Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NETLIST INCNLST · Entity 4386 | Director | March 03, 2017 | March 08, 2017 |
| REED'S, INC.REED · Entity 7963 | Director | August 23, 2017 | August 28, 2017 |
| Sunworks, Inc.SUNW · Entity 95102 | Director | December 02, 2020 | December 02, 2020 |
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.
NETLIST INC
Report date March 03, 2017 · Filed March 08, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.98 · Expires 2017-03-03 | Direct | 20,000 |
Reported balance
After 2017-03-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-03-03 · Grant · Acquired 20,000 · Balance 20,000 F1: The options vest one hundred percent (100%) on March 3, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: The options vest one hundred percent (100%) on March 3, 2018.
REED'S, INC.
Report date August 23, 2017 · Filed August 28, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Reed's Common StockSEC Table I · non-derivative | Direct | 19,355 |
Reported balance
After 2017-08-23 transaction · row 1
1 source rowRow 1 · 2017-08-23 · Grant · Acquired 19,355 · Balance 19,355 |
Sunworks, Inc.
Report date December 02, 2020 · Filed December 02, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-12-02 transaction · row 1
1 source rowRow 1 · 2020-12-02 · Sale · Disposed 2,453 · Balance 0 |
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 |
|---|---|---|---|---|---|---|
| December 02, 2020 Filed Dec 2, 2020 19:44 UTC | Sunworks, Inc. SUNW · Entity 95102 | SaleCommon Stock | 2,453 | $3.98 | $9,762.94 |
DisclosureSEC source: 0001493152-20-022849 · ownership.xml · nonDerivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| November 27, 2020 Filed Nov 30, 2020 21:13 UTC | Sunworks, Inc. SUNW · Entity 95102 | Exercise / conversionOption to Purchase Common Stock · Derivative | 3,924 | $0.00 Strike: $2.10 | $0.00 |
DisclosureSEC source: 0001493152-20-022731 · ownership.xml · derivative · entry 4 CARGILE CHARLES F · CIK 0001213183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,218 Underlying: Common Stock · 3,924 shares Expires 2024-01-02 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 |
| November 27, 2020 Filed Nov 30, 2020 21:13 UTC | Sunworks, Inc. SUNW · Entity 95102 | SaleCommon Stock | 82,173 | $5.85 | $480,712.05 |
DisclosureSEC source: 0001493152-20-022731 · ownership.xml · nonDerivative · entry 3 CARGILE CHARLES F · CIK 0001213183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,453 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.70 to $5.98, 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. Read SEC document |
| November 27, 2020 Filed Nov 30, 2020 21:13 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 1,471 | $5.60 | $8,237.60 |
DisclosureSEC source: 0001493152-20-022731 · ownership.xml · nonDerivative · entry 2 CARGILE CHARLES F · CIK 0001213183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,626 Read SEC document |
| November 27, 2020 Filed Nov 30, 2020 21:13 UTC | Sunworks, Inc. SUNW · Entity 95102 | Exercise / conversionCommon Stock | 3,924 | $2.10 | $8,240.40 |
DisclosureSEC source: 0001493152-20-022731 · ownership.xml · nonDerivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,097 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 02, 2019 Filed Jan 3, 2019 16:10 UTC | Sunworks, Inc. SUNW · Entity 95102 | GrantOption to purchase common stock · Derivative | 43,000 | $0.00 Strike: $0.30 | $0.00 |
DisclosureSEC source: 0001493152-19-000123 · ownership.xml · derivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,000 Underlying: Common Stock · 43,000 shares Expires 2024-01-02 F1 · security: The Option vests over a 36 month period in 1/36 increments commencing on the date of grant. Read SEC document |
| November 15, 2018 Filed Nov 15, 2018 19:20 UTC | Sunworks, Inc. SUNW · Entity 95102 | PurchaseCommon Stock | 14,153 | $0.42 | $5,884.82 |
DisclosureSEC source: 0001493152-18-016308 · ownership.xml · nonDerivative · entry 2 CARGILE CHARLES F · CIK 0001213183 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · see footnote Disclosed balance after: 340,101 F2 · price: This sales price reflects a weighted average of multiple prices ranging from $0.43 to $0.39. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request. F3 · ownership.nature: Represents shares acquired by The Cargile Family Trust (the "Trust"). Charles Cargile is the Trustee of the Trust and in such capacity has voting and dispositive control over the securities held by such entity. Read SEC document |
| November 14, 2018 Filed Nov 15, 2018 19:20 UTC | Sunworks, Inc. SUNW · Entity 95102 | PurchaseCommon Stock | 10,847 | $0.43 | $4,688.07 |
DisclosureSEC source: 0001493152-18-016308 · ownership.xml · nonDerivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · see footnote Disclosed balance after: 325,948 F1 · price: This sales price reflects a weighted average of multiple prices ranging from $0.43 to $0.4299. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request. F3 · ownership.nature: Represents shares acquired by The Cargile Family Trust (the "Trust"). Charles Cargile is the Trustee of the Trust and in such capacity has voting and dispositive control over the securities held by such entity. Read SEC document |
| August 14, 2018 Filed Aug 14, 2018 18:27 UTC | Sunworks, Inc. SUNW · Entity 95102 | PurchaseCommon Stock | 20,000 | $0.70 | $13,976.00 |
