Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (4)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
BROCADE COMMUNICATIONS SYSTEMS INC
Report date November 17, 2017 · Filed November 21, 2017
Section 16 reporting ended · disclosed 2017-11-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-11-17 transaction · row 1
1 source rowRow 1 · 2017-11-17 · Disposition to issuer · Disposed 127,987 · Balance 0 F1: Pursuant to the terms of the Agreement and Plan of Merger, dated as of November 2, 2016 (the "Merger Agreement"), by and among Brocade Communications Systems, Inc. (the "Company"), Broadcom Limited, a limited company organized under the laws of the Republic of Singapore ("Ultimate Parent"), Broadcom Corporation, a California corporation and an indirect subsidiary of Ultimate Parent, and Bobcat Merger Sub, Inc., a Delaware corporation and a direct wholly owned subsidiary of Parent ("Merger Sub"), as assigned by Broadcom Corporation to LSI Corporation, a Delaware corporation ("Parent"), on November 17, 2017, Merger Sub merged with and into the Company (the "Merger"), and in connection therewith the Reporting Person disposed of these shares in exchange for $12.75 per share, without interest. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.55 | Direct | 0 |
Reported balance
After 2017-11-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-11-17 · Disposition to issuer · Disposed 20,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this stock option was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-11-17 · Disposition to issuer · Disposed 16,013 · Balance 0 F3: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F4: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the Agreement and Plan of Merger, dated as of November 2, 2016 (the "Merger Agreement"), by and among Brocade Communications Systems, Inc. (the "Company"), Broadcom Limited, a limited company organized under the laws of the Republic of Singapore ("Ultimate Parent"), Broadcom Corporation, a California corporation and an indirect subsidiary of Ultimate Parent, and Bobcat Merger Sub, Inc., a Delaware corporation and a direct wholly owned subsidiary of Parent ("Merger Sub"), as assigned by Broadcom Corporation to LSI Corporation, a Delaware corporation ("Parent"), on November 17, 2017, Merger Sub merged with and into the Company (the "Merger"), and in connection therewith the Reporting Person disposed of these shares in exchange for $12.75 per share, without interest.
F2: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this stock option was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award.
F3: Each restricted stock unit represents a contingent right to receive one share of Company common stock.
F4: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75.
NetApp, Inc.
Report date September 12, 2018 · Filed September 14, 2018
Section 16 reporting ended · disclosed 2018-09-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 26,887 |
Ending reported balance
After 2018-09-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-09-12 · Exercise / conversion · Acquired 6,150 · Balance 18,971 Row 2 · 2018-09-12 · Exercise / conversion · Acquired 7,916 · Balance 26,887 |
| Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 7,916 |
Reported balance
After 2018-09-12 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-09-12 · Exercise / conversion · Disposed 6,150 · Balance 7,916 F1: Restricted stock units convert into common stock on a one-for-one basis. F2: On September 14, 2017, the reporting person was granted 6,150 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the subject to the Participant's continuous service on the Board through such date. |
| Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2018-09-12 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-09-12 · Exercise / conversion · Disposed 7,916 · Balance 0 F1: Restricted stock units convert into common stock on a one-for-one basis. F3: On September 11, 2015, the reporting person was granted 7,916 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant?s continuous service on the Board through such date. The RSUs have been deferred and the payout shall be within 30 days of the earlier of the date his service on the Board ceases for any reason of the date on which a Change of Control occurs. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock units convert into common stock on a one-for-one basis.
F2: On September 14, 2017, the reporting person was granted 6,150 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the subject to the Participant's continuous service on the Board through such date.
F3: On September 11, 2015, the reporting person was granted 7,916 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant?s continuous service on the Board through such date. The RSUs have been deferred and the payout shall be within 30 days of the earlier of the date his service on the Board ceases for any reason of the date on which a Change of Control occurs.
