Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Atomera IncATOM · Entity 1513 | Director · See Remarks | March 01, 2021 | March 04, 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.
Atomera Inc
Report date March 01, 2021 · Filed March 04, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 97,212 |
Reported balance
After 2021-03-01 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2021-03-01 · Sale · Disposed 528 · Balance 97,212 F1: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction. |
| Common StockSEC Table I · non-derivative | Direct | 109,212 |
Reported balance
After 2021-03-01 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2021-03-01 · Exercise / conversion · Acquired 12,000 · Balance 109,212 F2: The option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and exercised from a previously reported total. |
| Common StockSEC Table I · non-derivative | Direct | 97.212 |
Reported balance
After 2021-03-01 transaction · row 3
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 3 · 2021-03-01 · Sale · Disposed 12,000 · Balance 97.212 F3: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. |
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.01 · Expires 2027-03-20 | Direct | 12,169 |
Reported balance
After 2021-03-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-03-01 · Exercise / conversion · Disposed 12,000 · Balance 12,169 F2: The option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and exercised from a previously reported total. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.
F2: The option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and exercised from a previously reported total.
F3: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
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 |
|---|---|---|---|---|---|---|
| March 01, 2021 Filed Mar 4, 2021 02:37 UTC | Atomera Inc ATOM · Entity 1513 | Exercise / conversionStock Options (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $7.01 | $0.00 |
DisclosureSEC source: 0001683168-21-000771 · ownership.xml · derivative · entry 4 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,169 Underlying: Common Stock · 12,000 shares Expires 2027-03-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: The option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and exercised from a previously reported total. Read SEC document |
| March 01, 2021 Filed Mar 4, 2021 02:37 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 12,000 | $27.37 | $328,440.00 |
DisclosureSEC source: 0001683168-21-000771 · ownership.xml · nonDerivative · entry 3 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97.212 F3 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| March 01, 2021 Filed Mar 4, 2021 02:37 UTC | Atomera Inc ATOM · Entity 1513 | Exercise / conversionCommon Stock | 12,000 | $7.01 | $84,120.00 |
DisclosureSEC source: 0001683168-21-000771 · ownership.xml · nonDerivative · entry 2 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,212 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: The option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and exercised from a previously reported total. Read SEC document |
| March 01, 2021 Filed Mar 4, 2021 02:37 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 528 | $27.67 | $14,609.76 |
DisclosureSEC source: 0001683168-21-000771 · ownership.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,212 F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| December 01, 2020 Filed Dec 4, 2020 00:49 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 456 | $9.50 | $4,332.00 |
DisclosureSEC source: 0001683168-20-004167 · ownership.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,740 F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| September 01, 2020 Filed Sep 3, 2020 23:41 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 455 | $12.92 | $5,878.60 |
DisclosureSEC source: 0001683168-20-003025 · ownership.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,196 F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| June 01, 2020 Filed Jun 2, 2020 20:06 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 635 | $8.58 | $5,448.30 |
DisclosureSEC source: 0001683168-20-001819 · ownership.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,651 F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| March 11, 2020 Filed Mar 14, 2020 00:05 UTC | Atomera Inc ATOM · Entity 1513 | GrantStock Options (Right to Buy) · Derivative | 16,160 | $0.00 Strike: $4.06 | $0.00 |
DisclosureSEC source: 0001683168-20-000815 · ownership.xml · derivative · entry 2 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,160 Underlying: Common Stock · 16,160 shares Expires 2030-03-11 F2 · derivative.exercise_date: One-year vesting in equal quarterly installments beginning on June 1, 2020. Read SEC document |
| March 11, 2020 Filed Mar 14, 2020 00:05 UTC | Atomera Inc ATOM · Entity 1513 | GrantCommon Stock | 7,392 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-20-000815 · ownership.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,286 F1 · shares: Represents shares issued pursuant to a Restricted Stock Agreement. Risk of forfeiture lapses over one year in equal quarterly increments beginning on June 1, 2020. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 20:50 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 690 | $4.23 | $2,918.70 |
DisclosureSEC source: 0001683168-20-000674 · ownership.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,894 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 22:44 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 586 | $2.95 | $1,728.70 |
DisclosureSEC source: 0001683168-19-003889 · ownership.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,584 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| September 03, 2019 Filed Sep 5, 2019 22:18 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 593 | $3.88 | $2,300.84 |
DisclosureSEC source: 0001209191-19-048623 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,170 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported in Table I on the Form 4 filed March 1, 2019. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| June 04, 2019 Filed Jun 6, 2019 00:04 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 515 | $4.50 | $2,317.50 |
