Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Guidance Software, Inc.GUID · Entity 173081 | Director · CEO and President | September 14, 2017 | September 15, 2017 |
| QUANTUM CORP /DE/QTM · Entity 4987 | President and CEO | February 01, 2018 | February 02, 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.
Guidance Software, Inc.
Report date September 14, 2017 · Filed September 15, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-09-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-09-14 · Disposition to issuer · Disposed 967,501 · Balance 0 F1: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 25, 2017, by and among Guidance Software, Inc. a Delaware corporation (the "Company"), Open Text Corporation a corporation incorporated under the federal laws of Canada (the "Parent"), and Galileo Acquisition Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent (the "Purchaser") and the terms of the Tender and Voting Agreement, dated as of July 25, 2017, by and among each of those parties and each stockholder listed on Annex I of the Tender and Voting Agreement, the reporting person disposed of 227716 shares of the Company's Common stock in the merger and Offer (as defined in the Merger Agreement) in exchange for $7.10 per share (the "Offer Price") and 366243 shares of unvested time-based restricted stock shares and 373542 unvested performance-based restricted stock shares (based on 100% target performance), each of which was cancelled in exchange for Offer Price. F2: Pursuant to the terms of the Merger Agreement, each award of vested restricted shares stock option of the Company that is outstanding and vested, whether exercised or unexercised, was cancelled in exchange for a payment in cash equal to the product of (i) the total number of Vested Restricted Shares immediately prior to such cancellation (which, in the case of awards of performance-vesting restricted shares, shall be calculated for "Target Level" performance, as defined in the award agreements) and (ii) the Offer Price. |
| STOCK OPTION (RIGHT TO BUY)SEC Table II · derivative / convertible security · Conversion / exercise price $5.95 · Expires 2025-05-01 | Direct | 0 |
Reported balance
After 2017-09-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-09-14 · Disposition to issuer · Disposed 236,952 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, each vested stock option of the Company that is outstanding and vested, whether exercised or unexercised, was cancelled in exchange for a payment in cash equal to the product of (i) the total amount of common stock subject to such Vested Option immediately prior to such cancellation and (ii) the excess, if any, of the Offer Price over the exercise price per Company Share subject to such Vested Option immediately prior to such cancellation. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 25, 2017, by and among Guidance Software, Inc. a Delaware corporation (the "Company"), Open Text Corporation a corporation incorporated under the federal laws of Canada (the "Parent"), and Galileo Acquisition Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent (the "Purchaser") and the terms of the Tender and Voting Agreement, dated as of July 25, 2017, by and among each of those parties and each stockholder listed on Annex I of the Tender and Voting Agreement, the reporting person disposed of 227716 shares of the Company's Common stock in the merger and Offer (as defined in the Merger Agreement) in exchange for $7.10 per share (the "Offer Price") and 366243 shares of unvested time-based restricted stock shares and 373542 unvested performance-based restricted stock shares (based on 100% target performance), each of which was cancelled in exchange for Offer Price.
F2: Pursuant to the terms of the Merger Agreement, each award of vested restricted shares stock option of the Company that is outstanding and vested, whether exercised or unexercised, was cancelled in exchange for a payment in cash equal to the product of (i) the total number of Vested Restricted Shares immediately prior to such cancellation (which, in the case of awards of performance-vesting restricted shares, shall be calculated for "Target Level" performance, as defined in the award agreements) and (ii) the Offer Price.
F3: Pursuant to the terms of the Merger Agreement, each vested stock option of the Company that is outstanding and vested, whether exercised or unexercised, was cancelled in exchange for a payment in cash equal to the product of (i) the total amount of common stock subject to such Vested Option immediately prior to such cancellation and (ii) the excess, if any, of the Offer Price over the exercise price per Company Share subject to such Vested Option immediately prior to such cancellation.
QUANTUM CORP /DE/
Report date February 01, 2018 · Filed February 02, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 125,000 |
Reported balance
After 2018-02-01 transaction · row 1
1 source rowRow 1 · 2018-02-01 · Grant · Acquired 125,000 · Balance 125,000 F1: Restricted stock units will vest in equal installments on 02/01/2019, 02/01/2020, and 02/01/2021. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.20 · Expires 2025-02-01 | Direct | 250,000 |
Reported balance
After 2018-02-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-02-01 · Grant · Acquired 250,000 · Balance 250,000 F2: Stock options will vest in equal installments on 02/01/2019, 02/01/2020, 02/01/2021 and 02/01/2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock units will vest in equal installments on 02/01/2019, 02/01/2020, and 02/01/2021.
F2: Stock options will vest in equal installments on 02/01/2019, 02/01/2020, 02/01/2021 and 02/01/2022.
