Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| COHERENT CORP.IIVI · Entity 1179 | Director | October 07, 2019 | October 08, 2019 |
| FINISAR CORPFNSR · Entity 154739 | Director | September 24, 2019 | September 26, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
COHERENT CORP.
Report date October 07, 2019 · Filed October 08, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,043 |
Reported balance
After 2019-10-07 transaction · row 1
1 source rowRow 1 · 2019-10-07 · Grant · Acquired 2,400 · Balance 15,043 F1: These shares represent a restricted stock unit award granted to the reporting person pursuant to the II-VI Incorporated Amended and Restated 2012 Omnibus Incentive Plan. The award will vest in three equal annual installments beginning on October 7, 2020. |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $32.51 · Expires 2029-10-07 | Direct | 6,000 |
Reported balance
After 2019-10-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-10-07 · Grant · Acquired 6,000 · Balance 6,000 F2: These options will vest in four equal annual installments beginning on October 7, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares represent a restricted stock unit award granted to the reporting person pursuant to the II-VI Incorporated Amended and Restated 2012 Omnibus Incentive Plan. The award will vest in three equal annual installments beginning on October 7, 2020.
F2: These options will vest in four equal annual installments beginning on October 7, 2020.
FINISAR CORP
Report date September 24, 2019 · Filed September 26, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2019-09-24 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-09-24 · Disposition to issuer · Disposed 48,211 · Balance 8,795 F1: These shares were disposed of pursuant to the Agreement and Plan of Merger by and among II-VI Incorporated ("II-VI"), Mutation Merger Sub Inc., and Finisar Corporation, dated as of November 8, 2018 (the "Merger Agreement"), whereby 48,211 of such shares were automatically cancelled and converted into the right to receive, for each such share, 0.2218 shares of II-VI common stock and $15.60 in cash. F2: The remaining 8,795 of such shares consisted of unvested restricted stock units ("RSUs") granted by the issuer (each of which represented the right to receive a share of the issuer's common stock upon vesting of the unit) that, in connection with the termination of the reporting person's service with the issuer upon the closing of the Merger, were accelerated and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share. Row 2 · 2019-09-24 · Disposition to issuer · Disposed 8,795 · Balance 0 F1: These shares were disposed of pursuant to the Agreement and Plan of Merger by and among II-VI Incorporated ("II-VI"), Mutation Merger Sub Inc., and Finisar Corporation, dated as of November 8, 2018 (the "Merger Agreement"), whereby 48,211 of such shares were automatically cancelled and converted into the right to receive, for each such share, 0.2218 shares of II-VI common stock and $15.60 in cash. F2: The remaining 8,795 of such shares consisted of unvested restricted stock units ("RSUs") granted by the issuer (each of which represented the right to receive a share of the issuer's common stock upon vesting of the unit) that, in connection with the termination of the reporting person's service with the issuer upon the closing of the Merger, were accelerated and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were disposed of pursuant to the Agreement and Plan of Merger by and among II-VI Incorporated ("II-VI"), Mutation Merger Sub Inc., and Finisar Corporation, dated as of November 8, 2018 (the "Merger Agreement"), whereby 48,211 of such shares were automatically cancelled and converted into the right to receive, for each such share, 0.2218 shares of II-VI common stock and $15.60 in cash.
F2: The remaining 8,795 of such shares consisted of unvested restricted stock units ("RSUs") granted by the issuer (each of which represented the right to receive a share of the issuer's common stock upon vesting of the unit) that, in connection with the termination of the reporting person's service with the issuer upon the closing of the Merger, were accelerated and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share.
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 |
|---|---|---|---|---|---|---|
| October 07, 2019 Filed Oct 8, 2019 23:09 UTC | COHERENT CORP. IIVI · Entity 1179 | GrantStock Options (Right to buy) · Derivative | 6,000 | $0.00 Strike: $32.51 | $0.00 |
DisclosureSEC source: 0001562180-19-005130 · primarydocument.xml · derivative · entry 2 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2029-10-07 F2 · derivative.exercise_date: These options will vest in four equal annual installments beginning on October 7, 2020. Read SEC document |
| October 07, 2019 Filed Oct 8, 2019 23:09 UTC | COHERENT CORP. IIVI · Entity 1179 | GrantCommon Stock | 2,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-005130 · primarydocument.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,043 F1 · shares: These shares represent a restricted stock unit award granted to the reporting person pursuant to the II-VI Incorporated Amended and Restated 2012 Omnibus Incentive Plan. The award will vest in three equal annual installments beginning on October 7, 2020. Read SEC document |
| September 24, 2019 Filed Sep 26, 2019 06:11 UTC | FINISAR CORP FNSR · Entity 154739 | Disposition to issuerCommon Stock | 8,795 | $23.80 | $209,321.00 |
DisclosureSEC source: 0001094739-19-000116 · wf-form4_156949264967641.xml · nonDerivative · entry 2 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: These shares were disposed of pursuant to the Agreement and Plan of Merger by and among II-VI Incorporated ("II-VI"), Mutation Merger Sub Inc., and Finisar Corporation, dated as of November 8, 2018 (the "Merger Agreement"), whereby 48,211 of such shares were automatically cancelled and converted into the right to receive, for each such share, 0.2218 shares of II-VI common stock and $15.60 in cash. F2 · price: The remaining 8,795 of such shares consisted of unvested restricted stock units ("RSUs") granted by the issuer (each of which represented the right to receive a share of the issuer's common stock upon vesting of the unit) that, in connection with the termination of the reporting person's service with the issuer upon the closing of the Merger, were accelerated and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share. Read SEC document |
| September 24, 2019 Filed Sep 26, 2019 06:11 UTC | FINISAR CORP FNSR · Entity 154739 | Disposition to issuerCommon Stock | 48,211 | $23.80 | $1,147,421.80 |
