Co. Inc. vested on October 1, 2018 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 21:37 UTC | KKR & Co. Inc. KKR · Entity 338 | Exercise / conversionClass A Common Stock | 7,372 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-040072 · form4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 66,955 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 7,372 restricted stock units of KKR & Co. Inc. vested on October 1, 2018 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. Read SEC document |
| July 19, 2018 Filed Jul 23, 2018 14:22 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $27.17 | $0.00 |
DisclosureSEC source: 0001209191-18-043592 · doc4.xml · derivative · entry 7 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires not disclosed F4 · derivative.exercise_date: At the Effective Time, each outstanding option to acquire shares of common stock of the Company became fully vested (to the extent unvested) and was cancelled and converted into the right to receive the product of (1) the excess, if any, of the Merger Consideration over the applicable exercise price of such option, multiplied by (2) the total number of shares of common stock of the Company subject to such option, subject to applicable withholding taxes. Any options that had an exercise price per share that was equal to or greater than the Merger Consideration were cancelled for no consideration. F4 · derivative.expiration_date: At the Effective Time, each outstanding option to acquire shares of common stock of the Company became fully vested (to the extent unvested) and was cancelled and converted into the right to receive the product of (1) the excess, if any, of the Merger Consideration over the applicable exercise price of such option, multiplied by (2) the total number of shares of common stock of the Company subject to such option, subject to applicable withholding taxes. Any options that had an exercise price per share that was equal to or greater than the Merger Consideration were cancelled for no consideration. Read SEC document |
| July 19, 2018 Filed Jul 23, 2018 14:22 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Disposition to issuerRestricted Stock Units · Derivative | 4,482 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043592 · doc4.xml · derivative · entry 6 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,482 shares Expires not disclosed F3 · derivative.exercise_date: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. F3 · derivative.expiration_date: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. Read SEC document |
| July 19, 2018 Filed Jul 23, 2018 14:22 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Disposition to issuerRestricted Stock Units · Derivative | 2,567 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043592 · doc4.xml · derivative · entry 5 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,567 shares Expires not disclosed F3 · derivative.exercise_date: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. F3 · derivative.expiration_date: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. Read SEC document |
| July 19, 2018 Filed Jul 23, 2018 14:22 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Disposition to issuerRestricted Stock Units · Derivative | 2,517 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043592 · doc4.xml · derivative · entry 4 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,517 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F3 · derivative.exercise_date: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. F3 · derivative.expiration_date: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. Read SEC document |
| July 19, 2018 Filed Jul 23, 2018 14:22 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Disposition to issuerRestricted Stock Units · Derivative | 1,224 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043592 · doc4.xml · derivative · entry 3 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,224 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F3 · derivative.exercise_date: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. F3 · derivative.expiration_date: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. Read SEC document |
| July 19, 2018 Filed Jul 23, 2018 14:22 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Disposition to issuerCommon Stock | 110,500 | $45.00 | $4,972,500.00 |
DisclosureSEC source: 0001209191-18-043592 · doc4.xml · nonDerivative · entry 2 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · The Grundfest Living Trust U/T/A DD 8/25/97 Disclosed balance after: 0 F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2018, by and among Financial Engines, Inc. (the "Company"), Edelman Financial, L.P., (the "Parent"), and Flashdance Merger Sub, Inc. ("Merger Sub"), a copy of which is filed as Exhibit 2.1 to the Company's Form 8-K filed with the SEC on May 2, 2018, pursuant to which the Company became a wholly-owned subsidiary of Parent (the "Merger") on July 19, 2018 (the "Effective Time"). At the Effective Time, each issued and outstanding share of common stock of the Company was cancelled and converted into the right to receive $45.00 in cash, (the "Merger Consideration") without interest and subject to applicable withholding taxes. Read SEC document |
| July 19, 2018 Filed Jul 23, 2018 14:22 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Disposition to issuerCommon Stock | 26,290 | $45.00 | $1,183,050.00 |
DisclosureSEC source: 0001209191-18-043592 · doc4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2018, by and among Financial Engines, Inc. (the "Company"), Edelman Financial, L.P., (the "Parent"), and Flashdance Merger Sub, Inc. ("Merger Sub"), a copy of which is filed as Exhibit 2.1 to the Company's Form 8-K filed with the SEC on May 2, 2018, pursuant to which the Company became a wholly-owned subsidiary of Parent (the "Merger") on July 19, 2018 (the "Effective Time"). At the Effective Time, each issued and outstanding share of common stock of the Company was cancelled and converted into the right to receive $45.00 in cash, (the "Merger Consideration") without interest and subject to applicable withholding taxes. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 20:37 UTC | Financial Engines, Inc. FNGN · Entity 164820 | SaleCommon Stock | 27,250 | $44.82 | $1,221,470.35 |