Rovi Corp
Report date September 07, 2016 · Filed September 08, 2016
Section 16 reporting ended · disclosed 2016-09-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2016-09-07 transaction · row 1
1 source rowRow 1 · 2016-09-07 · Disposition to issuer · Disposed 43,907 · Balance 0 F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated as of April 28, 2016 (the "Merger Agreement"), by and among the issuer, TiVo Corporation (f/k/a Titan Technologies Corporation), TiVo Inc., Titan Acquisition Sub, Inc., and Nova Acquisition Sub, Inc., and related statutory merger agreement between Nova Acquisition Sub, Inc. and issuer (the "Rovi Merger Agreement"), in a one-for-one exchange of TiVo Corporation common stock. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $37.99 · Expires 2017-05-04 | Direct | 0 |
Reported balance
After 2016-09-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2016-09-07 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F3: Granted May 4, 2010. Fully vested May 4, 2011. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $57.63 · Expires 2018-07-01 | Direct | 0 |
Reported balance
After 2016-09-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-09-07 · Disposition to issuer · Disposed 15,000 · Balance 0 F2: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F4: Granted July 1, 2011. Fully vested July 1, 2012. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated as of April 28, 2016 (the "Merger Agreement"), by and among the issuer, TiVo Corporation (f/k/a Titan Technologies Corporation), TiVo Inc., Titan Acquisition Sub, Inc., and Nova Acquisition Sub, Inc., and related statutory merger agreement between Nova Acquisition Sub, Inc. and issuer (the "Rovi Merger Agreement"), in a one-for-one exchange of TiVo Corporation common stock.
F2: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option.
F3: Granted May 4, 2010. Fully vested May 4, 2011.
F4: Granted July 1, 2011. Fully vested July 1, 2012.
TiVo Corp
Report date June 01, 2020 · Filed June 03, 2020
Section 16 reporting ended · disclosed 2020-06-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-06-01 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2020-06-01 · Disposition to issuer · Disposed 64,382 · Balance 0 F1: Shares of common stock of the Issuer were converted into shares of Xperi Holding Corporation, a Delaware corporation ("HoldCo") pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of December 18, 2019, as amended on January 31, 2020 (the "Merger Agreement"), by and among the Issuer, Xperi Corporation, a Delaware corporation, HoldCo, XRAY Merger Sub Corporation, a Delaware corporation, and TWOLF Merger Sub Corporation, a Delaware corporation. Pursuant to the terms of the Merger Agreement, each share of Issuer common stock was exchanged for 0.455 shares of HoldCo common stock, in addition to cash in lieu of any fractional shares. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-06-01 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2020-06-01 · Disposition to issuer · Disposed 21,709 · Balance 0 F2: Shares of common stock of the Issuer, subject to a restricted stock award, were vested and converted into shares of HoldCo pursuant to the Merger Agreement. Pursuant to the terms of the Merger Agreement, each share of Issuer common stock was exchanged for 0.455 shares of HoldCo common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of common stock of the Issuer were converted into shares of Xperi Holding Corporation, a Delaware corporation ("HoldCo") pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of December 18, 2019, as amended on January 31, 2020 (the "Merger Agreement"), by and among the Issuer, Xperi Corporation, a Delaware corporation, HoldCo, XRAY Merger Sub Corporation, a Delaware corporation, and TWOLF Merger Sub Corporation, a Delaware corporation. Pursuant to the terms of the Merger Agreement, each share of Issuer common stock was exchanged for 0.455 shares of HoldCo common stock, in addition to cash in lieu of any fractional shares.
F2: Shares of common stock of the Issuer, subject to a restricted stock award, were vested and converted into shares of HoldCo pursuant to the Merger Agreement. Pursuant to the terms of the Merger Agreement, each share of Issuer common stock was exchanged for 0.455 shares of HoldCo common stock.
