Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HERBALIFE LTD.HLF · Entity 4842 | General Counsel | February 23, 2017 | February 28, 2017 |
| Niagen Bioscience, Inc.CDXC · Entity 6146 | GENERAL COUNSEL | February 25, 2020 | November 06, 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.
HERBALIFE LTD.
Report date February 23, 2017 · Filed February 28, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $59.98 · Expires 2024-04-30 | Direct | 25,019 |
Reported balance
After 2017-02-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-02-23 · Grant · Acquired 15,011 · Balance 25,019 F1: On April 30, 2014, the reporting person was granted an award of 25,019 stock appreciation rights ("SARs"). The amount and timing of the vesting of these SARs is dependent upon the achievement by Herbalife Ltd. (the "Company") of certain performance criteria for each of fiscal 2014, 2015 and 2016. The performance criteria for 2016 was met, resulting in 15,011 SARs which will vest on April 30, 2017. |
| Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $30.44 · Expires 2025-03-02 | Direct | 21,206 |
Reported balance
After 2017-02-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-02-23 · Grant · Acquired 10,603 · Balance 21,206 F2: On March 2, 2015, the reporting person was granted an award of 53,017 SARs. The amount and timing of the vesting of these SARs is dependent upon the achievement by the Company of certain performance criteria for each of fiscal 2015, 2016 and 2017. The performance criteria for 2016 was met, resulting in 10,603 SARs which will vest on March 2, 2017. |
| Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $62.51 · Expires 2026-05-09 | Direct | 4,367 |
Reported balance
After 2017-02-23 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-02-23 · Grant · Acquired 4,367 · Balance 4,367 F3: On May 9, 2016, the reporting person was granted an award of 21,834 SARs. The amount and timing of the vesting of these SARs is dependent upon the achievement by the Company of certain performance criteria for each of fiscal 2016, 2017 and 2018. The performance criteria for 2016 was met, resulting in 4,367 SARs which will vest on May 9, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 30, 2014, the reporting person was granted an award of 25,019 stock appreciation rights ("SARs"). The amount and timing of the vesting of these SARs is dependent upon the achievement by Herbalife Ltd. (the "Company") of certain performance criteria for each of fiscal 2014, 2015 and 2016. The performance criteria for 2016 was met, resulting in 15,011 SARs which will vest on April 30, 2017.
F2: On March 2, 2015, the reporting person was granted an award of 53,017 SARs. The amount and timing of the vesting of these SARs is dependent upon the achievement by the Company of certain performance criteria for each of fiscal 2015, 2016 and 2017. The performance criteria for 2016 was met, resulting in 10,603 SARs which will vest on March 2, 2017.
F3: On May 9, 2016, the reporting person was granted an award of 21,834 SARs. The amount and timing of the vesting of these SARs is dependent upon the achievement by the Company of certain performance criteria for each of fiscal 2016, 2017 and 2018. The performance criteria for 2016 was met, resulting in 4,367 SARs which will vest on May 9, 2017.
Niagen Bioscience, Inc.
Report date February 25, 2020 · Filed November 06, 2020 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.27 · Expires 2030-02-25 | Direct | 109,054 |
Reported balance
After 2020-02-25 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2020-02-25 · Grant · Acquired 109,054 · Balance 109,054 F1: This Form 4 Amendment is being filed solely to add the Power of Attorney. F2: Options vest 33% on February 25, 2021 and thereafter 1/36th vest each month. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 Amendment is being filed solely to add the Power of Attorney.
F2: Options vest 33% on February 25, 2021 and thereafter 1/36th vest each month.
