Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ADTRAN Holdings, Inc.ADTN · Entity 5331 | SVP Global Services & Support | October 27, 2017 | October 31, 2017 |
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.
ADTRAN Holdings, Inc.
Report date October 27, 2017 · Filed October 31, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan | 0 |
Reported balance
After 2017-10-27 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-10-27 · Other · Disposed 6,200.829 · Balance 0 F1: Includes 2,458.369 shares acquired under ADTRAN, Inc.'s 401(k) plan since the date of the reporting person's last ownership report detailing the number of shares held in the reporting person's 401(k) Plan. |
| Common StockSEC Table I · non-derivative | Direct | 6,408 |
Reported balance
Holding disclosure · report date 2017-10-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 6,408 |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 2,458.369 shares acquired under ADTRAN, Inc.'s 401(k) plan since the date of the reporting person's last ownership report detailing the number of shares held in the reporting person's 401(k) Plan.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 27, 2017 Filed Oct 31, 2017 14:09 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | OtherCommon Stock | 6,200.829 | $19.08 | $118,311.82 |
DisclosureSEC source: 0001179022-17-000047 · edgar.xml · nonDerivative · entry 1 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Indirect · By 401(k) Plan Disclosed balance after: 0 F1 · shares: Includes 2,458.369 shares acquired under ADTRAN, Inc.'s 401(k) plan since the date of the reporting person's last ownership report detailing the number of shares held in the reporting person's 401(k) Plan. Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 16:28 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | OtherPhantom Stock · Derivative | 14,760.312 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179022-17-000046 · edgar.xml · derivative · entry 1 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,760.312 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof. F3 · price: The reporting person transferred 14,760.312 shares of phantom stock held under the issuer's deferred compensation plan into alternative investments within the deferred compensation plan at a price of $20.02 for each share of phantom stock. F2 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time. F2 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time. Read SEC document |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | Exercise / conversionNon-Qualified Stock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $15.33 | $0.00 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · derivative · entry 13 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 5,000 shares Expires 2025-11-14 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 · balance_after: The issuer issued Incentive Stock Options (right to buy) to the reporting person and Non-Qualified Stock Options (Right to Buy) to the reporting person on November 14, 2015. At the time of issuance, these stock options were properly reported on Form 4. The issuer has now exceeded alloted Incentive Stock Option amounts for the reporting person and has changed some of the Incentive Stock Options to be Non-Qualified Options. The total in Column 9 represents the total options (both Incentive Stock Options and Non-Qualified Stock Options) remaining from the grant, in the aggregate. Read SEC document |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | Exercise / conversionNon-Qualified Stock Option (Right to Buy) · Derivative | 12,522 | $0.00 Strike: $18.97 | $0.00 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · derivative · entry 12 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,521 Underlying: Common Stock · 12,522 shares Expires 2024-11-14 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 · balance_after: The issuer issued Incentive Stock Options (right to buy) to the reporting person and Non-Qualified Stock Options (Right to Buy) to the reporting person on November 14, 2014 (originally reported as November 15, 2014). At the time of issuance, these stock options were properly reported on Form 4. The issuer has now exceeded alloted Incentive Stock Option amounts for the reporting person and has changed some of the Incentive Stock Options to be Non-Qualified Options. The total in Column 9 represents the total options (both Incentive Stock Options and Non-Qualified Stock Options) remaining from the grant, in the aggregate. Read SEC document |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | Exercise / conversionIncentive Stock Option (Right to Buy) · Derivative | 5,009 | $0.00 Strike: $16.97 | $0.00 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · derivative · entry 11 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,009 shares Expires 2022-11-03 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 |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | Exercise / conversionNon-Qualified Stock Option (Right to Buy) · Derivative | 15,025 | $0.00 Strike: $16.97 | $0.00 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · derivative · entry 10 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,025 shares Expires 2022-11-03 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 |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | Exercise / conversionIncentive Stock Option (Right to Buy) · Derivative | 5,250 | $0.00 Strike: $15.29 | $0.00 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · derivative · entry 9 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,250 shares Expires 2018-11-06 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 |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | Exercise / conversionNon-Qualified Stock Option (Right to Buy) · Derivative | 5,250 | $0.00 Strike: $15.29 | $0.00 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · derivative · entry 8 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,250 shares Expires 2018-11-06 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 |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | SaleCommon Stock | 48,056 | $21.70 | $1,042,574.92 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · nonDerivative · entry 7 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,408 F1 · price: The shares were sold in multiple transactions at prices ranging from $21.55 to $22.10. