organization · Reporting owner

OAK INVESTMENT PARTNERS IX L P

Disclosed activity across 2 companies

Tapewire entity: 155555
SEC CIK: 0001095761

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
KRATOS DEFENSE & SECURITY SOLUTIONS, INC.KTOS · Entity 3567	less than 10% owner	August 07, 2019	August 09, 2019
NEOPHOTONICS CORPNPTN · Entity 124843	10% owner	March 05, 2019	March 07, 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.

KRATOS DEFENSE & SECURITY SOLUTIONS, INC.

Report date August 07, 2019 · Filed August 09, 2019

Jointly reported with CARANO BANDEL L, Oak Investment Partners XIII, Limited Partnership, OAK INVESTMENT PARTNERS X LTD PARTNERSHIP, OAK X AFFILIATES FUND LP, OAK IX AFFILIATES FUND LP, OAK IX AFFILIATES FUND A LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	366,098	Reported balance After 2019-08-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-08-07 · Sale · Disposed 250,000 · Balance 366,098 F1: Represents shares of Common Stock directly owned by Bandel L. Carano.
Common StockSEC Table I · non-derivative	IndirectSee	449,090	Reported balance After 2019-08-08 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2019-08-08 · Sale · Disposed 250,000 · Balance 449,090 F2: Represents 957 shares of Common Stock sold by Oak Investment Partners IX, L.P. ("Oak IX"); 29 shares of Common Stock sold by Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"); 64 shares of Common Stock sold by Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"); 102,081 shares of Common Stock sold by Oak Investment Partners X, Limited Partnership ("Oak X"); 262 shares of Common Stock sold by Oak X Affiliates Fund, L.P. ("Oak X Affiliates"); 146,607 shares of Common Stock sold by Oak Investment Partners XIII, L.P. ("Oak XIII"). F3: Represents 1,721 shares of Common Stock beneficially owned by Oak IX; 183,636 shares of Common Stock beneficially owned by Oak X; 263,733 shares of Common Stock beneficially owned by Oak XIII. F4: Common Stock sold was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XIII, L.L.C. is the General Partner of Oak XIII and may be deemed to beneficially own the reported securities.
Director OptionSEC Table II · derivative / convertible security	Direct	81,051	Reported balance Holding disclosure · report date 2019-08-07 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 81,051 F5: Consists of Director Option to purchase 19,430 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X; Director Option to purchase 313 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates; and Director Option to purchase 61,308 shares of Common Stock, which is held by Mr. Carano on behalf of Oak XIII.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares of Common Stock directly owned by Bandel L. Carano.

F2: Represents 957 shares of Common Stock sold by Oak Investment Partners IX, L.P. ("Oak IX"); 29 shares of Common Stock sold by Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"); 64 shares of Common Stock sold by Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"); 102,081 shares of Common Stock sold by Oak Investment Partners X, Limited Partnership ("Oak X"); 262 shares of Common Stock sold by Oak X Affiliates Fund, L.P. ("Oak X Affiliates"); 146,607 shares of Common Stock sold by Oak Investment Partners XIII, L.P. ("Oak XIII").

F3: Represents 1,721 shares of Common Stock beneficially owned by Oak IX; 183,636 shares of Common Stock beneficially owned by Oak X; 263,733 shares of Common Stock beneficially owned by Oak XIII.

F4: Common Stock sold was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XIII, L.L.C. is the General Partner of Oak XIII and may be deemed to beneficially own the reported securities.

F5: Consists of Director Option to purchase 19,430 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X; Director Option to purchase 313 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates; and Director Option to purchase 61,308 shares of Common Stock, which is held by Mr. Carano on behalf of Oak XIII.

NEOPHOTONICS CORP

Report date March 05, 2019 · Filed March 07, 2019

Jointly reported with CARANO BANDEL L, OAK IX AFFILIATES FUND LP, OAK IX AFFILIATES FUND A LP, OAK INVESTMENT PARTNERS X LTD PARTNERSHIP, OAK X AFFILIATES FUND LP, Oak Investment Partners XI L P

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Note	60,442	Reported balance After 2019-03-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-03-05 · Other · Disposed 5,571,335 · Balance 60,442 F1: On March 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XI, L.P. ("Oak XI") made in-kind distributions of 1,622,872, 17,291, 38,947, 3,731,759, 59,911, and 100,555 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak Investment Partners IX, L.P., Oak IX Affiliates Fund, L.P., Oak IX Affiliates Fund-A, L.P., Oak Investment Partners X, L.P., Oak X Affiliates Fund, L.P., and Oak Investment Partners XI, L.P. F2: Consists of Director Option to purchase 19,452 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners IX, Limited Partnership ("Oak IX"); Director Option to purchase 206 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"); Director option to purchase 467 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"); Director Options to purchase 38,326 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 616 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Options to purchase 1,375 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XI, Limited Partnership ("Oak XI"). F3: Common Stock distributed was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XI. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XI, L.L.C. is the General Partner of Oak XI and may be deemed to beneficially own the reported securities.

