Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AGENUS INCAGEN · Entity 5774 | Director | April 01, 2021 | April 05, 2021 |
| AGILENT TECHNOLOGIES, INC.A · Entity 3062 | Director | March 18, 2021 | March 22, 2021 |
| BIOLASE, INCBIOL · Entity 11470 | Director | June 30, 2017 | July 03, 2017 |
| Keysight Technologies, Inc.KEYS · Entity 3021 | Director | March 19, 2021 | March 23, 2021 |
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.
AGENUS INC
Report date April 01, 2021 · Filed April 05, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 5,092.613 |
Reported balance
After 2021-04-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-04-01 · Grant · Acquired 5,092.613 · Balance 5,092.613 F1: Deferred Stock Units convert to shares of Common Stock on a 1 for 1 basis. F3: $3.682 per Deferred Stock Unit acquired on April 1, 2021. F2: Acquired under the Agenus Inc. Amended and Restated Directors' Compensation Plan, as amended (the "Plan"). Deferred Stock Units represent an equal amount of the Company's common stock to be distributed under the terms of the Plan, typically once the director ceases to serve as a director of the Company. |
Filing footnotes · ownership attribution and instrument terms
F1: Deferred Stock Units convert to shares of Common Stock on a 1 for 1 basis.
F2: Acquired under the Agenus Inc. Amended and Restated Directors' Compensation Plan, as amended (the "Plan"). Deferred Stock Units represent an equal amount of the Company's common stock to be distributed under the terms of the Plan, typically once the director ceases to serve as a director of the Company.
F3: $3.682 per Deferred Stock Unit acquired on April 1, 2021.
AGILENT TECHNOLOGIES, INC.
Report date March 18, 2021 · Filed March 22, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 95,234.318 |
Reported balance
After 2021-03-18 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-03-18 · Grant · Acquired 1,850 · Balance 95,234.318 F1: Shares acquired from award of Agilent Technologies, Inc. common stock for Non-Employee Directors that are fully vested upon grant. F2: 679.176 shares were acquired through the Agilent Technologies, Inc. dividend reinvestment plan |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired from award of Agilent Technologies, Inc. common stock for Non-Employee Directors that are fully vested upon grant.
F2: 679.176 shares were acquired through the Agilent Technologies, Inc. dividend reinvestment plan
BIOLASE, INC
Report date June 30, 2017 · Filed July 03, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 1,311,557 |
Reported balance
After 2017-06-30 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-06-30 · Conversion · Acquired 156,300 · Balance 1,311,557 F1: On June 30, 2017, as a result of receipt of the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated April 11, 2017 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on April 14, 2017), each share of Preferred Stock (as defined below) automatically converted into 100 shares of Common Stock, reflecting a conversion price equal to $1.24 per share. F2: The Common Stock is held directly by the Paul and Carolyn Clark Revocable Trust of 2009. Mr. Clark is the trustee of the Paul and Carolyn Clark Revocable Trust of 2009. |
| Series D Participating Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.24 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-06-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-06-30 · Conversion · Disposed 1,563 · Balance 0 F4: These shares of Series D Participating Convertible Preferred Stock ("Preferred Stock") were acquired by the Paul and Carolyn Clark Revocable Trust of 2009 in a private placement with the Issuer, which closed on April 18, 2017. F5: The Preferred Stock had no expiration date. F6: The Preferred Stock was held directly by the Paul and Carolyn Clark Revocable Trust of 2009. Mr. Clark is the trustee of the Paul and Carolyn Clark Revocable Trust of 2009. F7: The Reporting Person disclaims beneficial ownership of the Preferred Stock except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the Preferred Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 221,200 |
Reported balance
Holding disclosure · report date 2017-06-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 221,200 F3: The Common Stock is held directly by PNC Investments LLC. Mr. Clark is the sole managing member of PNC. |
| Common StockSEC Table I · non-derivative | Direct | 96,250 |
Reported balance
Holding disclosure · report date 2017-06-30 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 96,250 |
Filing footnotes · ownership attribution and instrument terms
F1: On June 30, 2017, as a result of receipt of the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated April 11, 2017 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on April 14, 2017), each share of Preferred Stock (as defined below) automatically converted into 100 shares of Common Stock, reflecting a conversion price equal to $1.24 per share.