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 01, 2020 Filed Jun 3, 2020 17:20 UTC | TiVo Corp TIVO · Entity 148712 | Disposition to issuerCommon Stock | 21,709 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001593678-20-000026 · edgar.xml · nonDerivative · entry 2 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · shares: Shares of common stock of the Issuer, subject to a restricted stock award, were vested and converted into shares of HoldCo pursuant to the Merger Agreement. Pursuant to the terms of the Merger Agreement, each share of Issuer common stock was exchanged for 0.455 shares of HoldCo common stock. F2 · price: Shares of common stock of the Issuer, subject to a restricted stock award, were vested and converted into shares of HoldCo pursuant to the Merger Agreement. Pursuant to the terms of the Merger Agreement, each share of Issuer common stock was exchanged for 0.455 shares of HoldCo common stock. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 17:20 UTC | TiVo Corp TIVO · Entity 148712 | Disposition to issuerCommon Stock | 64,382 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001593678-20-000026 · edgar.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Shares of common stock of the Issuer were converted into shares of Xperi Holding Corporation, a Delaware corporation ("HoldCo") pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of December 18, 2019, as amended on January 31, 2020 (the "Merger Agreement"), by and among the Issuer, Xperi Corporation, a Delaware corporation, HoldCo, XRAY Merger Sub Corporation, a Delaware corporation, and TWOLF Merger Sub Corporation, a Delaware corporation. Pursuant to the terms of the Merger Agreement, each share of Issuer common stock was exchanged for 0.455 shares of HoldCo common stock, in addition to cash in lieu of any fractional shares. F1 · price: Shares of common stock of the Issuer were converted into shares of Xperi Holding Corporation, a Delaware corporation ("HoldCo") pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of December 18, 2019, as amended on January 31, 2020 (the "Merger Agreement"), by and among the Issuer, Xperi Corporation, a Delaware corporation, HoldCo, XRAY Merger Sub Corporation, a Delaware corporation, and TWOLF Merger Sub Corporation, a Delaware corporation. Pursuant to the terms of the Merger Agreement, each share of Issuer common stock was exchanged for 0.455 shares of HoldCo common stock, in addition to cash in lieu of any fractional shares. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 17:15 UTC | TiVo Corp TIVO · Entity 148712 | GrantCommon Stock | 21,709 | $0.00 | $21.71 |
DisclosureSEC source: 0001593678-19-000056 · edgar.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,091 F1 · shares: Granted July 1, 2019, this restricted stock award vests 100% on the first anniversary of the grant date. Read SEC document |
| September 12, 2018 Filed Sep 14, 2018 20:27 UTC | NetApp, Inc. NTAP · Entity 3101 | Exercise / conversionRestricted Stock Unit · Derivative | 7,916 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001614094-18-000102 · edgardoc.xml · derivative · entry 4 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,916 shares Expires not disclosed 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_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On September 11, 2015, the reporting person was granted 7,916 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant?s continuous service on the Board through such date. The RSUs have been deferred and the payout shall be within 30 days of the earlier of the date his service on the Board ceases for any reason of the date on which a Change of Control occurs. F3 · derivative.expiration_date: On September 11, 2015, the reporting person was granted 7,916 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant?s continuous service on the Board through such date. The RSUs have been deferred and the payout shall be within 30 days of the earlier of the date his service on the Board ceases for any reason of the date on which a Change of Control occurs. Read SEC document |
| September 12, 2018 Filed Sep 14, 2018 20:27 UTC | NetApp, Inc. NTAP · Entity 3101 | Exercise / conversionRestricted Stock Unit · Derivative | 6,150 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001614094-18-000102 · edgardoc.xml · derivative · entry 3 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,916 Underlying: Common Stock · 6,150 shares Expires not disclosed 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_price: Restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: On September 14, 2017, the reporting person was granted 6,150 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the subject to the Participant's continuous service on the Board through such date. F2 · derivative.expiration_date: On September 14, 2017, the reporting person was granted 6,150 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the subject to the Participant's continuous service on the Board through such date. Read SEC document |
| September 12, 2018 Filed Sep 14, 2018 20:27 UTC | NetApp, Inc. NTAP · Entity 3101 | Exercise / conversionCommon Stock | 7,916 | $0.00 | $0.00 |
