Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SOCKET MOBILE, INC.SCKT · Entity 8279 | VP of Cust. Exp & Quality Sys. | August 31, 2020 | September 01, 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.
SOCKET MOBILE, INC.
Report date August 31, 2020 · Filed September 01, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Subordinated Convertible NoteSEC Table II · derivative / convertible security · Conversion / exercise price $1.46 | Direct | 34,246 |
Reported balance
After 2020-08-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-08-31 · Purchase · Acquired 34,246 · Balance 34,246 F1: The Subordinated Convertible note is convertible any time on or prior to August 30, 2023 (the Maturity Date). In addition, on or after August 31, 2021, the Reporting Person has the option to receive the prepayment of principal and accrued interest in cash. |
Filing footnotes · ownership attribution and instrument terms
F1: The Subordinated Convertible note is convertible any time on or prior to August 30, 2023 (the Maturity Date). In addition, on or after August 31, 2021, the Reporting Person has the option to receive the prepayment of principal and accrued interest in cash.
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 |
|---|---|---|---|---|---|---|
| August 31, 2020 Filed Sep 1, 2020 22:32 UTC | SOCKET MOBILE, INC. SCKT · Entity 8279 | PurchaseSubordinated Convertible Note · Derivative | 34,246 | $50,000.00 Strike: $1.46 | $1,712,300,000.00 |
DisclosureSEC source: 0000944075-20-000030 · primary_doc.xml · derivative · entry 1 Baillif Lee · CIK 0001391340 · VP of Cust. Exp & Quality Sys. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,246 Underlying: Common Stock · 34,246 shares Expires not disclosed F1 · derivative.exercise_date: The Subordinated Convertible note is convertible any time on or prior to August 30, 2023 (the Maturity Date). In addition, on or after August 31, 2021, the Reporting Person has the option to receive the prepayment of principal and accrued interest in cash. F1 · derivative.expiration_date: The Subordinated Convertible note is convertible any time on or prior to August 30, 2023 (the Maturity Date). In addition, on or after August 31, 2021, the Reporting Person has the option to receive the prepayment of principal and accrued interest in cash. Read SEC document |
| February 28, 2020 Filed Mar 2, 2020 18:55 UTC | SOCKET MOBILE, INC. SCKT · Entity 8279 | GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000944075-20-000005 · primary_doc.xml · nonDerivative · entry 1 Baillif Lee · CIK 0001391340 · VP of Cust. Exp. & Qual. Sys 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,267 F1 · shares: Restricted shares of Socket Mobile, Inc. Common Stock subject to vesting 15% after year one, 20% after year two, 25% after year three, and final 40% after year four, granted under the 2004 Plan. Read SEC document |
| August 30, 2019 Filed Sep 4, 2019 19:05 UTC | SOCKET MOBILE, INC. SCKT · Entity 8279 | OtherCommon Stock Option · Derivative | 41,200 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0000944075-19-000050 · primary_doc.xml · derivative · entry 3 Baillif Lee · CIK 0001391340 · VP of Quality 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,154 Underlying: Common · 41,200 shares Expires 2029-08-30 F1 · derivative.exercise_date: Swap of stock option grants pursuant to a shareholder approved tender offer. New option vests monthly over 48 months commencing 08/30/2019. Read SEC document |
| August 30, 2019 Filed Sep 4, 2019 19:05 UTC | SOCKET MOBILE, INC. SCKT · Entity 8279 | OtherCommon Stock Option · Derivative | 28,700 | $0.00 Strike: $3.04 | $0.00 |
DisclosureSEC source: 0000944075-19-000050 · primary_doc.xml · derivative · entry 2 Baillif Lee · CIK 0001391340 · VP of Quality 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 28,700 shares Expires 2019-08-30 F1 · derivative.exercise_date: Swap of stock option grants pursuant to a shareholder approved tender offer. New option vests monthly over 48 months commencing 08/30/2019. Read SEC document |
| August 30, 2019 Filed Sep 4, 2019 19:05 UTC | SOCKET MOBILE, INC. SCKT · Entity 8279 | OtherCommon Stock Option · Derivative | 12,500 | $0.00 Strike: $2.74 | $0.00 |
DisclosureSEC source: 0000944075-19-000050 · primary_doc.xml · derivative · entry 1 Baillif Lee · CIK 0001391340 · VP of Quality 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 12,500 shares Expires 2019-08-30 F1 · derivative.exercise_date: Swap of stock option grants pursuant to a shareholder approved tender offer. New option vests monthly over 48 months commencing 08/30/2019. Read SEC document |
| February 15, 2019 Filed Feb 19, 2019 21:16 UTC | SOCKET MOBILE, INC. SCKT · Entity 8279 | GrantCommon stock option · Derivative | 12,000 | $0.00 Strike: $1.90 | $0.00 |
DisclosureSEC source: 0000944075-19-000005 · primary_doc.xml · derivative · entry 1 Baillif Lee · CIK 0001391340 · VP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,354 Underlying: Common · 12,000 shares Expires 2029-02-15 F1 · derivative.exercise_date: Vests monthly over 48 months commencing 3/1/2019. Read SEC document |
| May 02, 2018 Filed May 4, 2018 17:14 UTC | SOCKET MOBILE, INC. SCKT · Entity 8279 | GrantCommon stock option · Derivative | 12,000 | $0.00 Strike: $2.93 | $0.00 |
DisclosureSEC source: 0000944075-18-000015 · primary_doc.xml · derivative · entry 1 Baillif Lee · CIK 0001391340 · Vice President of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,354 Underlying: Common · 12,000 shares Expires 2028-05-01 F1 · derivative.exercise_date: Vests monthly over 48 months. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 17:12 UTC | SOCKET MOBILE, INC. SCKT · Entity 8279 | Exercise / conversionConvertible Subordinated Note · Derivative | 37,302 | $0.00 Strike: $1.25 | $0.00 |
DisclosureSEC source: 0000944075-17-000045 · primary_doc.xml · derivative · entry 2 Baillif Lee · CIK 0001391340 · VP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 29,841 shares Expires 2017-09-04 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 · derivative.exercise_date: Convertible into common stock on or before maturity date of 9/4/2017. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 17:12 UTC | SOCKET MOBILE, INC. SCKT · Entity 8279 | Exercise / conversionCommon Stock | 29,841 | $1.25 | $37,301.25 |
DisclosureSEC source: 0000944075-17-000045 · primary_doc.xml · nonDerivative · entry 1 Baillif Lee · CIK 0001391340 · VP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,199 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 |
| April 03, 2017 Filed Apr 5, 2017 18:18 UTC | SOCKET MOBILE, INC. SCKT · Entity 8279 | GrantCommon stock option · Derivative | 12,000 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0000944075-17-000013 · primary_doc.xml · derivative · entry 1 Baillif Lee · CIK 0001391340 · VP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,354 Underlying: Common · 12,000 shares Expires 2027-04-03 F1 · derivative.exercise_date: Vests monthly over 48 months 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.