DisclosureSEC source: 0001209191-19-034960 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,763 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported in Table I on the Form 4 filed March 1, 2019. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 23:23 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 658 | $3.72 | $2,447.76 |
DisclosureSEC source: 0001209191-19-016950 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,278 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported in Table I on the Form 4 filed March 6, 2018. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| February 27, 2019 Filed Mar 1, 2019 21:21 UTC | Atomera Inc ATOM · Entity 1513 | GrantEmployee Stock Option (Right to Buy) · Derivative | 16,026 | $0.00 Strike: $3.90 | $0.00 |
DisclosureSEC source: 0001209191-19-014975 · doc4.xml · derivative · entry 2 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,026 Underlying: Common Stock · 16,026 shares Expires 2029-02-27 F1 · derivative.exercise_date: 25% shall vest each quarter for the next 12 months commencing on June 1, 2019. Read SEC document |
| February 27, 2019 Filed Mar 1, 2019 21:21 UTC | Atomera Inc ATOM · Entity 1513 | GrantCommon Stock | 6,410 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-014975 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,936 F1 · shares: 25% shall vest each quarter for the next 12 months commencing on June 1, 2019. Read SEC document |
| December 03, 2018 Filed Dec 5, 2018 00:58 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 581 | $3.47 | $2,016.07 |
DisclosureSEC source: 0001209191-18-061087 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,526 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported in Table I on the Form 4 filed March 6, 2018. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| September 04, 2018 Filed Sep 5, 2018 23:08 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 575 | $5.22 | $3,001.50 |
DisclosureSEC source: 0001209191-18-049660 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,107 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock grant that was previously reported in Table I on the Form 4 filed on March 6, 2018. This sale is to satisfy tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 21:45 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 547 | $5.95 | $3,254.65 |
DisclosureSEC source: 0001209191-18-035881 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,682 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock grant that was previously reported in Table I on the Form 4 filed on March 6, 2018. This sale is to satisfy tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| March 02, 2018 Filed Mar 7, 2018 00:09 UTC | Atomera Inc ATOM · Entity 1513 | GrantEmployee Stock Option (Right to Buy) · Derivative | 12,688 | $0.00 Strike: $5.64 | $0.00 |
DisclosureSEC source: 0001209191-18-017505 · doc4.xml · derivative · entry 2 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,688 Underlying: Common Stock · 12,688 shares Expires 2028-03-02 F1 · derivative.exercise_date: 25% shall vest each quarter for the next 12 months commencing on June 1, 2018. Read SEC document |
| March 02, 2018 Filed Mar 7, 2018 00:09 UTC | Atomera Inc ATOM · Entity 1513 | GrantCommon Stock | 6,352 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-017505 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,229 F1 · shares: 25% shall vest each quarter for the next 12 months commencing on June 1, 2018. Read SEC document |
| March 01, 2018 Filed Mar 2, 2018 22:29 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 368 | $6.09 | $2,241.12 |
DisclosureSEC source: 0001209191-18-015866 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,877 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock grant that was previously reported in Table I on the Form 4 filed on March 22, 2017. This sale is to satisfy tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| December 01, 2017 Filed Dec 5, 2017 21:33 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 2,178 | $3.80 | $8,276.40 |
DisclosureSEC source: 0001209191-17-063941 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,245 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock grant that was previously reported in Table I on the Form 4 filed on March 22, 2017. This sale is to satisfy tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| September 01, 2017 Filed Sep 6, 2017 22:06 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 683 | $4.05 | $2,766.29 |
DisclosureSEC source: 0001209191-17-051730 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,423 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of a restricted stock grant that was previously reported in Table I on the Form 4 filed on March 22, 2017. This sale is to satisfy tax withholding obligations by a "sell to cover" transaction. Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 21:45 UTC | Atomera Inc ATOM · Entity 1513 | SaleCommon Stock | 53,910 | $4.41 | $237,559.81 |
DisclosureSEC source: 0001209191-17-048801 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,106 F1 · kind: Represents sale of shares made by reporting person for purposes of satisfying tax obligation incurred upon the vesting of restricted stock. Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 22:57 UTC | Atomera Inc ATOM · Entity 1513 | GrantEmployee Stock Option (Right to Buy) · Derivative | 24,169 | $0.00 Strike: $7.01 | $0.00 |
DisclosureSEC source: 0001209191-17-022424 · doc4.xml · derivative · entry 2 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,169 Underlying: Common Stock · 24,169 shares Expires 2027-03-20 F1 · derivative.exercise_date: 50% shall vest on September 1, 2017 and 25% shall vest each quarter thereafter for the next 6 months commencing on December 1, 2017. Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 22:57 UTC | Atomera Inc ATOM · Entity 1513 | GrantCommon Stock | 3,521 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-022424 · doc4.xml · nonDerivative · entry 1 Trautmann Erwin · CIK 0001680614 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,016 F1 · shares: 50% shall vest on September 1, 2017 and 25% shall vest each quarter thereafter for the next 6 months commencing on December 1, 2017. 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.