Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BioCardia, Inc.BCDA;BCDAW · Entity 7752 | Director | January 13, 2019 | August 23, 2019 |
| STEEL PARTNERS HOLDINGS L.P.SPLP · Entity 51727 | Director | May 26, 2017 | May 26, 2017 |
| TD AMERITRADE HOLDING CORPAMTD · Entity 146076 | Director | October 06, 2020 | October 07, 2020 |
| TEXAS PACIFIC LAND TRUSTTPL · Entity 143917 | 10% owner | March 09, 2020 | March 11, 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.
BioCardia, Inc.
Report date January 13, 2019 · Filed August 23, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 23,186 |
Ending reported balance
After 2019-07-26 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-01-13 · Exercise / conversion · Acquired 567 · Balance 19,592 F1: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017. F3: The converted RSU corresponds to a 1:1 common stock issuance. Row 2 · 2019-07-26 · Exercise / conversion · Acquired 3,594 · Balance 23,186 F2: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018. F3: The converted RSU corresponds to a 1:1 common stock issuance. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 4,161 |
Reported balance
After 2019-01-13 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-01-13 · Exercise / conversion · Disposed 567 · Balance 4,161 F4: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F5: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 567 |
Reported balance
After 2019-07-26 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-07-26 · Exercise / conversion · Disposed 3,594 · Balance 567 F4: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F6: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 64,491 |
Reported balance
Holding disclosure · report date 2019-01-13 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 64,491 F7: These shares are held by ART/FGT Family Limited Partnership, of which the Reporting Person and his spouse are limited partners. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 13,009 |
Reported balance
Holding disclosure · report date 2019-01-13 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 13,009 F8: These shares are held by International Financial Group, and the Reporting Person may be deemed to have beneficial ownership of such shares. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 13,009 |
Reported balance
Holding disclosure · report date 2019-01-13 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 13,009 F9: These shares are held by Tessler Family Limited Partnership, and the Reporting Person may be deemed to have beneficial ownership of such shares. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017.
F2: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018.
F3: The converted RSU corresponds to a 1:1 common stock issuance.
F4: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F5: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date.
F6: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.
F7: These shares are held by ART/FGT Family Limited Partnership, of which the Reporting Person and his spouse are limited partners.
F8: These shares are held by International Financial Group, and the Reporting Person may be deemed to have beneficial ownership of such shares.
F9: These shares are held by Tessler Family Limited Partnership, and the Reporting Person may be deemed to have beneficial ownership of such shares.
STEEL PARTNERS HOLDINGS L.P.
Report date May 26, 2017 · Filed May 26, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Units no par valueSEC Table I · non-derivative | Direct | 43,836 |
Reported balance
After 2017-05-26 transaction · row 1
1 source rowRow 1 · 2017-05-26 · Grant · Acquired 3,947 · Balance 43,836 F1: Restricted Common Units granted as of May 26, 2017 to the Reporting Person. The Restricted Common Units vest over three years in equal installments on each anniversary of the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted Common Units granted as of May 26, 2017 to the Reporting Person. The Restricted Common Units vest over three years in equal installments on each anniversary of the date of grant.
TD AMERITRADE HOLDING CORP
Report date October 06, 2020 · Filed October 07, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-10-06 transaction · row 1
1 source rowRow 1 · 2020-10-06 · Disposition to issuer · Disposed 72,973 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in footnote 2.) F2: The closing price per share of Schwab common stock on the NYSE on the Closing Date was $36.75. In addition, pursuant to the Merger Agreement, at the Effective Time, each outstanding TD Ameritrade time-vesting restricted stock unit (including each deferred restricted stock unit award and each stock unit issued in respect of deferred cash fees) outstanding under the TD Ameritrade 2006 Directors Incentive Plan, as amended from time to time, (a "TD Ameritrade Director RSU") was vested (if unvested) and converted into the right to receive the Merger Consideration, as if such TD Ameritrade Director RSU had been settled immediately prior to the Effective Time. |
| Common StockSEC Table I · non-derivative | IndirectBy International Financial Group, Inc. | 0 |
Reported balance
After 2020-10-06 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-10-06 · Disposition to issuer · Disposed 10,000 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in footnote 2.) F2: The closing price per share of Schwab common stock on the NYSE on the Closing Date was $36.75. In addition, pursuant to the Merger Agreement, at the Effective Time, each outstanding TD Ameritrade time-vesting restricted stock unit (including each deferred restricted stock unit award and each stock unit issued in respect of deferred cash fees) outstanding under the TD Ameritrade 2006 Directors Incentive Plan, as amended from time to time, (a "TD Ameritrade Director RSU") was vested (if unvested) and converted into the right to receive the Merger Consideration, as if such TD Ameritrade Director RSU had been settled immediately prior to the Effective Time. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in footnote 2.)