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 01, 2018 Filed Feb 2, 2018 20:03 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | GrantStock Option (right to buy) · Derivative | 250,000 | $6.20 Strike: $6.20 | $1,550,000.00 |
DisclosureSEC source: 0001209191-18-006730 · doc4.xml · derivative · entry 2 Dennis Patrick · CIK 0001640807 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2025-02-01 F2 · derivative.exercise_date: Stock options will vest in equal installments on 02/01/2019, 02/01/2020, 02/01/2021 and 02/01/2022. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 20:03 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | GrantCommon Stock | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-006730 · doc4.xml · nonDerivative · entry 1 Dennis Patrick · CIK 0001640807 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 F1 · shares: Restricted stock units will vest in equal installments on 02/01/2019, 02/01/2020, and 02/01/2021. Read SEC document |
| September 14, 2017 Filed Sep 15, 2017 17:45 UTC | Guidance Software, Inc. GUID · Entity 173081 | Disposition to issuerSTOCK OPTION (RIGHT TO BUY) · Derivative | 236,952 | Not disclosed Strike: $5.95 | Not disclosed |
DisclosureSEC source: 0001179110-17-012339 · edgar.xml · derivative · entry 2 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 236,952 shares Expires 2025-05-01 F3 · price: Pursuant to the terms of the Merger Agreement, each vested stock option of the Company that is outstanding and vested, whether exercised or unexercised, was cancelled in exchange for a payment in cash equal to the product of (i) the total amount of common stock subject to such Vested Option immediately prior to such cancellation and (ii) the excess, if any, of the Offer Price over the exercise price per Company Share subject to such Vested Option immediately prior to such cancellation. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each vested stock option of the Company that is outstanding and vested, whether exercised or unexercised, was cancelled in exchange for a payment in cash equal to the product of (i) the total amount of common stock subject to such Vested Option immediately prior to such cancellation and (ii) the excess, if any, of the Offer Price over the exercise price per Company Share subject to such Vested Option immediately prior to such cancellation. Read SEC document |
| September 14, 2017 Filed Sep 15, 2017 17:45 UTC | Guidance Software, Inc. GUID · Entity 173081 | Disposition to issuerCommon Stock | 967,501 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-17-012339 · edgar.xml · nonDerivative · entry 1 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 25, 2017, by and among Guidance Software, Inc. a Delaware corporation (the "Company"), Open Text Corporation a corporation incorporated under the federal laws of Canada (the "Parent"), and Galileo Acquisition Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent (the "Purchaser") and the terms of the Tender and Voting Agreement, dated as of July 25, 2017, by and among each of those parties and each stockholder listed on Annex I of the Tender and Voting Agreement, the reporting person disposed of 227716 shares of the Company's Common stock in the merger and Offer (as defined in the Merger Agreement) in exchange for $7.10 per share (the "Offer Price") and 366243 shares of unvested time-based restricted stock shares and 373542 unvested performance-based restricted stock shares (based on 100% target performance), each of which was cancelled in exchange for Offer Price. F2 · security: Pursuant to the terms of the Merger Agreement, each award of vested restricted shares stock option of the Company that is outstanding and vested, whether exercised or unexercised, was cancelled in exchange for a payment in cash equal to the product of (i) the total number of Vested Restricted Shares immediately prior to such cancellation (which, in the case of awards of performance-vesting restricted shares, shall be calculated for "Target Level" performance, as defined in the award agreements) and (ii) the Offer Price. F1 · shares: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 25, 2017, by and among Guidance Software, Inc. a Delaware corporation (the "Company"), Open Text Corporation a corporation incorporated under the federal laws of Canada (the "Parent"), and Galileo Acquisition Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent (the "Purchaser") and the terms of the Tender and Voting Agreement, dated as of July 25, 2017, by and among each of those parties and each stockholder listed on Annex I of the Tender and Voting Agreement, the reporting person disposed of 227716 shares of the Company's Common stock in the merger and Offer (as defined in the Merger Agreement) in exchange for $7.10 per share (the "Offer Price") and 366243 shares of unvested time-based restricted stock shares and 373542 unvested performance-based restricted stock shares (based on 100% target performance), each of which was cancelled in exchange for Offer Price. F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 25, 2017, by and among Guidance Software, Inc. a