DisclosureSEC source: 0001614094-18-000102 · edgardoc.xml · nonDerivative · entry 2 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,887 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 12, 2018 Filed Sep 14, 2018 20:27 UTC | NetApp, Inc. NTAP · Entity 3101 | Exercise / conversionCommon Stock | 6,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001614094-18-000102 · edgardoc.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,971 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 |
| July 01, 2018 Filed Jul 3, 2018 18:14 UTC | TiVo Corp TIVO · Entity 148712 | GrantCommon Stock | 11,896 | $0.00 | $11.90 |
DisclosureSEC source: 0001593678-18-000052 · edgar.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,382 F1 · shares: Granted July 1, 2018, this restricted stock award vests 100% on the first anniversary of the grant date. Read SEC document |
| November 17, 2017 Filed Nov 20, 2017 21:31 UTC | NetApp, Inc. NTAP · Entity 3101 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 11,416 | $53.03 Strike: $43.77 | $605,390.48 |
DisclosureSEC source: 0001614094-17-000126 · edgardoc.xml · derivative · entry 3 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,416 shares Expires 2020-09-12 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: The option is immediately exercisable, but any shares purchased under the option will be subject to repurchase by the Company at the option exercise price paid per share, upon the reporting person's cessation of Board service prior to vesting in those shares. The shares will vest upon the reporting person's continuation in Board service through the day immediately preceding the next Annual Stockholders Meeting following the grant date. Read SEC document |
| November 17, 2017 Filed Nov 20, 2017 21:31 UTC | NetApp, Inc. NTAP · Entity 3101 | SaleCommon Stock | 11,416 | $53.03 | $605,390.48 |
DisclosureSEC source: 0001614094-17-000126 · edgardoc.xml · nonDerivative · entry 2 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,821 Read SEC document |
| November 17, 2017 Filed Nov 20, 2017 21:31 UTC | NetApp, Inc. NTAP · Entity 3101 | Exercise / conversionCommon Stock | 11,416 | $43.77 | $499,678.32 |
DisclosureSEC source: 0001614094-17-000126 · edgardoc.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,237 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 17, 2017 Filed Nov 21, 2017 18:46 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Disposition to issuerRestricted Stock Unit · Derivative | 16,013 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-062182 · doc4.xml · derivative · entry 3 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,013 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75. F4 · balance_after: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 18:46 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $5.55 | $0.00 |
DisclosureSEC source: 0001209191-17-062182 · doc4.xml · derivative · entry 2 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires not disclosed F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this stock option was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award. F2 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this stock option was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award. F2 · balance_after: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this stock option was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 18:46 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Disposition to issuerCommon Stock | 127,987 | $12.75 | $1,631,834.25 |
DisclosureSEC source: 0001209191-17-062182 · doc4.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of November 2, 2016 (the "Merger Agreement"), by and among Brocade Communications Systems, Inc. (the "Company"), Broadcom Limited, a limited company organized under the laws of the Republic of Singapore ("Ultimate Parent"), Broadcom Corporation, a California corporation and an indirect subsidiary of Ultimate Parent, and Bobcat Merger Sub, Inc., a Delaware corporation and a direct wholly owned subsidiary of Parent ("Merger Sub"), as assigned by Broadcom Corporation to LSI Corporation, a Delaware corporation ("Parent"), on November 17, 2017, Merger Sub merged with and into the Company (the "Merger"), and in connection therewith the Reporting Person disposed of these shares in exchange for $12.75 per share, without interest. Read SEC document |
| September 14, 2017 Filed Sep 15, 2017 20:41 UTC | NetApp, Inc. NTAP · Entity 3101 | GrantRestricted Stock Unit · Derivative | 6,150 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001614094-17-000082 · edgardoc.xml · derivative · entry 3 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,066 Underlying: Common Stock · 6,150 shares Expires not disclosed F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On September 14, 2017, the reporting person was granted 6,150 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the subject to the Participant's continuous service on the Board through such date. F3 · derivative.expiration_date: On September 14, 2017, the reporting person was granted 6,150 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the subject to the Participant's continuous service on the Board through such date. Read SEC document |
