Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Penguin Solutions, Inc.SGH · Entity 4377 | VP, Chief Legal Officer | March 12, 2020 | March 16, 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.
Penguin Solutions, Inc.
Report date March 12, 2020 · Filed March 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 19,341 |
Reported balance
After 2020-03-12 transaction · row 1
1 source rowRow 1 · 2020-03-12 · Grant · Acquired 18,000 · Balance 19,341 F1: Reflects an RSU award that will vest as to 33% on 3/12/2021 and the remaining shares will vest semi-annually over the next two years. |
| Employee Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.39 · Expires 2030-03-12 | Direct | 30,000 |
Reported balance
After 2020-03-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-03-12 · Grant · Acquired 30,000 · Balance 30,000 F2: The option will vest and become exercisable as to 25% on 3/12/2021, and the remaining shares will vest monthly and become exercisable over the next three years. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects an RSU award that will vest as to 33% on 3/12/2021 and the remaining shares will vest semi-annually over the next two years.
F2: The option will vest and become exercisable as to 25% on 3/12/2021, and the remaining shares will vest monthly and become exercisable over the next three years.
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 12, 2020 Filed Mar 16, 2020 20:09 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GrantEmployee Stock Options (right to buy) · Derivative | 30,000 | $0.00 Strike: $18.39 | $0.00 |
DisclosureSEC source: 0000950103-20-005322 · dp123955_4-goldberg.xml · derivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Ordinary Shares · 30,000 shares Expires 2030-03-12 F2 · derivative.exercise_date: The option will vest and become exercisable as to 25% on 3/12/2021, and the remaining shares will vest monthly and become exercisable over the next three years. Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 20:09 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GrantOrdinary Shares | 18,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-005322 · dp123955_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,341 F1 · shares: Reflects an RSU award that will vest as to 33% on 3/12/2021 and the remaining shares will vest semi-annually over the next two years. Read SEC document |
| January 30, 2020 Filed Jan 31, 2020 18:02 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Tax withholdingOrdinary Shares | 926 | $32.12 | $29,743.12 |
DisclosureSEC source: 0000950103-20-001664 · dp120328_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,341 F1 · shares: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold. Read SEC document |
| August 12, 2019 Filed Aug 14, 2019 21:11 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,200 | $27.71 | $60,962.00 |
DisclosureSEC source: 0000950103-19-010869 · dp111308_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,267 F1 · shares: The transactions were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018. F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $27.40 to $28.00. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. Read SEC document |
| July 30, 2019 Filed Aug 1, 2019 20:36 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,267 | $31.75 | $71,977.25 |
DisclosureSEC source: 0000950103-19-010236 · dp110739_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,467 F1 · shares: The transactions were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018. F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.13 to $32.12. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. Read SEC document |
| May 20, 2019 Filed May 22, 2019 16:26 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 2,381 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000950103-19-006698 · dp107093_4-goldberg.xml · derivative · entry 3 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 2,381 shares Expires 2019-08-24 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: The option vested and became exercisable in full by 08/24/2013. Read SEC document |
| May 20, 2019 Filed May 22, 2019 16:26 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,381 | $18.39 | $43,791.35 |
DisclosureSEC source: 0000950103-19-006698 · dp107093_4-goldberg.xml · nonDerivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,734 F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $18.17 to $18.62. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| May 20, 2019 Filed May 22, 2019 16:26 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 2,381 | $2.64 | $6,285.84 |
DisclosureSEC source: 0000950103-19-006698 · dp107093_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,115 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transactions were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018. Read SEC document |
| April 22, 2019 Filed Apr 24, 2019 12:19 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 2,000 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000950103-19-005060 · dp105424_4-goldberg.xml · derivative · entry 3 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,381 Underlying: Ordinary Shares · 2,000 shares Expires 2019-08-24 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: The option vested and became exercisable in full by 08/24/2013. Read SEC document |
| April 22, 2019 Filed Apr 24, 2019 12:19 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,000 | $22.13 | $44,260.00 |