Filing footnotes · ownership attribution and instrument terms

F1: On March 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XI, L.P. ("Oak XI") made in-kind distributions of 1,622,872, 17,291, 38,947, 3,731,759, 59,911, and 100,555 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak Investment Partners IX, L.P., Oak IX Affiliates Fund, L.P., Oak IX Affiliates Fund-A, L.P., Oak Investment Partners X, L.P., Oak X Affiliates Fund, L.P., and Oak Investment Partners XI, L.P.

F2: Consists of Director Option to purchase 19,452 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners IX, Limited Partnership ("Oak IX"); Director Option to purchase 206 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"); Director option to purchase 467 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"); Director Options to purchase 38,326 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 616 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Options to purchase 1,375 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XI, Limited Partnership ("Oak XI").

F3: Common Stock distributed was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XI. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XI, L.L.C. is the General Partner of Oak XI and may be deemed to beneficially own the reported securities.

Transaction history

JSON API

Purchases/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
August 08, 2019 Filed Aug 9, 2019 16:30 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	SaleCommon Stock	250,000	$19.26	$4,813,950.00	Disclosure SEC source: 0001183755-19-000007 · edgar.xml · nonDerivative · entry 2 CARANO BANDEL L · CIK 0001183755 · Director Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · less than 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · less than 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · less than 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · less than 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · less than 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · less than 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 449,090 F2 · kind: Represents 957 shares of Common Stock sold by Oak Investment Partners IX, L.P. ("Oak IX"); 29 shares of Common Stock sold by Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"); 64 shares of Common Stock sold by Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"); 102,081 shares of Common Stock sold by Oak Investment Partners X, Limited Partnership ("Oak X"); 262 shares of Common Stock sold by Oak X Affiliates Fund, L.P. ("Oak X Affiliates"); 146,607 shares of Common Stock sold by Oak Investment Partners XIII, L.P. ("Oak XIII"). F3 · ownership.nature: Represents 1,721 shares of Common Stock beneficially owned by Oak IX; 183,636 shares of Common Stock beneficially owned by Oak X; 263,733 shares of Common Stock beneficially owned by Oak XIII. F4 · ownership.nature: Common Stock sold was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XIII, L.L.C. is the General Partner of Oak XIII and may be deemed to beneficially own the reported securities. Read SEC document
August 07, 2019 Filed Aug 9, 2019 16:30 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	SaleCommon Stock	250,000	$19.11	$4,778,025.00	Disclosure SEC source: 0001183755-19-000007 · edgar.xml · nonDerivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · less than 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · less than 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · less than 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · less than 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · less than 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · less than 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 366,098 F1 · ownership.direct: Represents shares of Common Stock directly owned by Bandel L. Carano. Read SEC document
August 05, 2019 Filed Aug 6, 2019 16:28 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	OtherCommon Stock	12,235,117	Not disclosed	Not disclosed	Disclosure SEC source: 0001183755-19-000006 · edgar.xml · nonDerivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 699,090 F1 · kind: On August 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XIII, L.P. ("Oak XIII") made in-kind distributions of 265,108, 2,824, 6,363, 1,345,243, 25,919, and 10,589,660 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. F1 · shares: On August 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XIII, L.P. ("Oak XIII") made in-kind distributions of 265,108, 2,824, 6,363, 1,345,243, 25,919, and 10,589,660 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. F1 · price: On August 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XIII, L.P. ("Oak XIII") made in-kind distributions of 265,108, 2,824, 6,363, 1,345,243, 25,919, and 10,589,660 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. F2 · balance_after: Consists of 2,678 shares of Common Stock held by Oak IX; 29 shares of Common Stock held by Oak IX Affiliates; 64 shares of Common Stock held by Oak IX Affiliates-A; 285,717 shares of Common Stock held by Oak X; 262 shares of Common Stock held by Oak X Affiliates; 410,340 shares of Common Stock held by Oak XIII. F3 · ownership.nature: Common Stock distributed was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XIII. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XIII, L.L.C. is the General Partner of Oak XIII and may be deemed to beneficially own the reported securities. Read SEC document