F2: The Common Stock is held directly by the Paul and Carolyn Clark Revocable Trust of 2009. Mr. Clark is the trustee of the Paul and Carolyn Clark Revocable Trust of 2009.
F3: The Common Stock is held directly by PNC Investments LLC. Mr. Clark is the sole managing member of PNC.
F4: These shares of Series D Participating Convertible Preferred Stock ("Preferred Stock") were acquired by the Paul and Carolyn Clark Revocable Trust of 2009 in a private placement with the Issuer, which closed on April 18, 2017.
F5: The Preferred Stock had no expiration date.
F6: The Preferred Stock was held directly by the Paul and Carolyn Clark Revocable Trust of 2009. Mr. Clark is the trustee of the Paul and Carolyn Clark Revocable Trust of 2009.
F7: The Reporting Person disclaims beneficial ownership of the Preferred Stock except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the Preferred Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Keysight Technologies, Inc.
Report date March 19, 2021 · Filed March 23, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 73,620.3 |
Reported balance
After 2021-03-19 transaction · row 1
1 source rowRow 1 · 2021-03-19 · Grant · Acquired 1,631 · Balance 73,620.3 F1: Common stock underlying restricted stock units ("RSUs") granted pursuant to the 2014 Equity and Incentive Compensation Plan. The RSUs vested immediately. |
Filing footnotes · ownership attribution and instrument terms
F1: Common stock underlying restricted stock units ("RSUs") granted pursuant to the 2014 Equity and Incentive Compensation Plan. The RSUs vested immediately.
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 |
|---|---|---|---|---|---|---|
| April 01, 2021 Filed Apr 5, 2021 21:45 UTC | AGENUS INC AGEN · Entity 5774 | GrantDeferred Stock Units · Derivative | 5,092.613 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001745285-21-000013 · primary_doc.xml · derivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,092.613 Underlying: Common Stock · 5,092.613 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Stock Units convert to shares of Common Stock on a 1 for 1 basis. F3 · price: $3.682 per Deferred Stock Unit acquired on April 1, 2021. F2 · derivative.exercise_date: Acquired under the Agenus Inc. Amended and Restated Directors' Compensation Plan, as amended (the "Plan"). Deferred Stock Units represent an equal amount of the Company's common stock to be distributed under the terms of the Plan, typically once the director ceases to serve as a director of the Company. F2 · derivative.expiration_date: Acquired under the Agenus Inc. Amended and Restated Directors' Compensation Plan, as amended (the "Plan"). Deferred Stock Units represent an equal amount of the Company's common stock to be distributed under the terms of the Plan, typically once the director ceases to serve as a director of the Company. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 20:29 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 1,631 | $0.00 | $0.00 |
DisclosureSEC source: 0001601046-21-000024 · wf-form4_161653136722769.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,620.3 F1 · kind: Common stock underlying restricted stock units ("RSUs") granted pursuant to the 2014 Equity and Incentive Compensation Plan. The RSUs vested immediately. Read SEC document |
| March 18, 2021 Filed Mar 22, 2021 19:18 UTC | AGILENT TECHNOLOGIES, INC. A · Entity 3062 | GrantCommon Stock | 1,850 | $121.59 | $224,947.05 |
DisclosureSEC source: 0001127602-21-011653 · form4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,234.318 F1 · shares: Shares acquired from award of Agilent Technologies, Inc. common stock for Non-Employee Directors that are fully vested upon grant. F2 · balance_after: 679.176 shares were acquired through the Agilent Technologies, Inc. dividend reinvestment plan Read SEC document |
| December 17, 2020 Filed Dec 21, 2020 18:57 UTC | AGENUS INC AGEN · Entity 5774 | GrantStock Option (Right to buy) · Derivative | 100,000 | $0.00 Strike: $3.70 | $0.00 |
DisclosureSEC source: 0001745285-20-000046 · primary_doc.xml · derivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-12-17 F1 · derivative.exercise_date: Stock Option awarded in accordance with the Agenus Inc. 2019 Equity Incentive Plan. The Stock Option vests in full on December 17, 2021 (provided Mr. Clark continues to serve on the board on such date). Read SEC document |