F2: The closing price per share of Schwab common stock on the NYSE on the Closing Date was $36.75. In addition, pursuant to the Merger Agreement, at the Effective Time, each outstanding TD Ameritrade time-vesting restricted stock unit (including each deferred restricted stock unit award and each stock unit issued in respect of deferred cash fees) outstanding under the TD Ameritrade 2006 Directors Incentive Plan, as amended from time to time, (a "TD Ameritrade Director RSU") was vested (if unvested) and converted into the right to receive the Merger Consideration, as if such TD Ameritrade Director RSU had been settled immediately prior to the Effective Time.
TEXAS PACIFIC LAND TRUST
Report date March 09, 2020 · Filed March 11, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Sub-share Certificates of Proprietary InterestSEC Table I · non-derivative | IndirectTessler Family LP | 1,700 |
Reported balance
After 2020-03-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-03-09 · Purchase · Acquired 400 · Balance 1,700 F1: The Issuer's Sub-share Certificates of Proprietary Interest, par value $.03-1/3 (the "Shares") are held by Tessler Family LP. The general partner of Tessler Family LP is Apres Vous, LLC, a Wyoming limited liability company ("Apres LLC"). Andrea Tessler, Karla Tessler and Christopher Tessler, the children of Mr. Tessler, are the members of Apres LLC. Andrea Tessler and Karla Tessler are the managers of Apres LLC. Mr. Tessler is a partner and controls Tessler Family LP. Tessler Family LP and Mr. Tessler may be deemed to share voting power and dispositive power with respect to the such Shares. Mr. Tessler disclaims beneficial ownership of the 1,700 shares held by Tessler Family LP for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Act"), except for his pecuniary interest therein. F3: SoftVest Advisors LLC, a Delaware limited liability company ("SoftVest Advisors"), Horizon Kinetics LLC, a Delaware limited liability company ("Horizon"), ART-FGT LP and Tessler Family Limited Partnership, a Wyoming limited partnership ("Tessler Family LP") have entered into a Cooperation Agreement, dated May 15, 2019 (the "Cooperation Agreement"). As a result of the Cooperation Agreement, SoftVest Advisors, SoftVest L.P., a Delaware limited partnership ("SoftVest LP"), Eric L. Oliver ("Mr. Oliver"), ART-FGT LP, Tessler Family LP, Mr. Tessler and Horizon may be deemed to have formed a "group" pursuant to Rule 13d-5(b)(1) promulgated under the Act. F4: Each of the parties to the Cooperation Agreement may also be deemed to share voting power and dispositive power with respect to each other party's Shares as a result of the covenants and restrictions set forth in the Cooperation Agreement. Therefore, each of the parties to the Cooperation Agreement may be deemed to beneficially own all Shares beneficially owned by the other parties to the Cooperation Agreement, but each party to the Cooperation Agreement disclaims any beneficial ownership or pecuniary interest with respect to the Shares held by the other parties. The Shares in this Form 4 do not include the Shares owned by SoftVest LP, SoftVest Advisors, Mr. Oliver and Horizon. |
| Sub-share Certificates of Proprietary InterestSEC Table I · non-derivative | IndirectART-FGT Family Partners Limited | 10,830 |
Reported balance
Holding disclosure · report date 2020-03-09 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 10,830 F2: The Shares are held by ART-FGT Family Partners Limited, a Wyoming limited partnership ("ART-FGT LP"). The general partner of ART-FGT LP is Tessler FMC, LLC, a Wyoming limited liability company ("Tessler LLC"). Mr. Tessler and his spouse, Frances G. Tessler, are the members of Tessler LLC. Andrea Tessler and Karla Tessler, daughters of Mr. Tessler, are the managers of Tessler LLC. Mr. Tessler is a partner and controls ART-FGT LP. ART-FGT LP and Mr. Tessler may be deemed to share voting power and dispositive power with respect to such Shares. Mr. Tessler disclaims beneficial ownership of the 10,830 Shares held by ART-FGT LP for purposes of Section 16 of the Act, except for his pecuniary interest therein. No transaction is reported. The amount of shares held indirectly through ART-FGT LP is included for informational purposes only. F3: SoftVest Advisors LLC, a Delaware limited liability company ("SoftVest Advisors"), Horizon Kinetics