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 |
|---|---|---|---|---|---|---|
| April 18, 2018 Filed Jun 14, 2018 18:27 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | GrantEmployee Stock Options (right to buy) · Derivative | 17,729 | $0.00 Strike: $43.94 | $0.00 |
DisclosureSEC source: 0000950103-18-007423 · dp92297_4-goldberg.xml · derivative · entry 1 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,729 Underlying: Ordinary Shares · 17,729 shares Expires 2028-04-18 F1 · derivative.exercise_date: The option will vest and become exercisable 25% on 4/18/2019, and the remaining shares will vest monthly and become exercisable over four years. Read SEC document |
| March 19, 2018 Filed Mar 21, 2018 15:38 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 2,500 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000950103-18-003608 · dp88418_4-goldberg.xml · derivative · entry 7 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,166 Underlying: Ordinary Shares · 2,500 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 original option vested and became exercisable 50% in May 2017 with the remainder vesting quarterly through May 2018. F4 · derivative.expiration_date: The reporting person's Form 4 filed on 2/27/18 incorrectly reported the expiration date of this option as 02/05/2024. Read SEC document |
| March 19, 2018 Filed Mar 21, 2018 15:38 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 100 | $45.69 | $4,569.00 |
DisclosureSEC source: 0000950103-18-003608 · dp88418_4-goldberg.xml · nonDerivative · entry 6 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 $41.37 to $45.69. 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 |
| March 19, 2018 Filed Mar 21, 2018 15:38 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 600 | $45.31 | $27,187.02 |
DisclosureSEC source: 0000950103-18-003608 · dp88418_4-goldberg.xml · nonDerivative · entry 5 GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,991 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 $41.37 to $45.69. 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 |
| March 19, 2018 Filed Mar 21, 2018 15:38 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 200 | $43.98 | $8,795.00 |
DisclosureSEC source: 0000950103-18-003608 · dp88418_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: 11,591 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 $41.37 to $45.69. 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 |
| March 19, 2018 Filed Mar 21, 2018 15:38 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 300 | $42.82 | $12,845.01 |
DisclosureSEC source: 0000950103-18-003608 · dp88418_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: 11,791 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 $41.37 to $45.69. 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 |
| March 19, 2018 Filed Mar 21, 2018 15:38 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,300 | $41.99 | $54,592.20 |
DisclosureSEC source: 0000950103-18-003608 · dp88418_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 $41.37 to $45.69. 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 |
| March 19, 2018 Filed Mar 21, 2018 15:38 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 2,500 | $2.64 | $6,600.00 |
DisclosureSEC source: 0000950103-18-003608 · dp88418_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: 13,391 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 |
| February 23, 2018 Filed Feb 27, 2018 18:50 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 2,500 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000950103-18-002566 · dp87330_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: 11,666 Underlying: Ordinary Shares · 1,634 shares Expires 2024-02-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The original option vested 50% in May 2017 with the remainder vesting quarterly through May 2018. Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 18:50 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 866 | $33.16 | $28,719.33 |
DisclosureSEC source: 0000950103-18-002566 · dp87330_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 Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 18:50 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,634 | $32.57 | $53,218.24 |
DisclosureSEC source: 0000950103-18-002566 · dp87330_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: 11,757 Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 18:50 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 2,500 | $32.78 | $81,937.50 |
DisclosureSEC source: 0000950103-18-002566 · dp87330_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: 13,391 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: Shares sold pursuant to a previously established Rule 10b5-1 Plan. 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 $32.06 to $33.21. 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 |
| January 30, 2018 Filed Feb 1, 2018 21:16 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Tax withholdingOrdinary Shares | 799 | $38.26 | $30,569.74 |
DisclosureSEC source: 0000950103-18-001402 · dp86185_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: 10,891 F1 · kind: Shares sold to satisfy tax withholding obligations in connection with the vesting of restricted stock units. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 19:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 2,500 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000950103-18-000211 · dp84950_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: 14,166 Underlying: Ordinary Shares · 2,500 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. F4 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 19:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,500 | $36.26 | $54,390.00 |
DisclosureSEC source: 0000950103-18-000211 · dp84950_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: 11,690 F2 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F3 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $34.64 to $35.58; and from $35.89 to $36.53. 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 foregoing ranges. F1 · balance_after: Includes restricted stock units. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 19:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 1,000 | $35.02 | $35,020.00 |
DisclosureSEC source: 0000950103-18-000211 · dp84950_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: 13,190 F2 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan. F3 · price: This is a weighted average sale price. Shares reported in each line item were sold in multiple transactions at prices in the following ranges, respectively: from $34.64 to $35.58; and from $35.89 to $36.53. 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 foregoing ranges. F1 · balance_after: Includes restricted stock units. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 19:44 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Exercise / conversionOrdinary Shares | 2,500 | $2.64 | $6,600.00 |
DisclosureSEC source: 0000950103-18-000211 · dp84950_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: 14,190 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 · balance_after: Includes restricted stock units. Read SEC document |
| December 04, 2017 Filed Dec 6, 2017 17:47 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | SaleOrdinary Shares | 11,128 | $32.10 | $357,208.80 |
DisclosureSEC source: 0000950103-17-012216 · dp83918_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: 11,690 F1 · price: The reporting person was a selling shareholder under a registration statement on Form S-1 of the Issuer. This price represents the public offering price of $33.50 per share less the underwriters' discount. F2 · balance_after: Includes restricted stock units. This total has been corrected to reflect an inadvertent overstatement by 20 shares in the amount reported in the reporting person's Form 3 filed May 23, 2017. Read SEC document |
| July 30, 2017 Filed Aug 11, 2017 16:20 UTC | Penguin Solutions, Inc. SGH · Entity 4377 | Tax withholdingCommon Stock | 826 | $18.40 | $15,198.40 |
DisclosureSEC source: 0000950103-17-007824 · dp79440_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: 22,838 F1 · shares: This amount reflects a net share withholding by the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold. F2 · balance_after: Includes restricted stock units. 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.