DisclosureSEC source: 0000950103-19-005060 · dp105424_4-goldberg.xml · nonDerivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,734 F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $21.81 to $22.37. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| April 22, 2019 Filed Apr 24, 2019 12:19 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 2,000 | $2.64 | $5,280.00 |
DisclosureSEC source: 0000950103-19-005060 · dp105424_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,734 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transactions were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 16:07 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 2,000 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000950103-19-003595 · dp103973_4-goldberg.xml · derivative · entry 3 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,381 Underlying: Ordinary Shares · 2,000 shares Expires 2019-08-24 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: The option vested and became exercisable in full by 08/24/2013. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 16:07 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,000 | $25.04 | $50,080.00 |
DisclosureSEC source: 0000950103-19-003595 · dp103973_4-goldberg.xml · nonDerivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,734 F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $24.92 to $25.32. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 16:07 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 2,000 | $2.64 | $5,280.00 |
DisclosureSEC source: 0000950103-19-003595 · dp103973_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,734 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transactions were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018. Read SEC document |
| February 22, 2019 Filed Feb 22, 2019 16:58 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,957 | $30.71 | $60,099.47 |
DisclosureSEC source: 0000950103-19-002261 · dp102636_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · V.P., Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,734 F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018. F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $30.03 to $30.92. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| January 30, 2019 Filed Feb 1, 2019 14:02 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,200 | $24.26 | $53,372.00 |
DisclosureSEC source: 0000950103-19-001432 · dp101808_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · V.P., Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,691 F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018. F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $24.12 to $24.44. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| January 22, 2019 Filed Jan 25, 2019 20:49 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GrantEmployee Stock Options (right to buy) · Derivative | 20,000 | $0.00 Strike: $21.55 | $0.00 |
DisclosureSEC source: 0000950103-19-000918 · dp101268_4-goldberg.xml · derivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · V.P., Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Ordinary Shares · 20,000 shares Expires 2029-01-22 F1 · derivative.exercise_date: The option will vest and become exerciseable as to 25% on 1/22/2020, and the remaining shares will vest monthly and become exerciseable over four years. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 10:58 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 3,042 | $0.00 Strike: $11.55 | $0.00 |
DisclosureSEC source: 0000950103-18-014945 · dp100030_4-goldberg.xml · derivative · entry 4 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 3,042 shares Expires 2026-05-23 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. F4 · derivative.exercise_date: The original option vested and became exercisable 50% in May 2017 with the remainder vesting quarterly through May 2018. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 10:58 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,002 | $31.00 | $31,062.00 |
DisclosureSEC source: 0000950103-18-014945 · dp100030_4-goldberg.xml · nonDerivative · entry 3 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,891 F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $30.63 to $31.47. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 10:58 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,040 | $29.81 | $60,812.40 |
DisclosureSEC source: 0000950103-18-014945 · dp100030_4-goldberg.xml · nonDerivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,893 F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $29.30 to $30.20. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 10:58 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 3,042 | $11.55 | $35,135.10 |
DisclosureSEC source: 0000950103-18-014945 · dp100030_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,933 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017and modified on 04/07/2018 and 08/03/2018 . Read SEC document |
| October 11, 2018 Filed Oct 15, 2018 16:24 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 3,836 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000950103-18-012033 · dp96980_4-goldberg.xml · derivative · entry 4 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 3,836 shares Expires 2020-09-27 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. F4 · derivative.exercise_date: The option was granted on 09/28/2010 and was fully vested on 09/28/2014. Read SEC document |
| October 11, 2018 Filed Oct 15, 2018 16:24 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 3,436 | $30.26 | $103,973.36 |