May 10, 2019 Filed May 13, 2019 17:52 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	GrantDirector Option (Right to Buy) · Derivative	787	Not disclosed Strike: $17.81	Not disclosed	Disclosure SEC source: 0001183755-19-000005 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,231 Underlying: Common Stock · 787 shares Expires 2029-05-10 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective May 10, 2019. F4 · price: Not applicable. F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F3 · ownership.direct: Includes Director Option to purchase 101 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 684 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document
March 14, 2019 Filed Mar 15, 2019 16:38 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	GrantDirector Option (Right to Buy) · Derivative	880	Not disclosed Strike: $15.92	Not disclosed	Disclosure SEC source: 0001183755-19-000004 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,444 Underlying: Common Stock · 880 shares Expires 2029-03-14 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective March 14, 2019. F4 · price: Not applicable. F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F3 · ownership.direct: Includes Director Option to purchase 113 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 765 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document
March 05, 2019 Filed Mar 7, 2019 16:11 UTC	NEOPHOTONICS CORP NPTN · Entity 124843	OtherCommon Stock	5,571,335	Not disclosed	Not disclosed	Disclosure SEC source: 0001183755-19-000003 · edgar.xml · nonDerivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 60,442 F1 · kind: On March 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XI, L.P. ("Oak XI") made in-kind distributions of 1,622,872, 17,291, 38,947, 3,731,759, 59,911, and 100,555 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak Investment Partners IX, L.P., Oak IX Affiliates Fund, L.P., Oak IX Affiliates Fund-A, L.P., Oak Investment Partners X, L.P., Oak X Affiliates Fund, L.P., and Oak Investment Partners XI, L.P. F1 · shares: On March 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XI, L.P. ("Oak XI") made in-kind distributions of 1,622,872, 17,291, 38,947, 3,731,759, 59,911, and 100,555 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak Investment Partners IX, L.P., Oak IX Affiliates Fund, L.P., Oak IX Affiliates Fund-A, L.P., Oak Investment Partners X, L.P., Oak X Affiliates Fund, L.P., and Oak Investment Partners XI, L.P. F1 · price: On March 5, 2019, Oak Investment Partners IX, L.P. ("Oak IX"), Oak IX Affiliates Fund, L.P. ("Oak IX Affiliates"), Oak IX Affiliates Fund-A, L.P. ("Oak IX Affiliates-A"), Oak Investment Partners X, L.P. ("Oak X"), Oak X Affiliates Fund, L.P. ("Oak X Affiliates"), and Oak Investment Partners XI, L.P. ("Oak XI") made in-kind distributions of 1,622,872, 17,291, 38,947, 3,731,759, 59,911, and 100,555 shares respectively, without any additional consideration of Common Stock of the Issuer to the Limited Partners of Oak Investment Partners IX, L.P., Oak IX Affiliates Fund, L.P., Oak IX Affiliates Fund-A, L.P., Oak Investment Partners X, L.P., Oak X Affiliates Fund, L.P., and Oak Investment Partners XI, L.P. F2 · balance_after: Consists of Director Option to purchase 19,452 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners IX, Limited Partnership ("Oak IX"); Director Option to purchase 206 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"); Director option to purchase 467 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"); Director Options to purchase 38,326 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 616 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Options to purchase 1,375 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XI, Limited Partnership ("Oak XI"). F3 · ownership.nature: Common Stock distributed was held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XI. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XI, L.L.C. is the General Partner of Oak XI and may be deemed to beneficially own the reported securities. Read SEC document
December 05, 2018 Filed Dec 6, 2018 18:08 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	GrantDirector Option (Right to Buy) · Derivative	1,093	Not disclosed Strike: $12.81	Not disclosed	Disclosure SEC source: 0001183755-18-000006 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,155 Underlying: Common Stock · 1,093 shares Expires 2028-12-05 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective December 5, 2018. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 141 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 950 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document
October 10, 2018 Filed Oct 11, 2018 16:44 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	GrantDirector Option (Right to Buy) · Derivative	1,012	Not disclosed Strike: $13.84	Not disclosed	Disclosure SEC source: 0001183755-18-000005 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,579 Underlying: Common Stock · 1,012 shares Expires 2028-10-10 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective October 10, 2018. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 130 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 880 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document
