Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Clearday, Inc.SCON · Entity 121178 | Director | October 16, 2018 | October 18, 2018 |
| Lumentum Holdings Inc.LITE · Entity 2957 | Director | February 22, 2019 | February 28, 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.
Clearday, Inc.
Report date October 16, 2018 · Filed October 18, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.92 · Expires 2028-10-16 | Direct | 3,067 |
Reported balance
After 2018-10-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-10-16 · Grant · Acquired 2,500 · Balance 3,067 F1: Grant vesting 50% on the first anniversary, with the remaining 50% vesting on the second anniversary. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant vesting 50% on the first anniversary, with the remaining 50% vesting on the second anniversary.
Lumentum Holdings Inc.
Report date February 22, 2019 · Filed February 28, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 18,902 |
Reported balance
After 2019-02-22 transaction · row 1
1 source rowRow 1 · 2019-02-22 · Sale · Disposed 3,025 · Balance 18,902 F1: These sales were executed in multiple trades at prices ranging from $48.7115 to $48.72. The price reported above reflects the weighted average sale price. Mr. Kaplan hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: These sales were executed in multiple trades at prices ranging from $48.7115 to $48.72. The price reported above reflects the weighted average sale price. Mr. Kaplan hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
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 |
|---|---|---|---|---|---|---|
| February 22, 2019 Filed Feb 28, 2019 00:56 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 3,025 | $48.72 | $147,370.74 |
DisclosureSEC source: 0001633978-19-000028 · edgar.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,902 F1 · price: These sales were executed in multiple trades at prices ranging from $48.7115 to $48.72. The price reported above reflects the weighted average sale price. Mr. Kaplan hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document |
| November 09, 2018 Filed Nov 10, 2018 01:05 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 3,017 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-18-000130 · edgar.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,927 F1 · shares: Each restricted stock unit (RSU) represents the contingent right to receive, following vesting, one share of Common Stock of Lumentum Holdings. 100% of the shares shall vest on the one (1) year anniversary of the grant date, subject to the Participant continuing through such date to be a Service Provider as defined under the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| October 16, 2018 Filed Oct 18, 2018 13:07 UTC | Clearday, Inc. SCON · Entity 121178 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 2,500 | $1.92 Strike: $1.92 | $4,800.00 |
DisclosureSEC source: 0000895665-18-000010 · primary_doc.xml · derivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,067 Underlying: Common Stock · 2,500 shares Expires 2028-10-16 F1 · shares: Grant vesting 50% on the first anniversary, with the remaining 50% vesting on the second anniversary. Read SEC document |
| August 16, 2018 Filed Aug 18, 2018 00:53 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 7,000 | $60.00 | $420,000.00 |
DisclosureSEC source: 0001633978-18-000076 · edgar.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,910 Read SEC document |
| August 15, 2018 Filed Aug 16, 2018 23:51 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 3,282 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-18-000068 · edgar.xml · derivative · entry 2 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,282 shares Expires not disclosed 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 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| August 15, 2018 Filed Aug 16, 2018 23:51 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 3,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-18-000068 · edgar.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,910 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 |
| February 09, 2018 Filed Feb 13, 2018 18:55 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 6,000 | $56.66 | $339,930.00 |
DisclosureSEC source: 0001633978-18-000005 · wf-form4_151854810011828.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,628 F1 · price: The 6,000 shares sold at an actual price of $56.655 per share. Read SEC document |
| December 08, 2017 Filed Dec 11, 2017 23:46 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 2,055 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000163 · wf-form4_151303599581830.xml · derivative · entry 2 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,055 shares Expires not disclosed 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 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| December 08, 2017 Filed Dec 11, 2017 23:46 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 2,055 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000163 · wf-form4_151303599581830.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,628 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 |
| November 30, 2017 Filed Dec 1, 2017 22:32 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 3,000 | $55.03 | $165,075.00 |
DisclosureSEC source: 0001633978-17-000155 · wf-form4_151216752411315.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,573 F1 · price: The 3,000 shares sold at an actual price of $55.025 per share. Read SEC document |
| November 13, 2017 Filed Nov 13, 2017 23:55 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 15,000 | $57.07 | $856,090.50 |
DisclosureSEC source: 0001633978-17-000139 · wf-form4_151061733807151.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,573 F1 · price: The price is the weighted average sale price for the transactions reported on this line. The prices for the transactions reported on this line range from $57.00 to $57.20. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| November 02, 2017 Filed Nov 3, 2017 22:30 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 2,992 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000125 · wf-form4_150974823609469.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,573 F1 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of common Stock of Lumentum Holding Inc. F2 · shares: Award will vest upon the earlier of (i) the day prior to the next year's annual meeting of stockholders or (ii) one year from grant, subject to continued service as a director through the applicable vesting date. Read SEC document |
| September 27, 2017 Filed Sep 29, 2017 17:24 UTC | Clearday, Inc. SCON · Entity 121178 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000895665-17-000007 · primary_doc.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,473 F1 · shares: Restricted stock award vests in three equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| August 15, 2017 Filed Aug 18, 2017 01:16 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 3,282 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000062 · wf-form4_150301899326155.xml · derivative · entry 2 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,282 Underlying: Common Stock · 3,282 shares Expires not disclosed 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 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| August 15, 2017 Filed Aug 18, 2017 01:16 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 3,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000062 · wf-form4_150301899326155.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,581 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 |
| January 31, 2017 Filed Feb 1, 2017 16:24 UTC | Clearday, Inc. SCON · Entity 121178 | GrantCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000895665-17-000002 · primary_doc.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,473 F1 · shares: Grant vesting 50% on the first anniversary of the grant, and 50% vesting on the second anniversary of the grant. Read SEC document |
| December 15, 2016 Filed Dec 17, 2016 00:40 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 9,869 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000150 · wf-form4_148193519945140.xml · derivative · entry 2 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,869 shares Expires not disclosed 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. F2 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| December 15, 2016 Filed Dec 17, 2016 00:40 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 9,869 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000150 · wf-form4_148193519945140.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,299 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 · kind: Each unit converts upon vesting into one share of common stock. Read SEC document |
| December 08, 2016 Filed Dec 9, 2016 23:30 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 2,055 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000140 · wf-form4_148132624062023.xml · derivative · entry 2 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,055 shares Expires not disclosed 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. F2 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| December 08, 2016 Filed Dec 9, 2016 23:30 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 2,055 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000140 · wf-form4_148132624062023.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,430 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 · kind: Each unit converts upon vesting into one share of common stock. Read SEC document |
| November 14, 2016 Filed Nov 17, 2016 00:22 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 1,924 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000120 · wf-form4_147934211304813.xml · derivative · entry 2 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,924 shares Expires not disclosed 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. F2 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| November 14, 2016 Filed Nov 17, 2016 00:22 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 1,924 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000120 · wf-form4_147934211304813.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,375 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 · kind: Each unit converts upon vesting into one share of common stock. Read SEC document |
| November 11, 2016 Filed Nov 16, 2016 01:45 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 4,264 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000110 · wf-form4_147926070839813.xml · nonDerivative · entry 1 KAPLAN MARTIN A · CIK 0001182378 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,451 F1 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of common Stock of Lumentum Holding Inc. F2 · shares: Award will vest upon the earlier of (i) the day prior to the next year's annual meeting of stockholders or (ii) one year from grant, subject to continued service as a director through the applicable vesting date. Upon retirement of an outside Director, all unvested RSUs will automatically vest in full. 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.