DisclosureSEC source: 0001493152-18-011918 · ownership.xml · nonDerivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 273,434 F1 · price: This sales price reflects a weighted average of multiple prices ranging from $0.67 to $0.7058. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request. F2 · ownership.nature: Represents shares acquired by The Cargile Family Trust (the "Trust"). Charles Cargile is the Trustee of the Trust and in such capacity has voting and dispositive control over the securities held by such entity. Read SEC document |
| May 30, 2018 Filed Jun 1, 2018 21:30 UTC | Sunworks, Inc. SUNW · Entity 95102 | GrantOption to purchase common stock · Derivative | 40,000 | $0.00 Strike: $1.09 | $0.00 |
DisclosureSEC source: 0001493152-18-008150 · form4.xml · derivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,000 Underlying: Common Stock · 40,000 shares Expires 2023-05-30 Read SEC document |
| November 27, 2017 Filed Nov 28, 2017 16:30 UTC | Sunworks, Inc. SUNW · Entity 95102 | PurchaseCommon Stock | 20,000 | $1.01 | $20,140.00 |
DisclosureSEC source: 0001493152-17-013883 · form4.xml · nonDerivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 44,100 F1 · price: This sales price reflects a weighted average of multiple prices ranging from $0.99 to $1.03. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request. F2 · ownership.nature: Represents shares acquired by The Cargile Family Trust (the "Trust"). Charles Cargile is the Trustee of the Trust and in such capacity has voting and dispositive control over the securities held by such entity. Read SEC document |
| August 23, 2017 Filed Aug 28, 2017 14:24 UTC | REED'S, INC. REED · Entity 7963 | GrantReed's Common Stock | 19,355 | $1.55 | $30,000.25 |
DisclosureSEC source: 0001493152-17-009927 · form4.xml · nonDerivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,355 Read SEC document |
| August 21, 2017 Filed Aug 22, 2017 19:45 UTC | Sunworks, Inc. SUNW · Entity 95102 | PurchaseCommon Stock | 10,000 | $1.59 | $15,900.00 |
DisclosureSEC source: 0001493152-17-009742 · form4.xml · nonDerivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 24,100 F1 · price: This sales price reflects a weighted average of multiple prices ranging from $1.59 to $1.62. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request. F2 · ownership.nature: Represents shares acquired by The Cargile Family Trust (the "Trust"). Charles Cargile is the Trustee of the Trust and in such capacity has voting and dispositive control over the securities held by such entity. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 17:00 UTC | Sunworks, Inc. SUNW · Entity 95102 | PurchaseCommon Stock | 900 | $1.66 | $1,494.00 |
DisclosureSEC source: 0001493152-17-006092 · form4.xml · nonDerivative · entry 2 CARGILE CHARLES F · CIK 0001213183 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 14,100 F3 · price: This sales price reflects a weighted average of multiple prices ranging from $1.65 to $1.66. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request. F2 · ownership.nature: Represents shares acquired by The Cargile Family Trust (the "Trust"). Charles Cargile is the Trustee of the Trust and in such capacity has voting and dispositive control over the securities held by such entity. Read SEC document |
| May 30, 2017 Filed Jun 1, 2017 17:00 UTC | Sunworks, Inc. SUNW · Entity 95102 | PurchaseCommon Stock | 13,200 | $1.57 | $20,724.00 |
DisclosureSEC source: 0001493152-17-006092 · form4.xml · nonDerivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 13,200 F1 · price: This sales price reflects a weighted average of multiple prices ranging from $1.57 to $1.59. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request. F2 · ownership.nature: Represents shares acquired by The Cargile Family Trust (the "Trust"). Charles Cargile is the Trustee of the Trust and in such capacity has voting and dispositive control over the securities held by such entity. Read SEC document |
| May 17, 2017 Filed May 19, 2017 18:00 UTC | Sunworks, Inc. SUNW · Entity 95102 | GrantOption to Purchase Common Stock · Derivative | 50,000 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0001493152-17-005671 · form4.xml · derivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 50,000 shares Expires 2022-05-17 F1 · derivative.exercise_date: The option shall vest in 1/36 increments over a three year period commencing on the date of grant. Read SEC document |
| March 29, 2017 Filed Mar 30, 2018 19:09 UTC | Sunworks, Inc. SUNW · Entity 95102 | GrantCommon Stock | 166,667 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-18-004302 · form4.xml · nonDerivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,767 F1 · price: In connection with the terms of his employment agreement with the Company dated as of March 29, 2017, the Reporting Person received a restricted stock grant subject to time vesting. On March 29, 2018, 166,667 shares vested, 333,333 shares will vest in twenty-four equal monthly installments. F2 · balance_after: Includes shares held by The Cargile Family Trust (the "Trust"). Charles Cargile is the Trustee of the Trust and in such capacity has voting and dispositive control over the securities held by such entity. Read SEC document |
| March 03, 2017 Filed Mar 8, 2017 02:30 UTC | NETLIST INC NLST · Entity 4386 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $0.98 | $0.00 |
DisclosureSEC source: 0001104659-17-014996 · a4.xml · derivative · entry 1 CARGILE CHARLES F · CIK 0001213183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2017-03-03 F1 · derivative.exercise_date: The options vest one hundred percent (100%) on March 3, 2018. 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.