| August 27, 2020 Filed Aug 31, 2020 13:59 UTC | AGENUS INC AGEN · Entity 5774 | GrantRestricted Stock Unit · Derivative | 11,786 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-023658 · doc4.xml · derivative · entry 2 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,786 Underlying: Common Stock · 11,786 shares Expires not disclosed F2 · derivative.exercise_price: Restricted Stock Unit granted in connection with Mr. Clark's appointment to the Executive Committee of the Board in accordance with the 2019 Plan. The award vests in full on August 27, 2021 (provided Mr. Clark maintains a service relationship with the company through each such vesting date). F2 · derivative.expiration_date: Restricted Stock Unit granted in connection with Mr. Clark's appointment to the Executive Committee of the Board in accordance with the 2019 Plan. The award vests in full on August 27, 2021 (provided Mr. Clark maintains a service relationship with the company through each such vesting date). Read SEC document |
| August 27, 2020 Filed Aug 31, 2020 13:59 UTC | AGENUS INC AGEN · Entity 5774 | GrantStock Option (Right to buy) · Derivative | 100,000 | $0.00 Strike: $4.03 | $0.00 |
DisclosureSEC source: 0000899243-20-023658 · doc4.xml · derivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-08-27 F1 · derivative.exercise_date: Stock Option awarded in connection with Mr. Clark's appointment to the Board of Directors (the "Board") in accordance with the Agenus Inc. 2019 Equity Incentive Plan (the "2019 Plan") and non-employee director compensation program. Stock option vests in three equal annual installments on each of August 27, 2021, 2022 and 2023 (provided Mr. Clark maintains a service relationship with the company through each such vesting date). Read SEC document |
| April 17, 2020 Filed Apr 21, 2020 23:34 UTC | AGILENT TECHNOLOGIES, INC. A · Entity 3062 | GrantCommon Stock | 3,081 | $73.01 | $224,940.73 |
DisclosureSEC source: 0001127602-20-014243 · form4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,705.142 F1 · shares: Shares acquired from award of Agilent Technologies, Inc. common stock for Non-Employee Directors that are fully vested upon grant. F2 · balance_after: 767.384 shares were acquired through the Agilent Technologies, Inc. dividend reinvestment plan Read SEC document |
| March 20, 2020 Filed Mar 23, 2020 21:56 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 270.915 | $0.00 | $0.00 |
DisclosureSEC source: 0001601046-20-000019 · wf-form4_158500057010625.xml · nonDerivative · entry 3 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,989.3 F3 · kind: The reporting person has elected to defer the committee retainer, and such cash has been converted into shares of common stock. The shares vested immediately and are held in a deferral account pursuant to the Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| March 20, 2020 Filed Mar 23, 2020 21:56 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 1,625.488 | $0.00 | $0.00 |
DisclosureSEC source: 0001601046-20-000019 · wf-form4_158500057010625.xml · nonDerivative · entry 2 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,718.385 F2 · kind: The reporting person has elected to defer the Board retainer, and such cash has been converted into shares of common stock. The shares vest quarterly, with 1/4th of the shares vesting on 3/20/20, and the remaining shares vesting on 6/20, 9/20, and 12/20 and are held in a deferral account pursuant to the Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| March 20, 2020 Filed Mar 23, 2020 21:56 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 2,438 | $0.00 | $0.00 |
DisclosureSEC source: 0001601046-20-000019 · wf-form4_158500057010625.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,092.897 F1 · kind: Common stock underlying restricted stock units ("RSUs") granted pursuant to the Keysight Technologies, Inc. 2014 Equity and Incentive Compensation Plan. The RSUs vested immediately. The reporting person has elected to defer these shares of common stock and such shares are held in a deferral account pursuant to the Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| March 27, 2019 Filed Mar 27, 2019 18:28 UTC | AGILENT TECHNOLOGIES, INC. A · Entity 3062 | SaleCommon Stock | 2,823 | $80.31 | $226,715.13 |
DisclosureSEC source: 0001127602-19-013351 · form4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,856.758 F1 · price: The weighted average sale price was $80.31 with a range of $80.11-$80.62. Read SEC document |
