Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Penguin Solutions, Inc.SGH · Entity 4377 | Senior Vice President | March 15, 2021 | March 17, 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.
Penguin Solutions, Inc.
Report date March 15, 2021 · Filed March 17, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 115,666 |
Ending reported balance
After 2021-03-15 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-03-15 · Exercise / conversion · Acquired 3,250 · Balance 118,916 Row 2 · 2021-03-15 · Sale · Disposed 3,250 · Balance 115,666 F1: This transaction was executed in multiple trades at prices ranging from $45.63 to $46.22. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| Employee Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.55 · Expires 2026-05-23 | Direct | 39,630 |
Reported balance
After 2021-03-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-03-15 · Exercise / conversion · Disposed 3,250 · Balance 39,630 F2: Fully vested and exercisable. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $45.63 to $46.22. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F2: Fully vested and exercisable.
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 16, 2018 Filed Apr 17, 2018 17:53 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 300 | $44.03 | $13,208.31 |
DisclosureSEC source: 0000950103-18-004890 · dp89681_4-marten.xml · nonDerivative · entry 4 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,466 Read SEC document |
| April 16, 2018 Filed Apr 17, 2018 17:53 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,469 | $42.78 | $105,633.94 |
DisclosureSEC source: 0000950103-18-004890 · dp89681_4-marten.xml · nonDerivative · entry 3 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,766 Read SEC document |
| April 16, 2018 Filed Apr 17, 2018 17:53 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 4,931 | $42.39 | $209,015.72 |
DisclosureSEC source: 0000950103-18-004890 · dp89681_4-marten.xml · nonDerivative · entry 2 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,235 Read SEC document |
| April 16, 2018 Filed Apr 17, 2018 17:53 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 8,500 | $42.81 | $363,873.95 |
DisclosureSEC source: 0000950103-18-004890 · dp89681_4-marten.xml · nonDerivative · entry 1 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,166 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/24/2017. F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions within a one dollar price range, ranging in the aggregate from $41.6200 to $45.3400. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 19:22 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 8,500 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000950103-18-003502 · dp88311_4-marten.xml · derivative · entry 5 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,133 Underlying: Ordinary Shares · 8,500 shares Expires 2019-09-29 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. F3 · derivative.exercise_date: Fully vested and exercisable. F4 · balance_after: Amount reflects correction of prior Form 4 filed on February 15, 2018, which inadvertently reported such exercise and sale as occurring with respect to this option but which was instead with respect to an option on 8,811 shares at the same strike price, but with an expiration date of 9/23/2018 (which was incorrectly reported on the reporting person's Form 3 as being with respect to 26,666 shares). Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 19:22 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,795 | $42.34 | $75,997.61 |
DisclosureSEC source: 0000950103-18-003502 · dp88311_4-marten.xml · nonDerivative · entry 4 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,666 Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 19:22 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 4,499 | $41.71 | $187,645.64 |
DisclosureSEC source: 0000950103-18-003502 · dp88311_4-marten.xml · nonDerivative · entry 3 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,461 Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 19:22 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,206 | $40.68 | $89,736.99 |
DisclosureSEC source: 0000950103-18-003502 · dp88311_4-marten.xml · nonDerivative · entry 2 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,960 Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 19:22 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 8,500 | $41.57 | $353,379.85 |
DisclosureSEC source: 0000950103-18-003502 · dp88311_4-marten.xml · nonDerivative · entry 1 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,166 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions within a one dollar price range, ranging in the aggregate from $40.10 to $42.58. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4 Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 20:32 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 8,811 | $2.64 Strike: $2.64 | $23,261.04 |
DisclosureSEC source: 0000950103-18-002225 · dp86987_4-marten.xml · derivative · entry 5 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,822 Underlying: Common Stock · 8,811 shares Expires 2019-09-29 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 · derivative.exercise_date: Fully vested and exercisable. F5 · balance_after: Total has been corrected from amount listed on Alan Marten Form 3 filed May 23, 2017. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 20:32 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 100 | $34.50 | $3,450.00 |
DisclosureSEC source: 0000950103-18-002225 · dp86987_4-marten.xml · nonDerivative · entry 4 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,666 F1 · shares: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 24, 2017. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 20:32 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,922 | $33.61 | $64,598.42 |
DisclosureSEC source: 0000950103-18-002225 · dp86987_4-marten.xml · nonDerivative · entry 3 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,766 F1 · shares: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 24, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.21 to $34.0, inclusive. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 20:32 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 6,789 | $32.62 | $221,457.18 |
DisclosureSEC source: 0000950103-18-002225 · dp86987_4-marten.xml · nonDerivative · entry 2 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,688 F1 · shares: The reported securities were sold pursuant to a Rule 10b5-1 Plan adopted by the reporting person on October 24, 2017. F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $32.2 to $33.14, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 20:32 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 8,811 | $2.64 | $23,261.04 |
DisclosureSEC source: 0000950103-18-002225 · dp86987_4-marten.xml · nonDerivative · entry 1 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,477 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 |
| January 16, 2018 Filed Jan 18, 2018 18:34 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 8,700 | $2.64 Strike: $2.64 | $22,968.00 |
DisclosureSEC source: 0000950103-18-000583 · dp85290_4-marten.xml · derivative · entry 4 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,633 Underlying: Common Stock · 8,700 shares Expires 2019-09-29 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 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 18:34 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,000 | $36.44 | $36,440.00 |
DisclosureSEC source: 0000950103-18-000583 · dp85290_4-marten.xml · nonDerivative · entry 3 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,666 F1 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F2 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $35.13 to $36.01 and from $36.13 to $36.87. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the foregoing ranges. F3 · balance_after: Includes restricted stock units. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 18:34 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 7,700 | $35.63 | $274,351.00 |
DisclosureSEC source: 0000950103-18-000583 · dp85290_4-marten.xml · nonDerivative · entry 2 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,666 F1 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F2 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $35.13 to $36.01 and from $36.13 to $36.87. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the foregoing ranges. F3 · balance_after: Includes restricted stock units. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 18:34 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 8,700 | $2.64 | $22,968.00 |
DisclosureSEC source: 0000950103-18-000583 · dp85290_4-marten.xml · nonDerivative · entry 1 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,366 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. F3 · balance_after: Includes restricted stock units. Read SEC document |
| December 04, 2017 Filed Dec 6, 2017 17:47 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 25,000 | $32.10 | $802,500.00 |
DisclosureSEC source: 0000950103-17-012215 · dp83920_4-marten.xml · nonDerivative · entry 1 Marten Alan · CIK 0001344019 · Sr. VP, Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,666 F1 · price: The reporting person was a selling shareholder under a registration statement on Form S-1 of the Issuer. This price represents the public offering price of $33.50 per share less the underwriters' discount. F2 · balance_after: Includes restricted stock units. 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.