LLC, a Delaware limited liability company ("Horizon"), ART-FGT LP and Tessler Family Limited Partnership, a Wyoming limited partnership ("Tessler Family LP") have entered into a Cooperation Agreement, dated May 15, 2019 (the "Cooperation Agreement"). As a result of the Cooperation Agreement, SoftVest Advisors, SoftVest L.P., a Delaware limited partnership ("SoftVest LP"), Eric L. Oliver ("Mr. Oliver"), ART-FGT LP, Tessler Family LP, Mr. Tessler and Horizon may be deemed to have formed a "group" pursuant to Rule 13d-5(b)(1) promulgated under the Act. F4: Each of the parties to the Cooperation Agreement may also be deemed to share voting power and dispositive power with respect to each other party's Shares as a result of the covenants and restrictions set forth in the Cooperation Agreement. Therefore, each of the parties to the Cooperation Agreement may be deemed to beneficially own all Shares beneficially owned by the other parties to the Cooperation Agreement, but each party to the Cooperation Agreement disclaims any beneficial ownership or pecuniary interest with respect to the Shares held by the other parties. The Shares in this Form 4 do not include the Shares owned by SoftVest LP, SoftVest Advisors, Mr. Oliver and Horizon. |
Filing footnotes · ownership attribution and instrument terms
F1: The Issuer's Sub-share Certificates of Proprietary Interest, par value $.03-1/3 (the "Shares") are held by Tessler Family LP. The general partner of Tessler Family LP is Apres Vous, LLC, a Wyoming limited liability company ("Apres LLC"). Andrea Tessler, Karla Tessler and Christopher Tessler, the children of Mr. Tessler, are the members of Apres LLC. Andrea Tessler and Karla Tessler are the managers of Apres LLC. Mr. Tessler is a partner and controls Tessler Family LP. Tessler Family LP and Mr. Tessler may be deemed to share voting power and dispositive power with respect to the such Shares. Mr. Tessler disclaims beneficial ownership of the 1,700 shares held by Tessler Family LP for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Act"), except for his pecuniary interest therein.
F2: The Shares are held by ART-FGT Family Partners Limited, a Wyoming limited partnership ("ART-FGT LP"). The general partner of ART-FGT LP is Tessler FMC, LLC, a Wyoming limited liability company ("Tessler LLC"). Mr. Tessler and his spouse, Frances G. Tessler, are the members of Tessler LLC. Andrea Tessler and Karla Tessler, daughters of Mr. Tessler, are the managers of Tessler LLC. Mr. Tessler is a partner and controls ART-FGT LP. ART-FGT LP and Mr. Tessler may be deemed to share voting power and dispositive power with respect to such Shares. Mr. Tessler disclaims beneficial ownership of the 10,830 Shares held by ART-FGT LP for purposes of Section 16 of the Act, except for his pecuniary interest therein. No transaction is reported. The amount of shares held indirectly through ART-FGT LP is included for informational purposes only.
F3: SoftVest Advisors LLC, a Delaware limited liability company ("SoftVest Advisors"), Horizon Kinetics LLC, a Delaware limited liability company ("Horizon"), ART-FGT LP and Tessler Family Limited Partnership, a Wyoming limited partnership ("Tessler Family LP") have entered into a Cooperation Agreement, dated May 15, 2019 (the "Cooperation Agreement"). As a result of the Cooperation Agreement, SoftVest Advisors, SoftVest L.P., a Delaware limited partnership ("SoftVest LP"), Eric L. Oliver ("Mr. Oliver"), ART-FGT LP, Tessler Family LP, Mr. Tessler and Horizon may be deemed to have formed a "group" pursuant to Rule 13d-5(b)(1) promulgated under the Act.
F4: Each of the parties to the Cooperation Agreement may also be deemed to share voting power and dispositive power with respect to each other party's Shares as a result of the covenants and restrictions set forth in the Cooperation Agreement. Therefore, each of the parties to the Cooperation Agreement may be deemed to beneficially own all Shares beneficially owned by the other parties to the Cooperation Agreement, but each party to the Cooperation Agreement disclaims any beneficial ownership or pecuniary interest with respect to the Shares held by the other parties. The Shares in this Form 4 do not include the Shares owned by SoftVest LP, SoftVest Advisors, Mr. Oliver and Horizon.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Bath & Body Works, Inc.