DisclosureSEC source: 0001094739-19-000116 · wf-form4_156949264967641.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,795 F1 · price: These shares were disposed of pursuant to the Agreement and Plan of Merger by and among II-VI Incorporated ("II-VI"), Mutation Merger Sub Inc., and Finisar Corporation, dated as of November 8, 2018 (the "Merger Agreement"), whereby 48,211 of such shares were automatically cancelled and converted into the right to receive, for each such share, 0.2218 shares of II-VI common stock and $15.60 in cash. F2 · price: The remaining 8,795 of such shares consisted of unvested restricted stock units ("RSUs") granted by the issuer (each of which represented the right to receive a share of the issuer's common stock upon vesting of the unit) that, in connection with the termination of the reporting person's service with the issuer upon the closing of the Merger, were accelerated and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share. Read SEC document |
| September 09, 2019 Filed Sep 11, 2019 16:43 UTC | FINISAR CORP FNSR · Entity 154739 | GrantCommon Stock | 8,795 | $0.00 | $0.00 |
DisclosureSEC source: 0001094739-19-000092 · wf-form4_156823461203316.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,006 F1 · kind: These shares represent restricted stock units granted to the Reporting Person and shall vest in one installment on September 1, 2020. Read SEC document |
| September 11, 2018 Filed Sep 13, 2018 17:29 UTC | FINISAR CORP FNSR · Entity 154739 | GrantCommon Stock | 10,136 | $0.00 | $0.00 |
DisclosureSEC source: 0001094739-18-000089 · wf-form4_153687413124349.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,211 F1 · kind: These shares represent restricted stock units granted to the Reporting Person and shall vest in one installment on September 1, 2019. Read SEC document |
| September 12, 2017 Filed Sep 14, 2017 17:37 UTC | FINISAR CORP FNSR · Entity 154739 | GrantCommon Stock | 9,182 | $0.00 | $0.00 |
DisclosureSEC source: 0001094739-17-000132 · wf-form4_150542502243431.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,075 F1 · kind: These shares represent restricted stock units granted to the Reporting Person and shall vest in one installment on September 1, 2018. Read SEC document |
| July 17, 2017 Filed Jul 19, 2017 09:18 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 3,016 | $27.36 | $82,517.76 |
DisclosureSEC source: 0001094739-17-000102 · wf-form4_150047031841461.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,893 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on October 6, 2016. Read SEC document |
| June 16, 2017 Filed Jun 20, 2017 15:52 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 3,015 | $27.65 | $83,364.75 |
DisclosureSEC source: 0001094739-17-000055 · wf-form4_149798834761452.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,909 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on October 6, 2016. Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 16:44 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 6,030 | $27.00 | $162,810.00 |
DisclosureSEC source: 0001094739-17-000046 · wf-form4_149695467489304.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,924 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on October 6, 2016. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 16:24 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 3,016 | $27.00 | $81,432.00 |
DisclosureSEC source: 0001094739-17-000023 · wf-form4_148978227997726.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,954 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on October 6, 2016. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 16:18 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 3,015 | $35.74 | $107,756.10 |
DisclosureSEC source: 0001094739-17-000014 · wf-form4_148736626947001.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,970 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on October 6, 2016. Read SEC document |
| January 17, 2017 Filed Jan 19, 2017 16:10 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 3,015 | $29.27 | $88,249.05 |
DisclosureSEC source: 0001094739-17-000002 · wf-form4_148486022302449.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,985 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on October 6, 2016. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 14:11 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,167 | $0.00 Strike: $7.28 | $0.00 |
DisclosureSEC source: 0001094739-16-000289 · wf-form4_148217466540075.xml · derivative · entry 5 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,167 shares Expires 2019-09-15 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. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 14:11 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,302 | $0.00 Strike: $3.36 | $0.00 |
DisclosureSEC source: 0001094739-16-000289 · wf-form4_148217466540075.xml · derivative · entry 4 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,302 shares Expires 2018-12-12 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. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 14:11 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 5,484 | $31.24 | $171,320.16 |
DisclosureSEC source: 0001094739-16-000289 · wf-form4_148217466540075.xml · nonDerivative · entry 3 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on October 6, 2016. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 14:11 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 1,167 | $7.28 | $8,495.76 |
DisclosureSEC source: 0001094739-16-000289 · wf-form4_148217466540075.xml · nonDerivative · entry 2 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,484 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 15, 2016 Filed Dec 19, 2016 14:11 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 1,302 | $3.36 | $4,374.72 |
DisclosureSEC source: 0001094739-16-000289 · wf-form4_148217466540075.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,317 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 13, 2016 Filed Sep 15, 2016 18:58 UTC | FINISAR CORP FNSR · Entity 154739 | GrantCommon Stock | 7,415 | $0.00 | $0.00 |
DisclosureSEC source: 0001094739-16-000239 · wf-form4_147398027742037.xml · nonDerivative · entry 1 Stephens Robert · CIK 0001337844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,015 F1 · kind: These shares represent restricted stock units granted to the Reporting Person and shall vest in one installment on September 1, 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.