June 19, 2018 Filed Jun 20, 2018 12:17 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	GrantDirector Option (Right to Buy) · Derivative	1,207	Not disclosed Strike: $11.60	Not disclosed	Disclosure SEC source: 0001183755-18-000003 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,861 Underlying: Common Stock · 1,207 shares Expires 2028-06-19 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective June 19, 2018. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 156 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,049 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document
June 05, 2018 Filed Jun 7, 2018 13:57 UTC	NEOPHOTONICS CORP NPTN · Entity 124843	GrantStock Option (Right to Buy) · Derivative	12,486	Not disclosed Strike: $6.78	Not disclosed	Disclosure SEC source: 0001183755-18-000002 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 60,442 Underlying: Common Stock · 12,486 shares Expires 2028-06-05 F2 · price: Not applicable - This option was issued pursuant to the 2010 Equity Incentive Plan and in accordance with the the Issuer's Non-Employee Director Compensation Policy. F1 · derivative.exercise_date: This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Director of the Issuer. F3 · ownership.direct: Includes Director Option to purchase 3,637 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners IX, Limited Partnership ("Oak IX"); Director Option to purchase 39 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"); Director option to purchase 87 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"); Director Options to purchase 8,364 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 134 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Options to purchase 225 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XI, Limited Partnership ("Oak XI"). F4 · ownership.nature: Includes 47,956 Director Options, which are held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XI. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XI, L.L.C. is the General Partner of Oak XI and may be deemed to beneficially own the reported securities. Read SEC document
March 21, 2018 Filed Mar 22, 2018 13:24 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	GrantDirector Option (Right to Buy) · Derivative	1,442	Not disclosed Strike: $9.71	Not disclosed	Disclosure SEC source: 0001183755-18-000001 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,959 Underlying: Common Stock · 1,442 shares Expires 2028-03-21 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective March 21, 2018. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 186 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 3 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,253 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document
December 07, 2017 Filed Dec 8, 2017 16:29 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	GrantDirector Option (Right to Buy) · Derivative	1,374	Not disclosed Strike: $10.19	Not disclosed	Disclosure SEC source: 0001183755-17-000006 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,031 Underlying: Common Stock · 1,374 shares Expires 2027-12-07 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective December 7, 2017. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 177 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 3 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,194 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document
September 12, 2017 Filed Sep 13, 2017 15:09 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	GrantDirector Option (Right to Buy) · Derivative	1,137	Not disclosed Strike: $12.32	Not disclosed	Disclosure SEC source: 0001183755-17-000005 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,896 Underlying: Common Stock · 1,137 shares Expires 2027-09-12 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective September 12, 2017. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 147 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 988 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document
June 01, 2017 Filed Jun 5, 2017 12:30 UTC	NEOPHOTONICS CORP NPTN · Entity 124843	GrantStock Option (Right to Buy) · Derivative	7,521	Not disclosed Strike: $9.20	Not disclosed	Disclosure SEC source: 0001183755-17-000004 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner Oak Investment Partners XI L P · CIK 0001299239 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 47,956 Underlying: Common Stock · 7,521 shares Expires 2027-06-01 F2 · price: Not applicable - This option was issued pursuant to the 2010 Equity Incentive Plan and in accordance with the the Issuer's Non-Employee Director Compensation Policy. F1 · derivative.exercise_date: This option shall vest ratably at a rate of 1/12th of the total number of shares granted on each monthly anniversary of the grant date, so long as the Reporting Person remains a member of the Board of Director of the Issuer. F3 · ownership.direct: Includes Director Option to purchase 2,191 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners IX, Limited Partnership ("Oak IX"); Director Option to purchase 23 