Report date May 14, 2020 · Filed May 18, 2020
Section 16 reporting ended · disclosed 2020-05-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.50 par valueSEC Table I · non-derivative | Direct | 58,277 |
Reported balance
After 2020-05-14 transaction · row 1
1 source rowRow 1 · 2020-05-14 · Grant · Acquired 4,574 · Balance 58,277 |
| Common Stock, $0.50 par valueSEC Table I · non-derivative | IndirectBy Spouse | 3,500 |
Reported balance
Holding disclosure · report date 2020-05-14 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,500 |
| Common Stock, $0.50 par valueSEC Table I · non-derivative | IndirectBy Trust | 25,000 |
Reported balance
Holding disclosure · report date 2020-05-14 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 25,000 |
| Common Stock, $0.50 par valueSEC Table I · non-derivative | IndirectTessler Family Limited Partnership | 34,298 |
Reported balance
Holding disclosure · report date 2020-05-14 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 34,298 |
IMPERVA INC
Report date January 10, 2019 · Filed January 11, 2019
Section 16 reporting ended · disclosed 2019-01-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2019-01-10 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-01-10 · Disposition to issuer · Disposed 34,103 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger between the Issuer, Imperial Purchaser, LLC and Imperial Merger Sub, Inc. dated October 10, 2018 (the "Merger Agreement"), the shares of common stock were cancelled and converted into the right to receive $55.75 in cash per share, payable as otherwise provided by the terms of the Merger Agreement. F2: The shares are owned of record as follows: (A) 2,353 shares are held by International Financial GP of Nevada, of which the Reporting Person is the sole owner and Chair/CEO; (B) 7,500 shares are held by the Allan R. Tessler Charitable Remainder Unitrust #1 u/a/d 121696, of which the Reporting Person is the sole trustee; (C) 7,500 Shares are held by the Allan R. Tessler Charitable Remainder Unitrust #2 u/a/d 121696, of which the Reporting Person is the sole trustee; (D) 6,750 shares are held by Tessler Family Limited of which the Reporting Person is a limited partner; and (E) 10,000 shares are held by the ART FGT Family Partners Limited, of which the Reporting Person is a limited partner. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2019-01-10 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-01-10 · Disposition to issuer · Disposed 33,654 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger between the Issuer, Imperial Purchaser, LLC and Imperial Merger Sub, Inc. dated October 10, 2018 (the "Merger Agreement"), the shares of common stock were cancelled and converted into the right to receive $55.75 in cash per share, payable as otherwise provided by the terms of the Merger Agreement. F3: The shares are owned of record as follows: (A) 1,904 shares are held by International Financial GP of Nevada, of which the Reporting Person is the sole owner and Chair/CEO; (B) 7,500 shares are held by the Allan R. Tessler Charitable Remainder Unitrust #1 u/a/d 121696, of which the Reporting Person is the sole trustee; (C) 7,500 Shares are held by the Allan R. Tessler Charitable Remainder Unitrust #2 u/a/d 121696, of which the Reporting Person is the sole trustee; (D) 6,750 shares are held by Tessler Family Limited of which the Reporting Person is a limited partner; and (E) 10,000 shares are held by the ART FGT Family Partners Limited, of which the Reporting Person is a limited partner. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2019-01-10 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2019-01-10 · Disposition to issuer · Disposed 31,860 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger between the Issuer, Imperial Purchaser, LLC and Imperial Merger Sub, Inc. dated October 10, 2018 (the "Merger Agreement"), the shares of common stock were cancelled and converted into the right to receive $55.75 in cash per share, payable as otherwise provided by the terms of the Merger Agreement. F4: The shares are owned of record as follows: (A) 110 shares are held by International Financial GP of Nevada, of which the Reporting Person is the sole owner and Chair/CEO; (B) 7,500 shares are held by the Allan R. Tessler Charitable Remainder Unitrust #1 u/a/d 121696, of which the Reporting Person is the sole trustee; (C) 7,500 Shares are held by the Allan R. Tessler Charitable Remainder Unitrust #2 u/a/d 121696, of which the Reporting Person is the sole trustee; (D) 6,750 shares are held by Tessler Family Limited of which the Reporting Person is a limited partner; and (E) 10,000 shares are held by the ART FGT Family Partners Limited, of which the Reporting Person is a limited partner. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-01-10 transaction · row 4