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 |
|---|---|---|---|---|---|---|
| February 25, 2020 Filed Feb 28, 2020 01:29 UTC | Niagen Bioscience, Inc. CDXC · Entity 6146 | GrantEmployee Stock Options (right to buy) · Derivative | 109,054 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0001415889-20-000546 · form4-02272020_050253.xml · derivative · entry 1 Friedman Mark J · CIK 0001590024 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,054 Underlying: Common Stock · 109,054 shares Expires 2030-02-25 F1 · derivative.exercise_date: Options vest 33% on February 25, 2021 and thereafter 1/36th vest each month. Read SEC document |
| February 25, 2020 Filed Nov 6, 2020 21:12 UTC Amendment | Niagen Bioscience, Inc. CDXC · Entity 6146 | GrantEmployee Stock Options (right to buy) · Derivative | 109,054 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0001415889-20-002554 · form4a-11062020_011144.xml · derivative · entry 1 Friedman Mark J · CIK 0001590024 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,054 Underlying: Common Stock · 109,054 shares Expires 2030-02-25 F1 · date: This Form 4 Amendment is being filed solely to add the Power of Attorney. F2 · derivative.exercise_date: Options vest 33% on February 25, 2021 and thereafter 1/36th vest each month. Read SEC document |
| February 21, 2019 Filed Feb 23, 2019 00:35 UTC | Niagen Bioscience, Inc. CDXC · Entity 6146 | GrantEmployee Stock Options (right to buy) · Derivative | 89,254 | $0.00 Strike: $3.84 | $0.00 |
DisclosureSEC source: 0001415889-19-000219 · form4-02222019_040248.xml · derivative · entry 1 Friedman Mark J · CIK 0001590024 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,254 Underlying: Common Stock · 89,254 shares Expires 2029-02-21 F1 · derivative.exercise_date: Options vest 33% on February 21, 2020 and thereafter 1/36th vest each month. Read SEC document |
| May 17, 2018 Filed May 17, 2018 22:31 UTC | Niagen Bioscience, Inc. CDXC · Entity 6146 | PurchaseCommon Stock | 3,000 | $3.60 | $10,800.00 |
DisclosureSEC source: 0001415889-18-000780 · form4-05172018_030501.xml · nonDerivative · entry 1 Friedman Mark J · CIK 0001590024 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| January 22, 2018 Filed Jan 24, 2018 21:22 UTC | Niagen Bioscience, Inc. CDXC · Entity 6146 | GrantStock Option (right to buy) · Derivative | 500,000 | $0.00 Strike: $5.65 | $0.00 |
DisclosureSEC source: 0001209191-18-005110 · doc4.xml · derivative · entry 1 Friedman Mark J · CIK 0001590024 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2028-01-21 F1 · derivative.exercise_date: One-third of the shares subject to the option vest on January 22, 2019, and the remaining shares subject to the option vest in a series of 24 equal monthly installments thereafter on each such vesting date. Read SEC document |
| February 23, 2017 Filed Feb 28, 2017 00:18 UTC | HERBALIFE LTD. HLF · Entity 4842 | GrantStock Appreciation Rights · Derivative | 4,367 | $0.00 Strike: $62.51 | $0.00 |
DisclosureSEC source: 0001209191-17-014995 · doc4.xml · derivative · entry 3 Friedman Mark J · CIK 0001590024 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,367 Underlying: Common Stock · 4,367 shares Expires 2026-05-09 F3 · balance_after: On May 9, 2016, the reporting person was granted an award of 21,834 SARs. The amount and timing of the vesting of these SARs is dependent upon the achievement by the Company of certain performance criteria for each of fiscal 2016, 2017 and 2018. The performance criteria for 2016 was met, resulting in 4,367 SARs which will vest on May 9, 2017. Read SEC document |
| February 23, 2017 Filed Feb 28, 2017 00:18 UTC | HERBALIFE LTD. HLF · Entity 4842 | GrantStock Appreciation Rights · Derivative | 10,603 | $0.00 Strike: $30.44 | $0.00 |
DisclosureSEC source: 0001209191-17-014995 · doc4.xml · derivative · entry 2 Friedman Mark J · CIK 0001590024 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,206 Underlying: Common Stock · 10,603 shares Expires 2025-03-02 F2 · balance_after: On March 2, 2015, the reporting person was granted an award of 53,017 SARs. The amount and timing of the vesting of these SARs is dependent upon the achievement by the Company of certain performance criteria for each of fiscal 2015, 2016 and 2017. The performance criteria for 2016 was met, resulting in 10,603 SARs which will vest on March 2, 2017. Read SEC document |
| February 23, 2017 Filed Feb 28, 2017 00:18 UTC | HERBALIFE LTD. HLF · Entity 4842 | GrantStock Appreciation Rights · Derivative | 15,011 | $0.00 Strike: $59.98 | $0.00 |
DisclosureSEC source: 0001209191-17-014995 · doc4.xml · derivative · entry 1 Friedman Mark J · CIK 0001590024 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,019 Underlying: Common Stock · 15,011 shares Expires 2024-04-30 F1 · balance_after: On April 30, 2014, the reporting person was granted an award of 25,019 stock appreciation rights ("SARs"). The amount and timing of the vesting of these SARs is dependent upon the achievement by Herbalife Ltd. (the "Company") of certain performance criteria for each of fiscal 2014, 2015 and 2016. The performance criteria for 2016 was met, resulting in 15,011 SARs which will vest on April 30, 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.