Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| National Vision Holdings, Inc.EYE · Entity 1716 | SVP, GC and Secretary | November 19, 2018 | November 21, 2018 |
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.
National Vision Holdings, Inc.
Report date November 19, 2018 · Filed November 21, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 53,940 |
Reported balance
After 2018-11-19 transaction · row 1
1 source rowRow 1 · 2018-11-19 · Sale · Disposed 94,576 · Balance 53,940 F1: This amount represents the secondary public offering price per share of common stock of National Vision Holdings, Inc., less the underwriting discount of $.30 per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.27 · Expires 2024-03-13 | Direct | 76,540 |
Reported balance
After 2018-11-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-11-19 · Grant · Acquired 48,060 · Balance 76,540 F2: On March 13, 2014, the reporting person was granted stock options, subject to time-based and performance-based vesting. On November 19, 2018, a liquidity event with respect to such performance-based stock options occurred as a result of sales by the Issuer's sponsor stockholders and 48,060 stock options which had previously not been reported were deemed earned. F3: Of these 76,540 stock options, 48,060 are vested and the remaining 28,480 stock options will vest on March 13, 2019. An additional 80,102 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount represents the secondary public offering price per share of common stock of National Vision Holdings, Inc., less the underwriting discount of $.30 per share.
F2: On March 13, 2014, the reporting person was granted stock options, subject to time-based and performance-based vesting. On November 19, 2018, a liquidity event with respect to such performance-based stock options occurred as a result of sales by the Issuer's sponsor stockholders and 48,060 stock options which had previously not been reported were deemed earned.
F3: Of these 76,540 stock options, 48,060 are vested and the remaining 28,480 stock options will vest on March 13, 2019. An additional 80,102 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above.
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 |
|---|---|---|---|---|---|---|
| November 19, 2018 Filed Nov 21, 2018 16:14 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | GrantStock Option (Right to Buy) · Derivative | 48,060 | $4.27 Strike: $4.27 | $205,216.20 |
DisclosureSEC source: 0001181070-18-000014 · wf-form4_154283488143590.xml · derivative · entry 2 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,540 Underlying: Common Stock · 48,060 shares Expires 2024-03-13 F2 · shares: On March 13, 2014, the reporting person was granted stock options, subject to time-based and performance-based vesting. On November 19, 2018, a liquidity event with respect to such performance-based stock options occurred as a result of sales by the Issuer's sponsor stockholders and 48,060 stock options which had previously not been reported were deemed earned. F3 · derivative.exercise_date: Of these 76,540 stock options, 48,060 are vested and the remaining 28,480 stock options will vest on March 13, 2019. An additional 80,102 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above. Read SEC document |
| November 19, 2018 Filed Nov 21, 2018 16:14 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | SaleCommon Stock | 94,576 | $40.20 | $3,801,955.20 |
DisclosureSEC source: 0001181070-18-000014 · wf-form4_154283488143590.xml · nonDerivative · entry 1 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,940 F1 · price: This amount represents the secondary public offering price per share of common stock of National Vision Holdings, Inc., less the underwriting discount of $.30 per share. Read SEC document |
| November 14, 2018 Filed Nov 16, 2018 16:12 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | Exercise / conversionStock Option (Right to Buy) · Derivative | 9,136 | $7.25 Strike: $7.25 | $66,236.00 |
DisclosureSEC source: 0001181070-18-000012 · wf-form4_154240272955503.xml · derivative · entry 4 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,650 Underlying: Common Stock · 9,136 shares Expires 2024-03-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: These stock options are fully vested. Read SEC document |
| November 14, 2018 Filed Nov 16, 2018 16:12 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | Exercise / conversionStock Option (Right to Buy) · Derivative | 85,440 | $4.27 Strike: $4.27 | $364,828.80 |
DisclosureSEC source: 0001181070-18-000012 · wf-form4_154240272955503.xml · derivative · entry 3 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,480 Underlying: Common Stock · 85,440 shares Expires 2024-03-13 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.exercise_date: The remaining 28,480 stock options will vest on March 13, 2019. An additional 128,162 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above. Read SEC document |
| November 14, 2018 Filed Nov 16, 2018 16:12 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | Exercise / conversionCommon Stock | 9,136 | $7.25 | $66,236.00 |
DisclosureSEC source: 0001181070-18-000012 · wf-form4_154240272955503.xml · nonDerivative · entry 2 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,516 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: Represents an exercise of stock options in connection with the Reporting Person's sale of shares of common stock received upon exercise in a secondary offering that is scheduled to be completed on November 19, 2018. Read SEC document |
| November 14, 2018 Filed Nov 16, 2018 16:12 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | Exercise / conversionCommon Stock | 85,440 | $4.27 | $364,828.80 |
DisclosureSEC source: 0001181070-18-000012 · wf-form4_154240272955503.xml · nonDerivative · entry 1 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,380 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: Represents an exercise of stock options in connection with the Reporting Person's sale of shares of common stock received upon exercise in a secondary offering that is scheduled to be completed on November 19, 2018. Read SEC document |
| August 02, 2018 Filed Aug 2, 2018 16:26 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | GrantStock Option (Right to Buy) · Derivative | 10,680 | $4.27 Strike: $4.27 | $45,603.60 |
DisclosureSEC source: 0001181070-18-000010 · wf-form4_153324157966421.xml · derivative · entry 2 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,920 Underlying: Common Stock · 10,680 shares Expires 2024-03-13 F2 · shares: On March 13, 2014, the reporting person was granted stock options, subject to time-based and performance-based vesting. On August 2, 2018, a liquidity event with respect to such performance-based stock options occurred as a result of sales by the Issuer's sponsor stockholders and 10,680 stock options which had previously not been reported were deemed earned. F3 · derivative.exercise_date: Of the 113,920 stock options reported herein, 85,440 are vested and the remaining 28,480 time-based stock options will vest on March 13, 2019. An additional 128,162 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above. Read SEC document |