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | Exercise / conversionCommon Stock | 5,000 | $15.33 | $76,650.00 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · nonDerivative · entry 6 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,464 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 |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | Exercise / conversionCommon Stock | 12,522 | $18.97 | $237,542.34 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · nonDerivative · entry 5 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,464 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 |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | Exercise / conversionCommon Stock | 5,009 | $16.97 | $85,002.73 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · nonDerivative · entry 4 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,942 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 |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | Exercise / conversionCommon Stock | 15,025 | $16.97 | $254,974.25 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · nonDerivative · entry 3 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,933 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 |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | Exercise / conversionCommon Stock | 5,250 | $15.29 | $80,272.50 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · nonDerivative · entry 2 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,908 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 |
| October 20, 2017 Filed Oct 25, 2017 20:22 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | Exercise / conversionCommon Stock | 5,250 | $15.29 | $80,272.50 |
DisclosureSEC source: 0001179022-17-000044 · edgar.xml · nonDerivative · entry 1 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,658 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 |
| August 17, 2017 Filed Aug 21, 2017 18:58 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | GrantPhantom Stock · Derivative | 60.817 | $0.00 | $0.00 |
DisclosureSEC source: 0001179022-17-000032 · edgar.xml · derivative · entry 1 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,760.312 Underlying: Common stock · 60.817 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof. F2 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time. F2 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time. Read SEC document |
| May 18, 2017 Filed May 22, 2017 20:31 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | GrantPhantom Stock · Derivative | 66.251 | $0.00 | $0.00 |
DisclosureSEC source: 0001179022-17-000020 · edgar.xml · derivative · entry 1 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,699.495 Underlying: Common stock · 66.251 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof. F2 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time. F2 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time. Read SEC document |
| February 16, 2017 Filed Mar 3, 2017 22:50 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | GrantPhantom Stock · Derivative | 59.764 | $0.00 | $0.00 |
DisclosureSEC source: 0001179022-17-000010 · edgar.xml · derivative · entry 1 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,633.244 Underlying: Common stock · 59.764 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof. F2 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time. F2 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time. F3 · balance_after: The reporting person previously reported an acquisition on November 17, 2017 of 3,100 shares of Phantom Stock as reported on a Form 4 filed on November 18, 2016. The actual number of shares of Phantom Stock acquired on November 17, 2017 was 3,184. The correct amount of derivative securities beneficially owned currently reflects the correct amount. Read SEC document |
| November 17, 2016 Filed Nov 18, 2016 22:48 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | GrantPhantom Stock · Derivative | 51.059 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-151296 · doc4.xml · derivative · entry 1 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,489.48 Underlying: Common · 51.059 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof. F2 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time. F2 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time. Read SEC document |
| November 12, 2016 Filed Nov 15, 2016 17:35 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | GrantPhantom Stock · Derivative | 3,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001179022-16-000117 · edgar.xml · derivative · entry 2 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,438.421 Underlying: Common stock · 3,100 shares Expires not disclosed F2 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof. F4 · price: Upon vesting of performance shares awarded pursuant to a grant of November 2, 2013 under the ADTRAN, Inc. 2006 Employee Stock Incentive Plan, the reporting person deferred the receipt of shares of the Company's common stock and received instead shares of phantom stock pursuant to the Company's deferred compensation plan. F3 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time. F3 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time. Read SEC document |
| November 12, 2016 Filed Nov 15, 2016 17:35 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | GrantCommon Stock | 6,408 | $0.00 | $0.00 |
DisclosureSEC source: 0001179022-16-000117 · edgar.xml · nonDerivative · entry 1 Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,408 F1 · security: Represents a grant of restricted stock units that vest in four equal and annual installments beginning on the first anniversary date of the grant. 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.