1 source rowRow 4 · 2019-01-10 · Disposition to issuer · Disposed 13,557 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger between the Issuer, Imperial Purchaser, LLC and Imperial Merger Sub, Inc. dated October 10, 2018 (the "Merger Agreement"), the shares of common stock were cancelled and converted into the right to receive $55.75 in cash per share, payable as otherwise provided by the terms of the Merger Agreement. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2019-05-23 | Direct | 0 |
Reported balance
After 2019-01-10 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-01-10 · Disposition to issuer · Disposed 4,081 · Balance 0 F5: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. F6: Pursuant to the Issuer's 2011 Stock Option and Incentive Plan and the Merger Agreement, the RSUs vested in full immediately prior to the closing of the merger, and were cancelled and converted into the right to receive $55.75 in cash per RSU. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $42.16 · Expires 2025-02-03 | Direct | 0 |
Reported balance
After 2019-01-10 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-01-10 · Disposition to issuer · Disposed 6,380 · Balance 0 F7: Shares subject to the option are fully vested. Pursuant to the Merger Agreement, the option was cancelled and converted into the right to receive a cash payment of $86,704.20, which represents the difference between $55.75 and the exercise price of the option per share multiplied by the number of shares subject to the option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $45.35 · Expires 2025-05-05 | Direct | 0 |
Reported balance
After 2019-01-10 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-01-10 · Disposition to issuer · Disposed 3,075 · Balance 0 F8: Shares subject to the option are fully vested. Pursuant to the Merger Agreement, the option was cancelled and converted into the right to receive a cash payment of $31,980.00, which represents the difference between $55.75 and the exercise price of the option per share multiplied by the number of shares subject to the option. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger between the Issuer, Imperial Purchaser, LLC and Imperial Merger Sub, Inc. dated October 10, 2018 (the "Merger Agreement"), the shares of common stock were cancelled and converted into the right to receive $55.75 in cash per share, payable as otherwise provided by the terms of the Merger Agreement.
F2: The shares are owned of record as follows: (A) 2,353 shares are held by International Financial GP of Nevada, of which the Reporting Person is the sole owner and Chair/CEO; (B) 7,500 shares are held by the Allan R. Tessler Charitable Remainder Unitrust #1 u/a/d 121696, of which the Reporting Person is the sole trustee; (C) 7,500 Shares are held by the Allan R. Tessler Charitable Remainder Unitrust #2 u/a/d 121696, of which the Reporting Person is the sole trustee; (D) 6,750 shares are held by Tessler Family Limited of which the Reporting Person is a limited partner; and (E) 10,000 shares are held by the ART FGT Family Partners Limited, of which the Reporting Person is a limited partner.
F3: The shares are owned of record as follows: (A) 1,904 shares are held by International Financial GP of Nevada, of which the Reporting Person is the sole owner and Chair/CEO; (B) 7,500 shares are held by the Allan R. Tessler Charitable Remainder Unitrust #1 u/a/d 121696, of which the Reporting Person is the sole trustee; (C) 7,500 Shares are held by the Allan R. Tessler Charitable Remainder Unitrust #2 u/a/d 121696, of which the Reporting Person is the sole trustee; (D) 6,750 shares are held by Tessler Family Limited of which the Reporting Person is a limited partner; and (E) 10,000 shares are held by the ART FGT Family Partners Limited, of which the Reporting Person is a limited partner.
F4: The shares are owned of record as follows: (A) 110 shares are held by International Financial GP of Nevada, of which the Reporting Person is the sole owner and Chair/CEO; (B) 7,500 shares are held by the Allan R. Tessler Charitable Remainder Unitrust #1 u/a/d 121696, of which the Reporting Person is the sole trustee; (C) 7,500 Shares are held by the Allan R. Tessler Charitable Remainder Unitrust #2 u/a/d 121696, of which the Reporting Person is the sole trustee; (D) 6,750 shares are held by Tessler Family Limited of which the Reporting Person is a limited partner; and (E) 10,000 shares are held by the ART FGT Family Partners Limited, of which the Reporting Person is a limited partner.
