Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| IRIDEX CORPIRIX · Entity 7882 | Director | June 24, 2020 | June 26, 2020 |
| NATUS MEDICAL INCBABY · Entity 125256 | Director | April 30, 2019 | May 02, 2019 |
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.
IRIDEX CORP
Report date June 24, 2020 · Filed June 26, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 50,568 |
Reported balance
After 2020-06-24 transaction · row 1
1 source rowRow 1 · 2020-06-24 · Grant · Acquired 22,935 · Balance 50,568 F1: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 24, 2021 or the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 24, 2021 or the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date.
NATUS MEDICAL INC
Report date April 30, 2019 · Filed May 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par value per shareSEC Table I · non-derivative | Direct | 20,392 |
Ending reported balance
After 2019-05-02 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2019-04-30 · Sale · Disposed 2,000 · Balance 26,392 Row 2 · 2019-05-01 · Sale · Disposed 4,000 · Balance 22,392 F1: This transaction was executed in multiple trades at prices ranging from $26.75 to $27.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Row 3 · 2019-05-02 · Sale · Disposed 2,000 · Balance 20,392 F2: This transaction was executed in multiple trades at prices ranging from $26.90 to $26.94. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $26.75 to $27.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F2: This transaction was executed in multiple trades at prices ranging from $26.90 to $26.94. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
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 |
|---|---|---|---|---|---|---|
| June 24, 2020 Filed Jun 26, 2020 21:38 UTC | IRIDEX CORP IRIX · Entity 7882 | GrantCommon Stock | 22,935 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-039139 · doc4.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,568 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 24, 2021 or the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date. Read SEC document |
| December 04, 2019 Filed Dec 6, 2019 16:36 UTC | IRIDEX CORP IRIX · Entity 7882 | GrantCommon Stock | 4,329 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-059425 · doc4.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,633 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of December 4, 2020 or the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| July 23, 2019 Filed Jul 25, 2019 22:50 UTC | IRIDEX CORP IRIX · Entity 7882 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $3.57 | $0.00 |
DisclosureSEC source: 0001209191-19-043260 · doc4.xml · derivative · entry 2 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2026-07-23 F2 · security: This option granted pursuant to IRIDEX Corporation's 2008 Amended and Restated Equity Incentive Plan and is exempt pursuant to Rule16b-3. F3 · derivative.exercise_date: The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest on August 23, 2019 and each month thereafter. Read SEC document |
| July 23, 2019 Filed Jul 25, 2019 22:50 UTC | IRIDEX CORP IRIX · Entity 7882 | GrantCommon Stock | 11,204 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-043260 · doc4.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,304 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of July 23, 2020 or the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| May 02, 2019 Filed May 2, 2019 19:13 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 2,000 | $26.92 | $53,840.00 |
DisclosureSEC source: 0000878526-19-000065 · wf-form4_155683880905232.xml · nonDerivative · entry 3 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,392 F2 · price: This transaction was executed in multiple trades at prices ranging from $26.90 to $26.94. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 01, 2019 Filed May 2, 2019 19:13 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 4,000 | $26.88 | $107,520.00 |
DisclosureSEC source: 0000878526-19-000065 · wf-form4_155683880905232.xml · nonDerivative · entry 2 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,392 F1 · price: This transaction was executed in multiple trades at prices ranging from $26.75 to $27.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| April 30, 2019 Filed May 2, 2019 19:13 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 2,000 | $26.25 | $52,500.00 |
DisclosureSEC source: 0000878526-19-000065 · wf-form4_155683880905232.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,392 Read SEC document |
| March 04, 2019 Filed Mar 5, 2019 18:43 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 2,000 | $28.50 | $57,000.00 |
DisclosureSEC source: 0000878526-19-000047 · wf-form4_155182937111979.xml · nonDerivative · entry 3 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,392 Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 18:43 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 2,000 | $28.30 | $56,600.00 |
DisclosureSEC source: 0000878526-19-000047 · wf-form4_155182937111979.xml · nonDerivative · entry 2 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,392 Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 18:43 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 4,304 | $27.80 | $119,651.20 |
DisclosureSEC source: 0000878526-19-000047 · wf-form4_155182937111979.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,392 Read SEC document |
| February 25, 2019 Filed Feb 26, 2019 17:53 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 3,696 | $28.34 | $104,744.64 |
DisclosureSEC source: 0000878526-19-000040 · wf-form4_155122161675953.xml · nonDerivative · entry 3 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,696 Read SEC document |
| February 22, 2019 Filed Feb 26, 2019 17:53 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionNonqualified Stock Option · Derivative | 3,000 | $24.50 Strike: $24.50 | $73,500.00 |
DisclosureSEC source: 0000878526-19-000040 · wf-form4_155122161675953.xml · derivative · entry 5 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Underlying: Common Stock · 3,000 shares Expires 2020-06-05 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 |