| August 02, 2018 Filed Aug 2, 2018 16:26 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | SaleCommon Stock | 8,640 | $38.26 | $330,561.22 |
DisclosureSEC source: 0001181070-18-000010 · wf-form4_153324157966421.xml · nonDerivative · entry 1 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,940 F1 · price: This amount represents the secondary public offering price per share of common stock of National Vision Holdings, Inc., less the underwriting discount of $1.4906 per share, in connection with the exercise of the underwriters' over-allotment option. Read SEC document |
| July 30, 2018 Filed Aug 1, 2018 16:10 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | GrantStock Option (Right to Buy) · Derivative | 74,760 | $4.27 Strike: $4.27 | $319,225.20 |
DisclosureSEC source: 0001181070-18-000008 · wf-form4_153315421849718.xml · derivative · entry 2 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,240 Underlying: Common Stock · 74,760 shares Expires 2024-03-13 F2 · shares: On March 13, 2014, the reporting person was granted stock options, subject to time-based and performance-based vesting. On July 30, 2018, a liquidity event with respect to such performance-based stock options occurred as a result of sales by the Issuer's sponsor stockholders and 74,760 stock options which had previously not been reported were deemed earned. F3 · derivative.exercise_date: Of the 103,240 stock options reported herein, 74,760 are vested and the remaining 28,480 time-based stock options will vest on March 13, 2019. An additional 138,842 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above. Read SEC document |
| July 30, 2018 Filed Aug 1, 2018 16:10 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | SaleCommon Stock | 56,848 | $38.26 | $2,174,970.37 |
DisclosureSEC source: 0001181070-18-000008 · wf-form4_153315421849718.xml · nonDerivative · entry 1 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,580 F1 · price: This amount represents the secondary public offering price per share of common stock of National Vision Holdings, Inc. of $39.75, less the underwriting discount of $1.4906 per share. Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 16:23 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | Exercise / conversionStock Option (Right to Buy) · Derivative | 15,694 | $0.00 Strike: $7.25 | $0.00 |
DisclosureSEC source: 0001181070-18-000006 · wf-form4_153272298524335.xml · derivative · entry 4 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,786 Underlying: Common Stock · 15,694 shares Expires 2024-03-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: These stock options are fully vested. Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 16:23 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | Exercise / conversionStock Option (Right to Buy) · Derivative | 49,794 | $0.00 Strike: $4.27 | $0.00 |
DisclosureSEC source: 0001181070-18-000006 · wf-form4_153272298524335.xml · derivative · entry 3 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,480 Underlying: Common Stock · 49,794 shares Expires 2024-03-13 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.exercise_date: Of this stock option award, 56,960 are vested and the remaining 28,480 stock options will vest on March 13, 2019. An additional 213,602 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above. Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 16:23 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | Exercise / conversionCommon Stock | 15,694 | $7.25 | $113,781.50 |
DisclosureSEC source: 0001181070-18-000006 · wf-form4_153272298524335.xml · nonDerivative · entry 2 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,428 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: Represents an exercise of stock options in connection with the Reporting Person's sale of shares of common stock received upon exercise in a secondary offering that is scheduled to be completed on July 30, 2018. Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 16:23 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | Exercise / conversionCommon Stock | 49,794 | $4.27 | $212,620.38 |
DisclosureSEC source: 0001181070-18-000006 · wf-form4_153272298524335.xml · nonDerivative · entry 1 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,734 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Represents an exercise of stock options in connection with the Reporting Person's sale of shares of common stock received upon exercise in a secondary offering that is scheduled to be completed on July 30, 2018. Read SEC document |
| March 26, 2018 Filed Mar 26, 2018 17:03 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | SaleCommon Stock | 7,166 | $31.68 | $227,018.88 |
DisclosureSEC source: 0001181070-18-000004 · wf-form4_152209819003494.xml · nonDerivative · entry 2 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,940 F2 · price: This amount represents the secondary public offering price per share of common stock of National Vision Holdings, Inc., less the underwriting discount of $1.32 per share, in connection with the exercise of the underwriters' option to purchase additional shares. Read SEC document |
| March 22, 2018 Filed Mar 26, 2018 17:03 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,166 | $0.00 Strike: $4.27 | $0.00 |
DisclosureSEC source: 0001181070-18-000004 · wf-form4_152209819003494.xml · derivative · entry 3 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,274 Underlying: Common Stock · 7,166 shares Expires 2024-03-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Of this stock option award, 56,960 stock options are currently vested, with an additional 28,480 eligible to vest on March 13, 2019. An additional 213,602 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above. Read SEC document |
| March 22, 2018 Filed Mar 26, 2018 17:03 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | Exercise / conversionCommon Stock | 7,166 | $4.27 | $30,598.82 |
DisclosureSEC source: 0001181070-18-000004 · wf-form4_152209819003494.xml · nonDerivative · entry 1 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,106 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: Represents an exercise of stock options in connection with the Reporting Person's sale of shares of common stock in an underwritten public offering. Read SEC document |
| March 19, 2018 Filed Mar 19, 2018 16:55 UTC | National Vision Holdings, Inc. EYE · Entity 1716 | SaleCommon Stock | 47,775 | $31.68 | $1,513,512.00 |
DisclosureSEC source: 0001181070-18-000002 · wf-form4_152149290648887.xml · nonDerivative · entry 1 GOODMAN MITCHELL · CIK 0001181070 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,940 F1 · price: This amount represents the secondary public offering price per share of common stock of National Vision Holdings, Inc., less the underwriting discount of $1.32 per share. 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.