F5: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting.
F6: Pursuant to the Issuer's 2011 Stock Option and Incentive Plan and the Merger Agreement, the RSUs vested in full immediately prior to the closing of the merger, and were cancelled and converted into the right to receive $55.75 in cash per RSU.
F7: Shares subject to the option are fully vested. Pursuant to the Merger Agreement, the option was cancelled and converted into the right to receive a cash payment of $86,704.20, which represents the difference between $55.75 and the exercise price of the option per share multiplied by the number of shares subject to the option.
F8: Shares subject to the option are fully vested. Pursuant to the Merger Agreement, the option was cancelled and converted into the right to receive a cash payment of $31,980.00, which represents the difference between $55.75 and the exercise price of the option per share multiplied by the number of shares subject to the option.
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 |
|---|---|---|---|---|---|---|
| September 21, 2017 Filed Sep 25, 2017 20:50 UTC | Bath & Body Works, Inc. LB · Entity 4091 | PurchaseCommon Stock, $0.50 par value | 10,000 | $37.00 | $369,994.00 |
DisclosureSEC source: 0001225208-17-015237 · doc4.xml · nonDerivative · entry 2 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Tessler Family Limited Partnership Disclosed balance after: 34,298 F1 · price: Price represents a weighted average of the purchase price. Shares were purchased at prices ranging from $36.9850 to $37.0090. Upon the request by the SEC staff, the Issuer, or a security holder of the Issuer, the reporting person will provide the full information about the number of shares purchased at each separate price. Read SEC document |
| September 21, 2017 Filed Sep 25, 2017 20:50 UTC | Bath & Body Works, Inc. LB · Entity 4091 | PurchaseCommon Stock, $0.50 par value | 10,000 | $37.00 | $369,994.00 |
DisclosureSEC source: 0001225208-17-015237 · doc4.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 25,000 F1 · price: Price represents a weighted average of the purchase price. Shares were purchased at prices ranging from $36.9850 to $37.0090. Upon the request by the SEC staff, the Issuer, or a security holder of the Issuer, the reporting person will provide the full information about the number of shares purchased at each separate price. Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 16:38 UTC | TD AMERITRADE HOLDING CORP AMTD · Entity 146076 | GrantCommon Stock | 12 | $0.00 | $0.00 |
DisclosureSEC source: 0001173431-17-000136 · wf-form4_150300227564524.xml · nonDerivative · entry 2 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,450 Read SEC document |
| August 10, 2017 Filed Aug 17, 2017 16:38 UTC | TD AMERITRADE HOLDING CORP AMTD · Entity 146076 | GiftCommon Stock | 3,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001173431-17-000136 · wf-form4_150300227564524.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,438 Read SEC document |
| June 15, 2017 Filed Aug 25, 2017 17:50 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantRestricted Stock Units · Derivative | 110,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-015349 · rdgdoc.xml · derivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Common Stock · 110,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through such date. F2 · derivative.expiration_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through such date. Read SEC document |
| May 26, 2017 Filed May 26, 2017 14:45 UTC | STEEL PARTNERS HOLDINGS L.P. SPLP · Entity 51727 | GrantCommon Units no par value | 3,947 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-010482 · doc4.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,836 F1 · date: Restricted Common Units granted as of May 26, 2017 to the Reporting Person. The Restricted Common Units vest over three years in equal installments on each anniversary of the date of grant. Read SEC document |
| May 16, 2017 Filed May 18, 2017 16:33 UTC | TD AMERITRADE HOLDING CORP AMTD · Entity 146076 | GrantCommon Stock | 13 | $0.00 | $0.00 |
DisclosureSEC source: 0001173431-17-000096 · wf-form4_149513961975187.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,838 Read SEC document |
| May 04, 2017 Filed May 4, 2017 18:02 UTC | IMPERVA INC IMPV · Entity 161103 | Exercise / conversionRestricted Stock Units · Derivative | 4,417 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-030120 · doc4.xml · derivative · entry 3 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,417 shares Expires 2017-06-03 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_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. F4 · derivative.exercise_date: The restricted stock units vest as follows: 100% of the underlying shares vest one year following the vesting commencement date of May 4, 2016. The restricted stock units are subject to accelerated vesting as to 100% of such shares following a change in control of the Issuer. F5 · derivative.expiration_date: The Issuer has up to 30 days following vesting to settle. The actual expiration date will be immediately following settlement. Read SEC document |