| March 22, 2019 Filed Mar 25, 2019 22:31 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 117.578 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-013147 · form4.xml · nonDerivative · entry 3 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,654.897 F3 · kind: The reporting person has elected to defer the committee retainer, and such cash has been converted into shares of common stock. The shares vested immediately and are held in a deferral account pursuant to the Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| March 22, 2019 Filed Mar 25, 2019 22:31 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 2,998.236 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-013147 · form4.xml · nonDerivative · entry 2 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,537.319 F2 · kind: The reporting person has elected to defer the Board retainer, and such cash has been converted into shares of common stock. The shares vest quarterly, with 1/4th of the shares vesting on 3/22/19, and the remaining shares vesting on 6/22, 9/22, and 12/22 and are held in a deferral account pursuant to the Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| March 22, 2019 Filed Mar 25, 2019 22:31 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 2,351 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-013147 · form4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,539.083 F1 · kind: Common stock underlying restricted stock units ("RSUs") pursuant to the Keysight Technologies, Inc. 2014 Equity Incentive Compensation Plan. The RSUs vested immediately. The reporting person has elected to defer these shares of common stock and such shares are held in a deferral account pursuant to the 2014 Equity Incentive Compensation Plan. Read SEC document |
| March 21, 2019 Filed Mar 22, 2019 18:22 UTC | AGILENT TECHNOLOGIES, INC. A · Entity 3062 | GrantCommon Stock | 2,823 | $82.00 | $231,486.00 |
DisclosureSEC source: 0001127602-19-012818 · form4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,679.758 F1 · shares: Shares acquired from award of Agilent Technologies, Inc. common stock for Non-Employee Directors that are fully vested upon grant. F2 · balance_after: 405.289 shares were acquired through the Agilent Technologies, Inc. dividend reinvestment plan Read SEC document |
| September 13, 2018 Filed Sep 14, 2018 19:02 UTC | AGILENT TECHNOLOGIES, INC. A · Entity 3062 | SaleCommon Stock | 2,876 | $68.60 | $197,293.60 |
DisclosureSEC source: 0001127602-18-027613 · form4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,451.469 F1 · price: The weighted average sale price was $68.60 with a range of $68.53 - $68.69. F2 · balance_after: 398.132 shares were acquired through the Agilent Technologies, Inc. dividend reinvestment plan Read SEC document |
| March 23, 2018 Filed Mar 26, 2018 20:37 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 194.894 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-012771 · form4.xml · nonDerivative · entry 3 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,188.083 F3 · kind: The reporting person has elected to defer the committee retainer, and such cash has been converted into shares of common stock. The shares vested immediately and are held in a deferral account pursuant to the Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| March 23, 2018 Filed Mar 26, 2018 20:37 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 4,969.791 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-012771 · form4.xml · nonDerivative · entry 2 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,993.189 F2 · kind: The reporting person has elected to defer the Board retainer, and such cash has been converted into shares of common stock. The shares vest quarterly, with 1/4th of the shares vesting on 3/23/18, and the remaining shares vesting on 6/23, 9/23, and 12/23 and are held in a deferral account pursuant to the Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| March 23, 2018 Filed Mar 26, 2018 20:37 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 3,897 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-012771 · form4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,023.398 F1 · kind: Common stock underlying restricted stock units ("RSUs") granted pursuant to the Keysight Technologies, Inc. 2014 Equity and Incentive Compensation Plan. The RSUs vested immediately. The reporting person has elected to defer these shares of common stock and such shares are held in a deferral account pursuant to the Defered Compensation Plan for Non-Employee Directors. Read SEC document |