Delaware corporation (the "Company"), Open Text Corporation a corporation incorporated under the federal laws of Canada (the "Parent"), and Galileo Acquisition Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent (the "Purchaser") and the terms of the Tender and Voting Agreement, dated as of July 25, 2017, by and among each of those parties and each stockholder listed on Annex I of the Tender and Voting Agreement, the reporting person disposed of 227716 shares of the Company's Common stock in the merger and Offer (as defined in the Merger Agreement) in exchange for $7.10 per share (the "Offer Price") and 366243 shares of unvested time-based restricted stock shares and 373542 unvested performance-based restricted stock shares (based on 100% target performance), each of which was cancelled in exchange for Offer Price. F2 · price: Pursuant to the terms of the Merger Agreement, each award of vested restricted shares stock option of the Company that is outstanding and vested, whether exercised or unexercised, was cancelled in exchange for a payment in cash equal to the product of (i) the total number of Vested Restricted Shares immediately prior to such cancellation (which, in the case of awards of performance-vesting restricted shares, shall be calculated for "Target Level" performance, as defined in the award agreements) and (ii) the Offer Price. Read SEC document |
| May 04, 2017 Filed May 5, 2017 16:09 UTC | Guidance Software, Inc. GUID · Entity 173081 | SaleCommon Stock | 17,705 | $5.82 | $103,043.10 |
DisclosureSEC source: 0001179110-17-006641 · edgar.xml · nonDerivative · entry 1 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 919,018 F1 · security: Represents a sale, pursuant to a Section 10b5-1 Plan, to cover tax withholding obligations upon vesting of certain restricted shares of common stock that were granted under the Company's 2004 Second Amended and Restated Equity Incentive Plan, which grant was exempt from Section 16b. Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 21:05 UTC | Guidance Software, Inc. GUID · Entity 173081 | GrantCommon Stock | 87,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-005962 · edgar.xml · nonDerivative · entry 1 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 936,723 F1 · security: Effective April 10, 2017, the Board of Directors of the Company granted Mr. Dennis Restricted Stock Awards representing 87,500 shares of Common Stock and, provided Mr. Dennis remains an employee of the Company on the following dates, such shares shall vest as follows: 25% shall vest on April 10, 2018, 25% shall vest on April 10, 2019, 25% shall vest on April 10, 2020, and the final 25% shall vest on April 10, 2021. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 20:21 UTC | Guidance Software, Inc. GUID · Entity 173081 | SaleCommon Stock | 14,948 | $6.76 | $101,048.48 |
DisclosureSEC source: 0001179110-17-003913 · edgar.xml · nonDerivative · entry 1 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 849,223 F1 · security: Represents a sale, pursuant to a Section 10b5-1 Plan, to cover tax withholding obligations upon vesting of certain restricted shares of common stock that were granted under the Company's 2004 Second Amended and Restated Equity Incentive Plan, which grant was exempt from Section 16b. Read SEC document |
| March 02, 2017 Filed Mar 22, 2017 20:03 UTC | Guidance Software, Inc. GUID · Entity 173081 | SaleCommon Stock | 14,948 | $6.76 | $101,048.48 |
DisclosureSEC source: 0001179110-17-005094 · edgar.xml · nonDerivative · entry 1 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 849,223 F1 · security: Represents a sale, pursuant to a Section 10b5-1 Plan, to cover tax withholding obligations upon vesting of certain restricted shares of common stock that were granted under the Company's 2004 Second Amended and Restated Equity Incentive Plan, which grant was exempt from Section 16b. Read SEC document |
| March 01, 2017 Filed Mar 1, 2017 20:58 UTC | Guidance Software, Inc. GUID · Entity 173081 | SaleCommon Stock | 14,592 | $6.93 | $101,122.56 |
DisclosureSEC source: 0001179110-17-003548 · edgar.xml · nonDerivative · entry 3 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 864,171 F1 · security: Represents a sale, pursuant to a Section 10b5-1 Plan, to cover tax withholding obligations upon vesting of certain restricted shares of common stock that were granted under the Company's 2004 Second Amended and Restated Equity Incentive Plan, which grant was exempt from Section 16b. Read SEC document |
| February 28, 2017 Filed Mar 1, 2017 20:58 UTC | Guidance Software, Inc. GUID · Entity 173081 | SaleCommon Stock | 15,262 | $6.62 | $101,034.44 |
DisclosureSEC source: 0001179110-17-003548 · edgar.xml · nonDerivative · entry 2 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 878,763 F1 · security: Represents a sale, pursuant to a Section 10b5-1 Plan, to cover tax withholding obligations upon vesting of certain restricted shares of common stock that were granted under the Company's 2004 Second Amended and Restated Equity Incentive Plan, which grant was exempt from Section 16b. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 20:58 UTC | Guidance Software, Inc. GUID · Entity 173081 | SaleCommon Stock | 14,943 | $6.76 | $101,014.68 |