| May 04, 2017 Filed May 4, 2017 18:02 UTC | IMPERVA INC IMPV · Entity 161103 | Exercise / conversionCommon Stock | 4,417 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-030120 · doc4.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,905 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: Represents the number of shares that were acquired in connection with the settlement of the restricted stock units listed in Table II. Read SEC document |
| April 26, 2017 Filed Apr 27, 2017 16:45 UTC | IMPERVA INC IMPV · Entity 161103 | GrantRestricted Stock Units · Derivative | 4,624 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-028440 · doc4.xml · derivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,624 Underlying: Common Stock · 4,624 shares Expires 2018-05-25 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. F2 · derivative.exercise_date: The restricted stock units vest as follows: 100% of the underlying shares vest one year following the vesting commencement date of April 26, 2017. The restricted stock units are subject to accelerated vesting as to 100% of such shares following a change in control of the Issuer. F3 · derivative.expiration_date: The Issuer has up to 30 days following vesting to settle. The actual expiration date will be immediately following settlement. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 20:39 UTC | Bath & Body Works, Inc. LB · Entity 4091 | GrantCommon Stock, $0.50 par value | 3,597 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-007424 · doc4.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,342 Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 16:22 UTC | TD AMERITRADE HOLDING CORP AMTD · Entity 146076 | GrantCommon Stock | 2,970 | $0.00 | $0.00 |
DisclosureSEC source: 0001173431-17-000058 · wf-form4_148797135976459.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,825 Read SEC document |
| February 02, 2017 Filed Feb 3, 2017 18:33 UTC | IMPERVA INC IMPV · Entity 161103 | Exercise / conversionRestricted Stock Units · Derivative | 1,027 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-007815 · doc4.xml · derivative · entry 3 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,028 Underlying: Common Stock · 1,027 shares Expires 2018-03-03 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_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. F4 · derivative.exercise_date: The restricted stock units vest as follows: one-third of the underlying shares vest one year following the vesting commencement date of February 2, 2015 with the remaining two-thirds vesting in equal annual installments over the next two years. The restricted stock units are subject to accelerated vesting as to 100% of such shares following a change in control of the Issuer. F5 · derivative.expiration_date: The Issuer has up to 30 days following vesting to settle. The actual expiration date will be immediately following settlement. Read SEC document |
| February 02, 2017 Filed Feb 3, 2017 18:33 UTC | IMPERVA INC IMPV · Entity 161103 | Exercise / conversionCommon Stock | 1,027 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-007815 · doc4.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,488 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: Represents the number of shares that were acquired in connection with the settlement of the restricted stock units listed in Table II. Read SEC document |
| January 13, 2017 Filed Jan 18, 2017 18:39 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantRestricted Stock Units · Derivative | 184,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-000790 · rdgdoc.xml · derivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,000 Underlying: Common Stock · 184,000 shares Expires 2020-01-13 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units vest and become exercisable as to one-third of the shares on January 13, 2018 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| November 29, 2016 Filed Jan 3, 2017 16:24 UTC | TD AMERITRADE HOLDING CORP AMTD · Entity 146076 | GiftCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001173431-17-000004 · wf-form4_148347868381918.xml · nonDerivative · entry 2 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,855 Read SEC document |
| November 28, 2016 Filed Jan 3, 2017 16:24 UTC | TD AMERITRADE HOLDING CORP AMTD · Entity 146076 | GiftCommon Stock | 1,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001173431-17-000004 · wf-form4_148347868381918.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,355 Read SEC document |
| November 22, 2016 Filed Nov 25, 2016 13:23 UTC | TD AMERITRADE HOLDING CORP AMTD · Entity 146076 | GrantCommon Stock | 18 | $0.00 | $0.00 |
DisclosureSEC source: 0001173431-16-000459 · wf-form4_148009820631442.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,605 Read SEC document |
| September 13, 2016 Filed Nov 2, 2016 18:54 UTC | Bath & Body Works, Inc. LB · Entity 4091 | GiftCommon Stock, $0.50 par value | 1,690 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-040984 · doc4.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,143 Read SEC document |
| April 08, 2015 Filed Feb 28, 2017 21:07 UTC | Bath & Body Works, Inc. LB · Entity 4091 | GiftCommon Stock, $0.50 par value | 2,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-004879 · doc4.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,140 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.