| September 13, 2017 Filed Sep 15, 2017 20:41 UTC | NetApp, Inc. NTAP · Entity 3101 | Exercise / conversionRestricted Stock Unit · Derivative | 7,132 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001614094-17-000082 · edgardoc.xml · derivative · entry 2 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,916 Underlying: Common Stock · 7,132 shares Expires not disclosed 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_price: Restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: On September 15, 2016, the reporting person was granted 7,132 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant's continuous service on the Board through such date. F2 · derivative.expiration_date: On September 15, 2016, the reporting person was granted 7,132 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant's continuous service on the Board through such date. Read SEC document |
| September 13, 2017 Filed Sep 15, 2017 20:41 UTC | NetApp, Inc. NTAP · Entity 3101 | Exercise / conversionCommon Stock | 7,132 | $0.00 | $0.00 |
DisclosureSEC source: 0001614094-17-000082 · edgardoc.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,821 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 · price: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:25 UTC | TiVo Corp TIVO · Entity 148712 | GrantCommon Stock | 8,579 | $0.00 | $8.58 |
DisclosureSEC source: 0001593678-17-000026 · edgar.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,486 F1 · shares: Restricted Stock Award subject to a one-year vesting period, with all shares vesting on the first anniversary of the grant date. Read SEC document |
| April 11, 2017 Filed Apr 13, 2017 09:54 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | GrantCommon Stock | 16,013 | $0.00 | $0.00 |
DisclosureSEC source: 0001009626-17-000035 · wf-form4_149209164140883.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,987 F1 · shares: Represents an automatic non-discretionary annual grant of restricted stock units that will vest in full no later than April 11, 2018 subject to the terms of the 2009 Director Plan, as amended. Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. F2 · balance_after: Amount of securities beneficially owned includes 16,013 unvested restricted stock units. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 21:32 UTC | NetApp, Inc. NTAP · Entity 3101 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 10,000 | $42.46 Strike: $40.38 | $424,574.00 |
DisclosureSEC source: 0001614094-17-000016 · edgardoc.xml · derivative · entry 5 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2017-08-30 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. F2 · derivative.exercise_date: The option is immediately exercisable, but any shares purchased under the option will be subject to repurchase by the Company at the option exercise price paid per share, upon the reporting person's cessation of Board service prior to vesting in those shares. The shares will vest upon the reporting person's continuation in Board service through the day immediately preceding the next Annual Stockholders Meeting following the grant date. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 21:32 UTC | NetApp, Inc. NTAP · Entity 3101 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 11,500 | $42.46 Strike: $37.62 | $488,260.10 |
DisclosureSEC source: 0001614094-17-000016 · edgardoc.xml · derivative · entry 4 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,500 shares Expires 2018-08-30 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. F2 · derivative.exercise_date: The option is immediately exercisable, but any shares purchased under the option will be subject to repurchase by the Company at the option exercise price paid per share, upon the reporting person's cessation of Board service prior to vesting in those shares. The shares will vest upon the reporting person's continuation in Board service through the day immediately preceding the next Annual Stockholders Meeting following the grant date. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 21:32 UTC | NetApp, Inc. NTAP · Entity 3101 | SaleCommon Stock | 27,422 | $42.46 | $1,164,296.99 |
DisclosureSEC source: 0001614094-17-000016 · edgardoc.xml · nonDerivative · entry 3 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,689 F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $42.45 to $42.49. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 21:32 UTC | NetApp, Inc. NTAP · Entity 3101 | Exercise / conversionCommon Stock | 11,500 | $37.62 | $432,630.00 |
DisclosureSEC source: 0001614094-17-000016 · edgardoc.xml · nonDerivative · entry 2 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,111 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 |
| March 08, 2017 Filed Mar 10, 2017 21:32 UTC | NetApp, Inc. NTAP · Entity 3101 | Exercise / conversionCommon Stock | 10,000 | $40.38 | $403,800.00 |
DisclosureSEC source: 0001614094-17-000016 · edgardoc.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,611 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 |
| December 14, 2016 Filed Dec 15, 2016 21:19 UTC | NetApp, Inc. NTAP · Entity 3101 | SaleCommon Stock | 6,166 | $36.25 | $223,517.50 |
DisclosureSEC source: 0001614094-16-000195 · edgardoc.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,611 Read SEC document |