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"); Director option to purchase 52 shares of Common Stock, which is held by Mr. Carano on behalf of Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"); Director Options to purchase 5,038 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 81 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Options to purchase 136 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XI, Limited Partnership ("Oak XI"). F4 · ownership.nature: Includes 40,435 Director Options, which are held by Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, Oak X, Oak X Affiliates, and Oak XI. Oak Associates IX, L.L.C. is the General Partner of Oak IX; Oak IX Affiliates, L.L.C. is the General Partner of Oak IX Affiliates and Oak IX Affiliates-A; Oak Associates X, L.L.C. is the General Partner of Oak X; Oak X Affiliates, L.L.C. is the General Partner of Oak X Affiliates; and Oak Associates XI, L.L.C. is the General Partner of Oak XI and may be deemed to beneficially own the reported securities. Read SEC document
May 31, 2017 Filed Jun 1, 2017 15:29 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	GrantDirector Option (Right to Buy) · Derivative	1,326	Not disclosed Strike: $10.56	Not disclosed	Disclosure SEC source: 0001183755-17-000003 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,142 Underlying: Common Stock · 1,326 shares Expires 2027-05-31 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective May 31, 2017. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 171 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 3 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,152 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document
March 15, 2017 Filed Mar 16, 2017 15:41 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	GrantDirector Option (Right to Buy) · Derivative	1,892	Not disclosed Strike: $7.40	Not disclosed	Disclosure SEC source: 0001183755-17-000002 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,071 Underlying: Common Stock · 1,892 shares Expires 2027-03-15 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective March 15, 2017. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 244 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 4 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,644 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document
March 07, 2017 Filed Mar 8, 2017 10:00 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	PurchaseCommon Stock	275,862	$7.25	$1,999,999.50	Disclosure SEC source: 0001183755-17-000001 · edgar.xml · nonDerivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · SEE FOOTNOTES Disclosed balance after: 13,540,305 F1 · balance_after: The 13,540,305 shares of Common Stock are directly owned as follows:(i)11,000,000 shares directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"), (ii)267,786 shares directly owned by Oak Investment Partners IX, Limited Partnership ("Oak IX"), (iii)2,853 shares directly owned by Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"), (iv)6,427 shares directly owned by Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"), (v)1,630,960 shares directly owned by Oak Investment Partners X, Limited Partnership ("Oak X") of which 271,503 shares were purchased pursuant to a public offering of the Issuer that closed on March 7, 2017, (vi)26,181 shares directly owned by Oak X Affiliates Fund, Limited Partnership of which 4,359 shares were purchased pursuant to a public offering of the Issuer that closed on March 7, 2017 ("Oak X Affiliates", together with Oak XIII, Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, and Oak X, "Oak Funds"). F2 · balance_after: Continuation of Footnote 1 - (vii) 606,098 shares directly owned by Bandel L. Carano, a Director of Kratos Defense & Security Solutions, Inc. No other reporting person has any pecuniary interest in these shares. F1 · ownership.nature: The 13,540,305 shares of Common Stock are directly owned as follows:(i)11,000,000 shares directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"), (ii)267,786 shares directly owned by Oak Investment Partners IX, Limited Partnership ("Oak IX"), (iii)2,853 shares directly owned by Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"), (iv)6,427 shares directly owned by Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"), (v)1,630,960 shares directly owned by Oak Investment Partners X, Limited Partnership ("Oak X") of which 271,503 shares were purchased pursuant to a public offering of the Issuer that closed on March 7, 2017, (vi)26,181 shares directly owned by Oak X Affiliates Fund, Limited Partnership of which 4,359 shares were purchased pursuant to a public offering of the Issuer that closed on March 7, 2017 ("Oak X Affiliates", together with Oak XIII, Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, and Oak X, "Oak Funds"). F2 · ownership.nature: Continuation of Footnote 1 - (vii) 606,098 shares directly owned by Bandel L. Carano, a Director of Kratos Defense & Security Solutions, Inc. No other reporting person has any pecuniary interest in these shares. F3 · ownership.nature: Mr. Carano a Managing Member of (i) Oak Associates XIII, LLC, the General Partner of Oak XIII, (ii) Oak Associates IX, LLC, the General Partner of Oak IX, (iii) Oak IX Affiliates, LLC, the General Partner of each of Oak IX Affiliates and Oak IX Affiliates-A, (iv) Oak Associates X, LLC, the General Partner of Oak X, and (v) Oak X Affiliates, LLC, the General Partner of Oak X Affiliates. Read SEC document