DisclosureSEC source: 0001179110-17-003548 · edgar.xml · nonDerivative · entry 1 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 894,025 F1 · security: Represents a sale, pursuant to a Section 10b5-1 Plan, to cover tax withholding obligations upon vesting of certain restricted shares of common stock that were granted under the Company's 2004 Second Amended and Restated Equity Incentive Plan, which grant was exempt from Section 16b. Read SEC document |
| February 24, 2017 Filed Feb 24, 2017 20:31 UTC | Guidance Software, Inc. GUID · Entity 173081 | SaleCommon Stock | 14,181 | $6.85 | $97,139.85 |
DisclosureSEC source: 0001179110-17-003220 · edgar.xml · nonDerivative · entry 3 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 908,968 F1 · security: Represents a sale, pursuant to a Section 10b5-1 Plan, to cover tax withholding obligations upon vesting of certain restricted shares of common stock that were granted under the Company's 2004 Second Amended and Restated Equity Incentive Plan, which grant was exempt from Section 16b. Read SEC document |
| February 23, 2017 Filed Feb 24, 2017 20:31 UTC | Guidance Software, Inc. GUID · Entity 173081 | SaleCommon Stock | 10,437 | $6.97 | $72,745.89 |
DisclosureSEC source: 0001179110-17-003220 · edgar.xml · nonDerivative · entry 2 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 923,149 F1 · security: Represents a sale, pursuant to a Section 10b5-1 Plan, to cover tax withholding obligations upon vesting of certain restricted shares of common stock that were granted under the Company's 2004 Second Amended and Restated Equity Incentive Plan, which grant was exempt from Section 16b. Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 20:31 UTC | Guidance Software, Inc. GUID · Entity 173081 | SaleCommon Stock | 10,100 | $7.21 | $72,821.00 |
DisclosureSEC source: 0001179110-17-003220 · edgar.xml · nonDerivative · entry 1 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 933,586 F1 · security: Represents a sale, pursuant to a Section 10b5-1 Plan, to cover tax withholding obligations upon vesting of certain restricted shares of common stock that were granted under the Company's 2004 Second Amended and Restated Equity Incentive Plan, which grant was exempt from Section 16b. Read SEC document |
| February 21, 2017 Filed Feb 21, 2017 21:08 UTC | Guidance Software, Inc. GUID · Entity 173081 | SaleCommon Stock | 10,044 | $7.34 | $73,722.96 |
DisclosureSEC source: 0001179110-17-002856 · edgar.xml · nonDerivative · entry 3 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 943,686 F1 · security: Represents a sale, pursuant to a Section 10b5-1 Plan, to cover tax withholding obligations upon vesting of certain restricted shares of common stock that were granted under the Company's 2004 Second Amended and Restated Equity Incentive Plan, which grant was exempt from Section 16b. Read SEC document |
| February 17, 2017 Filed Feb 21, 2017 21:08 UTC | Guidance Software, Inc. GUID · Entity 173081 | SaleCommon Stock | 10,060 | $7.33 | $73,739.80 |
DisclosureSEC source: 0001179110-17-002856 · edgar.xml · nonDerivative · entry 2 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 953,730 F1 · security: Represents a sale, pursuant to a Section 10b5-1 Plan, to cover tax withholding obligations upon vesting of certain restricted shares of common stock that were granted under the Company's 2004 Second Amended and Restated Equity Incentive Plan, which grant was exempt from Section 16b. Read SEC document |
| February 16, 2017 Filed Feb 21, 2017 21:08 UTC | Guidance Software, Inc. GUID · Entity 173081 | SaleCommon Stock | 10,345 | $7.38 | $76,346.10 |
DisclosureSEC source: 0001179110-17-002856 · edgar.xml · nonDerivative · entry 1 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 963,790 F1 · security: Represents a sale, pursuant to a Section 10b5-1 Plan, to cover tax withholding obligations upon vesting of certain restricted shares of common stock that were granted under the Company's 2004 Second Amended and Restated Equity Incentive Plan, which grant was exempt from Section 16b. Read SEC document |
| February 09, 2017 Filed Feb 13, 2017 20:56 UTC | Guidance Software, Inc. GUID · Entity 173081 | GrantCommon Stock | 572,082 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-002319 · edgar.xml · nonDerivative · entry 1 Dennis Patrick · CIK 0001640807 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 974,135 F1 · security: On March 18, 2016 the reporting person was granted a target number of performance-vesting restricted stock shares, with the payout ranging from 0 to 200% of target based on the Company's core product revenue. On February 9, 2017, the Compensation Committee of the Issuer certified the applicable payout, resulting in 286,041 of the shares vesting, and an additional grant of 286,041 shares of restricted Common Stock which shall vest provided the reporting person remains an employee of the Company through December 31, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.