DisclosureSEC source: 0000950103-18-012033 · dp96980_4-goldberg.xml · nonDerivative · entry 3 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,891 F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $29.69 to $30.55. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| October 11, 2018 Filed Oct 15, 2018 16:24 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 400 | $28.51 | $11,404.00 |
DisclosureSEC source: 0000950103-18-012033 · dp96980_4-goldberg.xml · nonDerivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,327 F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $28.15 to $29.03.The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| October 11, 2018 Filed Oct 15, 2018 16:24 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 3,836 | $2.64 | $10,127.04 |
DisclosureSEC source: 0000950103-18-012033 · dp96980_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,727 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transactions reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018. Read SEC document |
| September 04, 2018 Filed Sep 6, 2018 12:19 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 3,600 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000950103-18-010556 · dp95476_4-goldberg.xml · derivative · entry 4 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,836 Underlying: Ordinary Shares · 3,600 shares Expires 2020-09-27 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. F4 · derivative.exercise_date: The option was granted on 09/28/2010 and was fully vested on 09/28/2014. Read SEC document |
| September 04, 2018 Filed Sep 6, 2018 12:19 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 200 | $32.88 | $6,576.00 |
DisclosureSEC source: 0000950103-18-010556 · dp95476_4-goldberg.xml · nonDerivative · entry 3 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,891 F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $32.48 to $33.01. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| September 04, 2018 Filed Sep 6, 2018 12:19 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 3,400 | $31.99 | $108,766.00 |
DisclosureSEC source: 0000950103-18-010556 · dp95476_4-goldberg.xml · nonDerivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,091 F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.48 to $32.42. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| September 04, 2018 Filed Sep 6, 2018 12:19 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 3,600 | $2.64 | $9,504.00 |
DisclosureSEC source: 0000950103-18-010556 · dp95476_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,491 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transactions reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018. Read SEC document |
| August 13, 2018 Filed Aug 15, 2018 14:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 3,600 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000950103-18-009701 · dp94574_4-goldberg.xml · derivative · entry 4 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,436 Underlying: Ordinary Shares · 3,600 shares Expires 2020-09-27 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. F4 · derivative.exercise_date: The option was granted on 09/28/2010 and was fully vested on 09/28/2014. F5 · balance_after: These options were included in the reporting person's Form 3 dated 05/22/2017 with an expiration date of 02/05/2014. The correct date of these options was, at the time of the Form 3, and is now, 09/27/2020. Read SEC document |
| August 13, 2018 Filed Aug 15, 2018 14:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,588 | $31.42 | $49,894.96 |
DisclosureSEC source: 0000950103-18-009701 · dp94574_4-goldberg.xml · nonDerivative · entry 3 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,891 F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.20 to $31.62. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| August 13, 2018 Filed Aug 15, 2018 14:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,012 | $30.61 | $61,587.32 |
DisclosureSEC source: 0000950103-18-009701 · dp94574_4-goldberg.xml · nonDerivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12.479 F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $30.20 to $31.17. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| August 13, 2018 Filed Aug 15, 2018 14:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 3,600 | $2.64 | $9,504.00 |
DisclosureSEC source: 0000950103-18-009701 · dp94574_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,491 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transactions reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 19:21 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 4,131 | $0.00 Strike: $11.55 | $0.00 |
DisclosureSEC source: 0000950103-18-009064 · dp93964_4-goldberg.xml · derivative · entry 3 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,042 Underlying: Ordinary Shares · 4,131 shares Expires 2026-05-23 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: The original option vested and became exercisable 50% in May 2017 with the remainder vesting quarterly through May 2018. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 19:21 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 4,131 | $31.91 | $131,820.21 |
DisclosureSEC source: 0000950103-18-009064 · dp93964_4-goldberg.xml · nonDerivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,891 F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.61 to $32.38. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 19:21 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 4,131 | $11.55 | $47,713.05 |
DisclosureSEC source: 0000950103-18-009064 · dp93964_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,022 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 16:16 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 3,442 | $0.00 Strike: $11.55 | $0.00 |