| March 22, 2018 Filed Mar 23, 2018 22:28 UTC | AGILENT TECHNOLOGIES, INC. A · Entity 3062 | GrantCommon Stock | 2,876 | $67.47 | $194,043.72 |
DisclosureSEC source: 0001127602-18-012672 · form4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,929.337 F1 · shares: Shares acquired from award of Agilent Technologies, Inc. common stock for Non-Employee Directors that are fully vested upon grant. F2 · balance_after: 533.417 shares were acquired through the Agilent Technologies, Inc. dividend reinvestment plan Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 17:41 UTC | BIOLASE, INC BIOL · Entity 11470 | ConversionSeries D Participating Convertible Preferred Stock · Derivative | 1,563 | $0.00 Strike: $1.24 | $0.00 |
DisclosureSEC source: 0001209191-17-042882 · doc4.xml · derivative · entry 4 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 156,300 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. F4 · security: These shares of Series D Participating Convertible Preferred Stock ("Preferred Stock") were acquired by the Paul and Carolyn Clark Revocable Trust of 2009 in a private placement with the Issuer, which closed on April 18, 2017. F5 · derivative.expiration_date: The Preferred Stock had no expiration date. F6 · ownership.nature: The Preferred Stock was held directly by the Paul and Carolyn Clark Revocable Trust of 2009. Mr. Clark is the trustee of the Paul and Carolyn Clark Revocable Trust of 2009. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of the Preferred Stock except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the Preferred Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 17:41 UTC | BIOLASE, INC BIOL · Entity 11470 | ConversionCommon Stock | 156,300 | $1.24 | $193,812.00 |
DisclosureSEC source: 0001209191-17-042882 · doc4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 1,311,557 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On June 30, 2017, as a result of receipt of the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated April 11, 2017 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on April 14, 2017), each share of Preferred Stock (as defined below) automatically converted into 100 shares of Common Stock, reflecting a conversion price equal to $1.24 per share. F2 · ownership.nature: The Common Stock is held directly by the Paul and Carolyn Clark Revocable Trust of 2009. Mr. Clark is the trustee of the Paul and Carolyn Clark Revocable Trust of 2009. Read SEC document |
| May 25, 2017 Filed May 30, 2017 13:38 UTC | AGILENT TECHNOLOGIES, INC. A · Entity 3062 | SaleCommon Stock | 3,866 | $59.05 | $228,287.30 |
DisclosureSEC source: 0001127602-17-019606 · form4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,519.92 F1 · price: The weighted average sale price was $59.05 with a range of $58.97 - $59.19. F2 · balance_after: 207.285 shares were acquired through the Agilent Technologies, Inc. dividend reinvestment plan Read SEC document |
| May 10, 2017 Filed May 12, 2017 16:14 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantRestricted Stock Unit · Derivative | 67,782 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-031917 · doc4.xml · derivative · entry 2 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,782 Underlying: Common Stock · 67,782 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F3 · derivative.exercise_date: The restricted stock unit award fully vests and is immediately exercisable on the first anniversary of the date of the award. F3 · derivative.expiration_date: The restricted stock unit award fully vests and is immediately exercisable on the first anniversary of the date of the award. Read SEC document |
| May 10, 2017 Filed May 12, 2017 16:14 UTC | BIOLASE, INC BIOL · Entity 11470 | GrantStock Option (right to buy) · Derivative | 203,345 | $0.00 Strike: $1.21 | $0.00 |
DisclosureSEC source: 0001209191-17-031917 · doc4.xml · derivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 754,221 Underlying: Common Stock · 203,345 shares Expires 2027-05-10 F1 · derivative.exercise_date: The stock option vests and is exercisable in equal monthly installments over a consecutive 12-month period, commencing one month from the date of grant. Read SEC document |