| February 22, 2019 Filed Feb 26, 2019 17:53 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionNonqualified Stock Option · Derivative | 5,000 | $14.34 Strike: $14.34 | $71,700.00 |
DisclosureSEC source: 0000878526-19-000040 · wf-form4_155122161675953.xml · derivative · entry 4 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2019-06-07 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 |
| February 22, 2019 Filed Feb 26, 2019 17:53 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionCommon Stock, $0.001 par value per share | 3,000 | $24.50 | $73,500.00 |
DisclosureSEC source: 0000878526-19-000040 · wf-form4_155122161675953.xml · nonDerivative · entry 2 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,392 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 |
| February 22, 2019 Filed Feb 26, 2019 17:53 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionCommon Stock, $0.001 par value per share | 5,000 | $14.34 | $71,700.00 |
DisclosureSEC source: 0000878526-19-000040 · wf-form4_155122161675953.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,392 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 19, 2018 Filed Nov 20, 2018 17:18 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 14,750 | $33.54 | $494,715.00 |
DisclosureSEC source: 0000878526-18-000165 · wf-form4_154275227374360.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,392 F1 · price: This transaction was executed in multiple trades at prices ranging from $33.15 to $33.90. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| July 31, 2018 Filed Jul 31, 2018 19:53 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 500 | $36.05 | $18,025.00 |
DisclosureSEC source: 0000878526-18-000132 · wf-form4_153308116990589.xml · nonDerivative · entry 4 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,142 Read SEC document |
| July 31, 2018 Filed Jul 31, 2018 19:53 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 3,240 | $36.00 | $116,640.00 |
DisclosureSEC source: 0000878526-18-000132 · wf-form4_153308116990589.xml · nonDerivative · entry 3 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,642 Read SEC document |
| July 27, 2018 Filed Jul 31, 2018 19:53 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 4,100 | $34.03 | $139,523.00 |
DisclosureSEC source: 0000878526-18-000132 · wf-form4_153308116990589.xml · nonDerivative · entry 2 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,882 Read SEC document |
| July 27, 2018 Filed Jul 31, 2018 19:53 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 5,000 | $34.17 | $170,850.00 |
DisclosureSEC source: 0000878526-18-000132 · wf-form4_153308116990589.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,982 F1 · price: This transaction was executed in multiple trades at prices ranging from $35.15 to $35.20. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| June 22, 2018 Filed Jun 26, 2018 17:03 UTC | NATUS MEDICAL INC BABY · Entity 125256 | GrantCommon Stock, $0.001 par value per share | 4,132 | $36.30 | $149,991.60 |
DisclosureSEC source: 0000878526-18-000106 · wf-form4_153004698164978.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,982 F1 · shares: The shares vest in full on first anniversary of the date of the award. Read SEC document |
| May 02, 2018 Filed May 4, 2018 16:44 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionNonqualified Stock Option · Derivative | 5,000 | $10.69 Strike: $10.69 | $53,450.00 |
DisclosureSEC source: 0000878526-18-000055 · wf-form4_152546664118675.xml · derivative · entry 2 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2018-06-08 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 |
| May 02, 2018 Filed May 4, 2018 16:44 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionCommon Stock, $0.001 par value per share | 5,000 | $10.69 | $53,450.00 |
DisclosureSEC source: 0000878526-18-000055 · wf-form4_152546664118675.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,850 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 |
| September 14, 2017 Filed Sep 15, 2017 16:20 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 4,400 | $35.17 | $154,748.00 |
DisclosureSEC source: 0000878526-17-000080 · wf-form4_150550683174959.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,850 F1 · price: This transaction was executed in multiple trades at prices ranging from $35.15 to $35.20. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 12:57 UTC | NATUS MEDICAL INC BABY · Entity 125256 | GrantCommon Stock, $0.001 par value per share | 4,100 | $35.60 | $145,960.00 |
DisclosureSEC source: 0000878526-17-000056 · wf-form4_149823704242865.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,250 F1 · shares: The shares vest in full on first anniversary of the date of the award. Read SEC document |
| February 09, 2017 Filed Feb 10, 2017 17:10 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionNonqualified Stock Option · Derivative | 5,000 | $0.00 Strike: $16.38 | $0.00 |
DisclosureSEC source: 0000878526-17-000015 · wf-form4_148676460213771.xml · derivative · entry 3 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2017-06-01 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 |
| February 09, 2017 Filed Feb 10, 2017 17:10 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 5,000 | $36.00 | $180,000.00 |
DisclosureSEC source: 0000878526-17-000015 · wf-form4_148676460213771.xml · nonDerivative · entry 2 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,150 Read SEC document |
| February 09, 2017 Filed Feb 10, 2017 17:10 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionCommon Stock, $0.001 par value per share | 5,000 | $16.38 | $81,900.00 |
DisclosureSEC source: 0000878526-17-000015 · wf-form4_148676460213771.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,150 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 |
| October 24, 2016 Filed Oct 24, 2016 20:11 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 3,250 | $41.92 | $136,237.40 |
DisclosureSEC source: 0000878526-16-000199 · wf-form4_147735427781207.xml · nonDerivative · entry 1 GUNST ROBERT A · CIK 0001247930 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,150 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.