DisclosureSEC source: 0001209191-18-037133 · doc4.xml · nonDerivative · entry 3 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · The Grundfest Living Trust U/T/A DD 8/25/97 Disclosed balance after: 110,500 F1 · price: The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $44.80 to $44.825 inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 20:37 UTC | Financial Engines, Inc. FNGN · Entity 164820 | GiftCommon Stock | 22,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-037133 · doc4.xml · nonDerivative · entry 2 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · The Grundfest Living Trust U/T/A DD 8/25/97 Disclosed balance after: 137,750 Read SEC document |
| May 23, 2018 Filed May 23, 2018 19:01 UTC | Financial Engines, Inc. FNGN · Entity 164820 | GrantRestricted Stock Units · Derivative | 4,482 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-032757 · doc4.xml · derivative · entry 4 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,482 Underlying: Common Stock · 4,482 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F3 · derivative.expiration_date: No expiration date. Read SEC document |
| May 21, 2018 Filed May 23, 2018 19:01 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionRestricted Stock Units · Derivative | 1,255 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-032757 · doc4.xml · derivative · entry 3 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,255 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F2 · derivative.exercise_date: The Restricted Stock units vest in four equal annual installments beginning 5/21/15. F3 · derivative.expiration_date: No expiration date. Read SEC document |
| May 21, 2018 Filed May 23, 2018 19:01 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionCommon Stock | 1,255 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-032757 · doc4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,290 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 |
| May 15, 2018 Filed May 17, 2018 17:59 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionRestricted Stock Units · Derivative | 2,568 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031130 · doc4.xml · derivative · entry 5 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,567 Underlying: Common Stock · 2,568 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F5 · derivative.exercise_date: The restricted stock units vest in two annual installments beginning 5/15/18. F3 · derivative.expiration_date: No Expiration date. Read SEC document |
| May 15, 2018 Filed May 17, 2018 17:59 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionRestricted Stock Units · Derivative | 2,517 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031130 · doc4.xml · derivative · entry 4 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,517 Underlying: Common Stock · 2,517 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F4 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning 05/15/17. F3 · derivative.expiration_date: No Expiration date. Read SEC document |
| May 15, 2018 Filed May 17, 2018 17:59 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionRestricted Stock Units · Derivative | 1,224 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031130 · doc4.xml · derivative · entry 3 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,224 Underlying: Common Stock · 1,224 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F2 · derivative.exercise_date: The Restricted Stock units vest in four equal installments beginning 5/15/16. F3 · derivative.expiration_date: No Expiration date. Read SEC document |
| May 15, 2018 Filed May 17, 2018 17:59 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionCommon Stock | 6,309 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031130 · doc4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,035 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 |
| October 27, 2017 Filed Oct 30, 2017 22:23 UTC | KKR & Co. Inc. KKR · Entity 338 | GrantRestricted Equity Units · Derivative | 7,372 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-040104 · form4.xml · derivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,372 Underlying: Common Units · 7,372 shares Expires not disclosed F1 · derivative.exercise_price: These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2018. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P. F1 · derivative.exercise_date: These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2018. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P. F1 · derivative.expiration_date: These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2018. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P. F2 · ownership.nature: These Securities are held by the Reporting Person's living trust and were transferred to the Reporting Person's living trust in transactions exempt from reporting under Rule 16a-13 under the Securities Exchange Act of 1934. Read SEC document |
| October 01, 2017 Filed Oct 3, 2017 22:24 UTC | KKR & Co. Inc. KKR · Entity 338 | Exercise / conversionRestricted Equity Units · Derivative | 10,088 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-037452 · form4.xml · derivative · entry 2 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Units · 10,088 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 10,088 restricted equity units of KKR & Co. L.P. vested on October 1, 2017 and were settled for common units of KKR & Co. L.P. on a one-for-one basis. F1 · derivative.exercise_date: 10,088 restricted equity units of KKR & Co. L.P. vested on October 1, 2017 and were settled for common units of KKR & Co. L.P. on a one-for-one basis. F1 · derivative.expiration_date: 10,088 restricted equity units of KKR & Co. L.P. vested on October 1, 2017 and were settled for common units of KKR & Co. L.P. on a one-for-one basis. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. Read SEC document |
| October 01, 2017 Filed Oct 3, 2017 22:24 UTC | KKR & Co. Inc. KKR · Entity 338 | Exercise / conversionCommon Units | 10,088 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-037452 · form4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 59,583 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 10,088 restricted equity units of KKR & Co. L.P. vested on October 1, 2017 and were settled for common units of KKR & Co. L.P. on a one-for-one basis. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. Read SEC document |
