Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PACIFIC BIOSCIENCES OF CALIFORNIA, INC.PACB · Entity 5650 | SVP, Research & Development | March 24, 2020 | March 24, 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.
PACIFIC BIOSCIENCES OF CALIFORNIA, INC.
Report date March 24, 2020 · Filed March 24, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 249,220 |
Reported balance
After 2020-03-24 transaction · row 1
1 source rowRow 1 · 2020-03-24 · Sale · Disposed 2,760 · Balance 249,220 F1: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units.
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 |
|---|---|---|---|---|---|---|
| March 24, 2020 Filed Mar 24, 2020 22:12 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 2,760 | $3.05 | $8,420.76 |
DisclosureSEC source: 0001209191-20-020995 · doc4.xml · nonDerivative · entry 1 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,220 F1 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. Read SEC document |
| February 20, 2020 Filed Feb 24, 2020 22:55 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 5,050 | $4.48 | $22,624.00 |
DisclosureSEC source: 0001209191-20-012147 · doc4.xml · nonDerivative · entry 1 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,980 F1 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. F2 · price: This sale price represents the weighted average sale price of the shares sold ranging from $4.48 to $4.485 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| February 18, 2020 Filed Feb 20, 2020 21:29 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-011070 · doc4.xml · nonDerivative · entry 1 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,030 F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest on the first anniversary of the Grant Date, provided that the Reporting Person continues to serve through the vesting date. Read SEC document |
| March 15, 2019 Filed Apr 10, 2019 20:06 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-024234 · doc4.xml · nonDerivative · entry 1 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,030 F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest on the earlier of (i) the first anniversary of the Grant Date, or (ii) the completion of the proposed acquisition of the Issuer by Illumina, Inc., provided that the Reporting Person continues to serve through the vesting date. Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 01:47 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 7,231 | $7.17 | $51,817.35 |
DisclosureSEC source: 0001209191-19-011851 · doc4.xml · nonDerivative · entry 3 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,530 F3 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units and performance awards. F4 · price: This sale price represents the weighted average sale price of the shares sold ranging from $7.16 to $7.18 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| February 15, 2019 Filed Feb 21, 2019 01:47 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantCommon Stock | 13,605 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011851 · doc4.xml · nonDerivative · entry 2 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,761 F2 · shares: Represents the number of shares earned upon satisfaction of performance goals in connection with performance-based restricted stock units. Read SEC document |
| February 15, 2019 Filed Feb 21, 2019 01:47 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantCommon Stock | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011851 · doc4.xml · nonDerivative · entry 1 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,156 F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest on the earlier of (i) the first anniversary of the Grant Date, or (ii) the completion of the proposed acquisition of the Issuer by Illumina, Inc., provided that the Reporting Person continues to serve through the vesting date. Read SEC document |
| September 01, 2018 Filed Jan 18, 2019 21:05 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | PurchaseCommon Stock | 1 | $2.01 | $2.01 |
DisclosureSEC source: 0001209191-19-004539 · doc5.xml · nonDerivative · entry 2 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,156 F1 · shares: Shares were acquired by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan. Read SEC document |
| March 01, 2018 Filed Jan 18, 2019 21:05 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | PurchaseCommon Stock | 5,989 | $2.01 | $12,013.93 |
DisclosureSEC source: 0001209191-19-004539 · doc5.xml · nonDerivative · entry 1 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,155 F1 · shares: Shares were acquired by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 22:39 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantStock Option (right to buy) · Derivative | 70,000 | $0.00 Strike: $2.57 | $0.00 |
DisclosureSEC source: 0001209191-18-011471 · doc4.xml · derivative · entry 2 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 70,000 shares Expires 2028-02-15 F2 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over the next four years, provided that the Reporting Person continues to serve through each vesting date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 22:39 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011471 · doc4.xml · nonDerivative · entry 1 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,166 F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest in equal annual installments over the next four years, provided that the Reporting Person continues to serve through each vesting date. Read SEC document |
| September 01, 2017 Filed Jan 16, 2018 21:01 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | PurchaseCommon Stock | 3,244 | $4.07 | $13,207.95 |
DisclosureSEC source: 0001209191-18-003564 · doc5.xml · nonDerivative · entry 2 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 194,166 F1 · shares: Shares were acquired by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan. Read SEC document |
| March 01, 2017 Filed Jan 16, 2018 21:01 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | PurchaseCommon Stock | 3,212 | $4.07 | $13,077.66 |
DisclosureSEC source: 0001209191-18-003564 · doc5.xml · nonDerivative · entry 1 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,922 F1 · shares: Shares were acquired by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan. Read SEC document |
| February 15, 2017 Filed Feb 16, 2017 21:04 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $5.27 | $0.00 |
DisclosureSEC source: 0001209191-17-011427 · doc4.xml · derivative · entry 1 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2027-02-15 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over the next four years, provided that the Reporting Person continues to serve through each vesting date. Read SEC document |
| October 28, 2016 Filed Oct 31, 2016 21:01 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | Exercise / conversionStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $2.18 | $0.00 |
DisclosureSEC source: 0001209191-16-147506 · doc4.xml · derivative · entry 3 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,500 Underlying: Common Stock · 20,000 shares Expires 2023-02-15 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_date: 1/5th of the shares subject to the option vested on February 15, 2014 and the balance of the shares vest monthly thereafter over the next four years, provided that the Reporting Person continues to serve through each vesting date. Read SEC document |
| October 28, 2016 Filed Oct 31, 2016 21:01 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 20,000 | $8.44 | $168,720.00 |
DisclosureSEC source: 0001209191-16-147506 · doc4.xml · nonDerivative · entry 2 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,449 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: This is the weighted average price of the shares sold, which ranged from $8.25 to $8.53 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| October 28, 2016 Filed Oct 31, 2016 21:01 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | Exercise / conversionCommon Stock | 20,000 | $2.18 | $43,600.00 |
DisclosureSEC source: 0001209191-16-147506 · doc4.xml · nonDerivative · entry 1 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,449 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 01, 2016 Filed Jan 27, 2017 21:13 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | PurchaseCommon Stock | 3,147 | $4.07 | $12,813.01 |
DisclosureSEC source: 0001209191-17-005856 · doc5.xml · nonDerivative · entry 2 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,710 F1 · shares: Shares were acquired by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan. Read SEC document |
| March 01, 2016 Filed Jan 27, 2017 21:13 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | PurchaseCommon Stock | 3,114 | $4.07 | $12,678.65 |
DisclosureSEC source: 0001209191-17-005856 · doc5.xml · nonDerivative · entry 1 Phillips James Michael · CIK 0001504238 · SVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,563 F1 · shares: Shares were acquired by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan. 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.