| May 08, 2017 Filed May 10, 2017 16:11 UTC | BIOLASE, INC BIOL · Entity 11470 | Exercise / conversionRestricted Stock Unit · Derivative | 96,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-031227 · doc4.xml · derivative · entry 4 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 96,250 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 the right to receive, at settlement, one share of common stock. F4 · derivative.exercise_date: On May 6, 2016, the reporting person was granted 96,250 restricted stock units, which vested on May 6, 2017. F4 · derivative.expiration_date: On May 6, 2016, the reporting person was granted 96,250 restricted stock units, which vested on May 6, 2017. Read SEC document |
| May 08, 2017 Filed May 10, 2017 16:11 UTC | BIOLASE, INC BIOL · Entity 11470 | Exercise / conversionCommon Stock | 96,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-031227 · doc4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,250 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: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Read SEC document |
| April 18, 2017 Filed Apr 19, 2017 19:36 UTC | BIOLASE, INC BIOL · Entity 11470 | PurchaseWarrants (right to buy) · Derivative | 76,089 | $0.13 Strike: $1.80 | $9,511.13 |
DisclosureSEC source: 0001209191-17-027583 · doc4.xml · derivative · entry 2 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 76,089 Underlying: Common Stock · 76,089 shares Expires 2022-04-18 F3 · ownership.nature: The Series D Participating Preferred Stock is held directly by held by the Paul and Carolyn Clark Revocable Trust of 2009. Mr. Clark is the trustee of the Paul and Carolyn Clark Revocable Trust of 2009. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the Preferred Stock and Warrants except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the Preferred Stock or Warrants for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 18, 2017 Filed Apr 19, 2017 19:36 UTC | BIOLASE, INC BIOL · Entity 11470 | PurchaseSeries D Participating Convertible Preferred Stock · Derivative | 1,536 | $124.00 | $190,464.00 |
DisclosureSEC source: 0001209191-17-027583 · doc4.xml · derivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 1,536 Underlying: Common Stock · 156,300 shares Expires not disclosed F1 · security: These shares of Series D Participating Convertible Preferred Stock ("Preferred Stock") and Warrants were acquired by Paul and Carolyn Clark Revocable Trust of 2009 in a private placement with the Issuer that closed on April 18, 2017 (the "Closing"). F2 · derivative.exercise_price: Each share of Preferred Stock will initially be convertible into 100 shares of Common Stock ("Shares"), reflecting a conversion price equal to $1.24 per Share. The conversion of the Preferred Stock will occur automatically upon the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated April 11, 2017 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on April 14, 2017), which is expected to occur after the Closing. The Preferred Stock has no expiration date. F2 · derivative.exercise_date: Each share of Preferred Stock will initially be convertible into 100 shares of Common Stock ("Shares"), reflecting a conversion price equal to $1.24 per Share. The conversion of the Preferred Stock will occur automatically upon the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated April 11, 2017 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on April 14, 2017), which is expected to occur after the Closing. The Preferred Stock has no expiration date. F2 · derivative.expiration_date: Each share of Preferred Stock will initially be convertible into 100 shares of Common Stock ("Shares"), reflecting a conversion price equal to $1.24 per Share. The conversion of the Preferred Stock will occur automatically upon the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated April 11, 2017 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on April 14, 2017), which is expected to occur after the Closing. The Preferred Stock has no expiration date. F3 · ownership.nature: The Series D Participating Preferred Stock is held directly by held by the Paul and Carolyn Clark Revocable Trust of 2009. Mr. Clark is the trustee of the Paul and Carolyn Clark Revocable Trust of 2009. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the Preferred Stock and Warrants except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the Preferred Stock or Warrants for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| March 17, 2017 Filed Mar 20, 2017 19:34 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 4,720 | $39.02 | $184,174.40 |