December 06, 2016 Filed Dec 8, 2016 13:04 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	GrantDirector Option (Right to Buy) · Derivative	1,812	Not disclosed Strike: $7.73	Not disclosed	Disclosure SEC source: 0001183755-16-000020 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,771 Underlying: Common Stock · 1,812 shares Expires 2026-12-06 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective December 6, 2016. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 199 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 3 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 1,610 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Read SEC document
November 23, 2016 Filed Nov 28, 2016 08:58 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	PurchaseCommon Stock	833,000	$6.00	$4,998,000.00	Disclosure SEC source: 0001183755-16-000019 · edgar.xml · nonDerivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · SEE FOOTNOTES Disclosed balance after: 13,264,443 F1 · balance_after: The 13,264,443 shares of Common Stock are directly owned as follows:(i)11,000,000 shares directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"), (ii)267,786 shares directly owned by Oak Investment Partners IX, Limited Partnership ("Oak IX"), (iii)2,853 shares directly owned by Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"), (iv)6,427 shares directly owned by Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"), (v)1,359,457 shares directly owned by Oak Investment Partners X, Limited Partnership ("Oak X") of which 819,839 shares were purchased pursuant to a public offering of the Issuer that closed on November 23, 2016, (vi)21,822 shares directly owned by Oak X Affiliates Fund, Limited Partnership of which 13,161 shares were purchased pursuant to a public offering of the Issuer that closed on November 23, 2016 ("Oak X Affiliates", together with Oak XIII, Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, and Oak X, "Oak Funds"). F2 · balance_after: Continuation of Footnote 1 - (vii) 606,098 shares directly owned by Bandel L. Carano, a Director of Kratos Defense & Security Solutions, Inc. No other reporting person has any pecuniary interest in these shares. F1 · ownership.nature: The 13,264,443 shares of Common Stock are directly owned as follows:(i)11,000,000 shares directly owned by Oak Investment Partners XIII, Limited Partnership ("Oak XIII"), (ii)267,786 shares directly owned by Oak Investment Partners IX, Limited Partnership ("Oak IX"), (iii)2,853 shares directly owned by Oak IX Affiliates Fund, Limited Partnership ("Oak IX Affiliates"), (iv)6,427 shares directly owned by Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Affiliates-A"), (v)1,359,457 shares directly owned by Oak Investment Partners X, Limited Partnership ("Oak X") of which 819,839 shares were purchased pursuant to a public offering of the Issuer that closed on November 23, 2016, (vi)21,822 shares directly owned by Oak X Affiliates Fund, Limited Partnership of which 13,161 shares were purchased pursuant to a public offering of the Issuer that closed on November 23, 2016 ("Oak X Affiliates", together with Oak XIII, Oak IX, Oak IX Affiliates, Oak IX Affiliates-A, and Oak X, "Oak Funds"). F2 · ownership.nature: Continuation of Footnote 1 - (vii) 606,098 shares directly owned by Bandel L. Carano, a Director of Kratos Defense & Security Solutions, Inc. No other reporting person has any pecuniary interest in these shares. F3 · ownership.nature: Mr. Carano a Managing Member of (i) Oak Associates XIII, LLC, the General Partner of Oak XIII, (ii) Oak Associates IX, LLC, the General Partner of Oak IX, (iii) Oak IX Affiliates, LLC, the General Partner of each of Oak IX Affiliates and Oak IX Affiliates-A, (iv) Oak Associates X, LLC, the General Partner of Oak X, and (v) Oak X Affiliates, LLC, the General Partner of Oak X Affiliates. Read SEC document
October 14, 2016 Filed Oct 17, 2016 17:36 UTC	KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS · Entity 3567	GrantDirector Option (Right to Buy) · Derivative	2,216	Not disclosed Strike: $6.32	Not disclosed	Disclosure SEC source: 0001183755-16-000018 · edgar.xml · derivative · entry 1 CARANO BANDEL L · CIK 0001183755 · Director · 10% owner Oak Investment Partners XIII, Limited Partnership · CIK 0001466232 · 10% owner OAK INVESTMENT PARTNERS X LTD PARTNERSHIP · CIK 0001131676 · 10% owner OAK X AFFILIATES FUND LP · CIK 0001143824 · 10% owner OAK INVESTMENT PARTNERS IX L P · CIK 0001095761 · 10% owner OAK IX AFFILIATES FUND LP · CIK 0001112201 · 10% owner OAK IX AFFILIATES FUND A LP · CIK 0001112125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,548 Underlying: Common Stock · 2,216 shares Expires 2026-10-14 F1 · shares: Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective October 14, 2016. F3 · price: Not applicable F2 · derivative.exercise_date: The Director Options became fully exerciseable on the date of the grant. F4 · ownership.direct: Includes Director Option to purchase 104 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 2,110 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. 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.