| May 24, 2017 Filed May 25, 2017 19:50 UTC | Financial Engines, Inc. FNGN · Entity 164820 | GrantRestricted Stock Units · Derivative | 5,135 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-035609 · doc4.xml · derivative · entry 3 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,135 Underlying: Common Stock · 5,135 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F2 · derivative.exercise_date: The restricted stock units vest in two annual installments beginning 5/15/18. F3 · derivative.expiration_date: No Expiration date. Read SEC document |
| May 22, 2017 Filed May 23, 2017 20:11 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionRestricted Stock Units · Derivative | 1,250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-034760 · doc4.xml · derivative · entry 5 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F4 · derivative.exercise_date: The Restricted stock units vest in four equal annual installments beginning 5/22/14 F3 · derivative.expiration_date: No expiration date. Read SEC document |
| May 22, 2017 Filed May 23, 2017 20:11 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionCommon Stock | 1,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-034760 · doc4.xml · nonDerivative · entry 2 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,726 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 |
| May 21, 2017 Filed May 23, 2017 20:11 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionRestricted Stock Units · Derivative | 1,255 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-034760 · doc4.xml · derivative · entry 4 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,255 Underlying: Common Stock · 1,255 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F2 · derivative.exercise_date: The Restricted Stock units vest in four equal annual installments beginning 5/21/15. F3 · derivative.expiration_date: No expiration date. Read SEC document |
| May 21, 2017 Filed May 23, 2017 20:11 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionCommon Stock | 1,255 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-034760 · doc4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,476 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 |
| May 15, 2017 Filed May 17, 2017 16:46 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionRestricted Stock Units · Derivative | 2,517 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-033155 · doc4.xml · derivative · entry 4 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,034 Underlying: Common Stock · 2,517 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F4 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning 05/15/17. F3 · derivative.expiration_date: No Expiration date. Read SEC document |
| May 15, 2017 Filed May 17, 2017 16:46 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionRestricted Stock Units · Derivative | 1,223 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-033155 · doc4.xml · derivative · entry 3 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,448 Underlying: Common Stock · 1,223 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F2 · derivative.exercise_date: The Restricted Stock units vest in four equal installments beginning 5/15/16. F3 · derivative.expiration_date: No Expiration date. Read SEC document |
| May 15, 2017 Filed May 17, 2017 16:46 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Exercise / conversionCommon Stock | 3,740 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-033155 · doc4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,221 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 02, 2017 Filed Mar 3, 2017 19:07 UTC | Financial Engines, Inc. FNGN · Entity 164820 | SaleCommon Stock | 50,000 | $45.30 | $2,264,940.00 |
DisclosureSEC source: 0001209191-17-018039 · doc4.xml · nonDerivative · entry 2 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · The Grundfest Living Trust U/T/A DD 8/25/97 Disclosed balance after: 160,000 F1 · price: The price reported in Col 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $44.95 to $45.70 inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| October 26, 2016 Filed Oct 28, 2016 22:03 UTC | KKR & Co. Inc. KKR · Entity 338 | GrantRestricted Equity Units · Derivative | 10,088 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-083914 · form4.xml · derivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 10,088 Underlying: Common Units · 10,088 shares Expires not disclosed F1 · derivative.exercise_price: These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2017. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P. F1 · derivative.exercise_date: These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2017. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P. F1 · derivative.expiration_date: These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2017. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. All restricted equity units referred to in footnote 1 were transferred to the Reporting Person's living trust in transactions exempt from reporting under Rule 16a-13 under the Securities Exchange Act of 1934. Read SEC document |
| October 01, 2016 Filed Oct 4, 2016 22:01 UTC | KKR & Co. Inc. KKR · Entity 338 | Exercise / conversionRestricted Equity Units · Derivative | 6,219 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-16-148676 · a4.xml · derivative · entry 2 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Units · 6,219 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis. F1 · derivative.exercise_date: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis. F1 · derivative.expiration_date: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. Read SEC document |
| October 01, 2016 Filed Oct 4, 2016 22:01 UTC | KKR & Co. Inc. KKR · Entity 338 | Exercise / conversionCommon Units | 6,219 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-148676 · a4.xml · nonDerivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 49,495 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis. F2 · ownership.nature: These securities are held by the Reporting Person's living trust. Read SEC document |
| May 31, 2006 Filed Jun 1, 2006 14:30 UTC | ORACLE CORP ORCL · Entity 2805 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $14.02 | $0.00 |
DisclosureSEC source: 0001335064-06-000005 · primary_doc.xml · derivative · entry 1 GRUNDFEST JOSEPH · CIK 0001206103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2016-05-31 F1 · derivative.exercise_date: Option vests 25% annually on anniversary of grant date. 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.