DisclosureSEC source: 0001127602-17-012352 · form4.xml · nonDerivative · entry 3 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,126.398 F3 · kind: Common stock underlying restricted stock units ("RSUs") granted pursuant to the Keysight Technologies, Inc. 2014 Equity and Incentive Compensation Plan. The RSUs vested immediately. The reporting person has elected to defer these shares of common stock and such shares are held in a deferral account pursuant to the Defered Compensation Plan for Non-Employee Directors. Read SEC document |
| March 17, 2017 Filed Mar 20, 2017 19:34 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 262.261 | $39.02 | $10,233.42 |
DisclosureSEC source: 0001127602-17-012352 · form4.xml · nonDerivative · entry 2 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,406.398 F2 · kind: The reporting person has elected to defer the committee retainer, and such cash has been converted into shares of common stock. The shares vested immediately and are held in a deferral account pursuant to the Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| March 17, 2017 Filed Mar 20, 2017 19:34 UTC | Keysight Technologies, Inc. KEYS · Entity 3021 | GrantCommon Stock | 6,425.387 | $39.02 | $250,718.60 |
DisclosureSEC source: 0001127602-17-012352 · form4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,144.137 F1 · kind: The reporting person has elected to defer the Board retainer, and such cash has been converted into shares of common stock. The shares vest quarterly, with 1/4th of the shares vesting on 3/17/17, and the remaining shares vesting on 6/17, 9/17, and 12/17 and are held in a deferral account pursuant to the Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 22:42 UTC | AGILENT TECHNOLOGIES, INC. A · Entity 3062 | GrantCommon Stock | 3,866 | $53.05 | $205,091.30 |
DisclosureSEC source: 0001127602-17-012239 · form4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,178.635 F1 · shares: Shares acquired from award of Agilent Technologies, Inc. common stock for Non-Employee Directors that are fully vested upon grant. F2 · balance_after: 238.502 shares were acquired through the Agilent Technologies, Inc. dividend reinvestment plan Read SEC document |
| November 18, 2016 Filed Nov 18, 2016 22:12 UTC | AGILENT TECHNOLOGIES, INC. A · Entity 3062 | SaleCommon Stock | 4,704 | $45.31 | $213,138.24 |
DisclosureSEC source: 0001127602-16-067798 · form4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,074.133 F1 · price: The weighted average sale price was $45.31 with a range of $45.02 - $45.68. F2 · balance_after: 676.428 shares were acquired through the Agilent Technologies, Inc. dividend reinvestment plan Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 17:27 UTC | BIOLASE, INC BIOL · Entity 11470 | ConversionSeries C Participating Convertible Preferred Stock · Derivative | 2,212 | $0.00 Strike: $1.13 | $0.00 |
DisclosureSEC source: 0001209191-16-144510 · doc4.xml · derivative · entry 3 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 221,200 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. F4 · security: These shares of Series C Participating Convertible Preferred Stock ("Preferred Stock") were acquired by PNC in a private placement with the Issuer, which closed on August 8, 2016. F5 · derivative.expiration_date: The Preferred Stock had no expiration date. F6 · ownership.nature: The Preferred Stock was held directly by PNC. Mr. Clark is the sole managing member of PNC. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of the Preferred Stock except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the Preferred Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 17:27 UTC | BIOLASE, INC BIOL · Entity 11470 | ConversionCommon Stock | 221,200 | $1.13 | $249,956.00 |
DisclosureSEC source: 0001209191-16-144510 · doc4.xml · nonDerivative · entry 1 CLARK PAUL N · CIK 0001222248 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 221,200 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: On September 30, 2016, as a result of receipt of the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated August 1, 2016 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on August 2, 2016), each share of Preferred Stock (as defined below) automatically converted into 100 shares of Common Stock, reflecting a conversion price equal to $1.13 per share. F2 · ownership.nature: The Common Stock is held directly by PNC Investments LLC ("PNC"). Mr. Clark is the sole managing member of PNC. 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.