DisclosureSEC source: 0000950103-18-007706 · dp92565_4-goldberg.xml · derivative · entry 5 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,173 Underlying: Ordinary Shares · 3,442 shares Expires 2026-05-23 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. F5 · derivative.exercise_date: The original option vested and became exercisable 50% in May 2017 with the remainder vesting quarterly through May 2018. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 16:16 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 177 | $39.64 | $7,016.28 |
DisclosureSEC source: 0000950103-18-007706 · dp92565_4-goldberg.xml · nonDerivative · entry 4 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,891 F4 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $39.35 to $40.02. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 16:16 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 948 | $35.89 | $34,023.72 |
DisclosureSEC source: 0000950103-18-007706 · dp92565_4-goldberg.xml · nonDerivative · entry 3 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,068 F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $35.67 to $36.31. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 16:16 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,317 | $35.22 | $81,604.74 |
DisclosureSEC source: 0000950103-18-007706 · dp92565_4-goldberg.xml · nonDerivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,016 F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $34.67 to $35.61. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 16:16 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 3,442 | $11.55 | $39,755.10 |
DisclosureSEC source: 0000950103-18-007706 · dp92565_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,333 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 13:11 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 3,442 | $0.00 Strike: $11.55 | $0.00 |
DisclosureSEC source: 0000950103-18-007010 · dp91897_4-goldberg.xml · derivative · entry 4 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,615 Underlying: Ordinary Shares · 3,442 shares Expires 2026-05-23 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. F4 · derivative.exercise_date: The original option vested and became exercisable 50% in May 2017 with the remainder vesting quarterly through May 2018. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 13:11 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,200 | $45.76 | $54,908.04 |
DisclosureSEC source: 0000950103-18-007010 · dp91897_4-goldberg.xml · nonDerivative · entry 3 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,891 F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $45.49 to $46.42. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 13:11 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,242 | $44.85 | $100,556.39 |
DisclosureSEC source: 0000950103-18-007010 · dp91897_4-goldberg.xml · nonDerivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,091 F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $44.38 to $45.31. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 13:11 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 3,442 | $11.55 | $39,755.10 |
DisclosureSEC source: 0000950103-18-007010 · dp91897_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,333 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017. Read SEC document |
| April 27, 2018 Filed May 1, 2018 19:40 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 2,785 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000950103-18-005698 · dp90532_4-goldberg.xml · derivative · entry 5 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,381 Underlying: Ordinary Shares · 2,785 shares Expires 2019-08-24 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. F5 · derivative.exercise_date: The original option vested and became exercisable 50% in May 2017 with the remainder vesting quarterly through May 2018. Read SEC document |
| April 27, 2018 Filed May 1, 2018 19:40 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 200 | $42.15 | $8,430.00 |
DisclosureSEC source: 0000950103-18-005698 · dp90532_4-goldberg.xml · nonDerivative · entry 4 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,891 F4 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $41.9800 to $42.9799. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. Read SEC document |
| April 27, 2018 Filed May 1, 2018 19:40 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 300 | $40.81 | $12,243.00 |
DisclosureSEC source: 0000950103-18-005698 · dp90532_4-goldberg.xml · nonDerivative · entry 3 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,091 F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $40.6200 to $41.6199. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. Read SEC document |
| April 27, 2018 Filed May 1, 2018 19:40 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 2,285 | $39.32 | $89,846.66 |
DisclosureSEC source: 0000950103-18-005698 · dp90532_4-goldberg.xml · nonDerivative · entry 2 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,391 F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $38.9600 to $39.9599. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. Read SEC document |
| April 27, 2018 Filed May 1, 2018 19:40 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 2,785 | $2.64 | $7,352.40 |
DisclosureSEC source: 0000950103-18-005698 · dp90532_4-goldberg.xml · nonDerivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,676 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017. 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.