| September 15, 2016 Filed Sep 16, 2016 20:46 UTC | NetApp, Inc. NTAP · Entity 3101 | GrantRestricted Stock Unit · Derivative | 7,132 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001614094-16-000169 · edgardoc.xml · derivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,048 Underlying: Common Stock · 7,132 shares Expires not disclosed F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: On September 15, 2016, the reporting person was granted 7,132 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant's continuous service on the Board through such date. F2 · derivative.expiration_date: On September 15, 2016, the reporting person was granted 7,132 restricted stock units which vest on the day immediately preceding the date of the next Annual Stockholders Meeting of the Company following the Grant Date, subject to the Participant's continuous service on the Board through such date. Read SEC document |
| September 07, 2016 Filed Sep 8, 2016 18:18 UTC | Rovi Corp ROVI · Entity 182507 | Disposition to issuerDirector Stock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $57.63 | $0.00 |
DisclosureSEC source: 0001593678-16-000143 · edgar.xml · derivative · entry 3 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2018-07-01 F2 · derivative.exercise_price: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F2 · shares: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F2 · price: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F4 · derivative.exercise_date: Granted July 1, 2011. Fully vested July 1, 2012. Read SEC document |
| September 07, 2016 Filed Sep 8, 2016 18:18 UTC | Rovi Corp ROVI · Entity 182507 | Disposition to issuerDirector Stock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $37.99 | $0.00 |
DisclosureSEC source: 0001593678-16-000143 · edgar.xml · derivative · entry 2 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2017-05-04 F2 · derivative.exercise_price: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F2 · shares: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F2 · price: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F3 · derivative.exercise_date: Granted May 4, 2010. Fully vested May 4, 2011. Read SEC document |
| September 07, 2016 Filed Sep 8, 2016 18:18 UTC | Rovi Corp ROVI · Entity 182507 | Disposition to issuerCommon Stock | 43,907 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001593678-16-000143 · edgar.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to that certain Agreement and Plan of Merger, dated as of April 28, 2016 (the "Merger Agreement"), by and among the issuer, TiVo Corporation (f/k/a Titan Technologies Corporation), TiVo Inc., Titan Acquisition Sub, Inc., and Nova Acquisition Sub, Inc., and related statutory merger agreement between Nova Acquisition Sub, Inc. and issuer (the "Rovi Merger Agreement"), in a one-for-one exchange of TiVo Corporation common stock. Read SEC document |
| September 07, 2016 Filed Sep 9, 2016 18:46 UTC | TiVo Corp TIVO · Entity 148712 | GrantDirector Stock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $57.63 | $0.00 |
DisclosureSEC source: 0001593678-16-000193 · edgar.xml · derivative · entry 3 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2018-07-01 F2 · derivative.exercise_price: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F2 · shares: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F2 · price: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F4 · derivative.exercise_date: Original grant date July 1, 2011. Fully vested July 1, 2012. Read SEC document |
| September 07, 2016 Filed Sep 9, 2016 18:46 UTC | TiVo Corp TIVO · Entity 148712 | GrantDirector Stock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $37.99 | $0.00 |
DisclosureSEC source: 0001593678-16-000193 · edgar.xml · derivative · entry 2 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2017-05-04 F2 · derivative.exercise_price: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F2 · shares: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F2 · price: Option was assumed by TiVo Corporation pursuant to the Merger Agreement and the Rovi Merger Agreement and was converted into an option to purchase an equivalent number of shares of TiVo Corporation common stock at an equivalent exercise price and under the same terms and conditions as the original option. F3 · derivative.exercise_date: Original grant date May 4, 2010. Fully vested May 4, 2011. Read SEC document |
| September 07, 2016 Filed Sep 9, 2016 18:46 UTC | TiVo Corp TIVO · Entity 148712 | GrantCommon Stock | 43,907 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001593678-16-000193 · edgar.xml · nonDerivative · entry 1 EARHART ALAN L · CIK 0001246846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,907 F1 · price: Acquired pursuant to that certain Agreement and Plan of Merger, dated as of April 28, 2016 (the "Merger Agreement"), by and among the issuer, TiVo Corporation (f/k/a Titan Technologies Corporation), TiVo Inc., Titan Merger Sub, Inc., and Nova Acquisition Sub, Inc., and related statutory merger agreement between Nova Acquisition Sub, Inc. and issuer (the "Rovi Merger Agreement"), in a one-for-one exchange of TiVo Corporation common stock. 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.