Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Shake Shack Inc.SHAK · Entity 4254 | 10% owner | May 05, 2017 | May 09, 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.
Shake Shack Inc.
Report date May 05, 2017 · Filed May 09, 2017
Jointly reported with SWINGHAMER DAVID A, DAVID A. SWINGHAMER GRAT
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CLASS A COMMON STOCKSEC Table I · non-derivative | Direct | 25,000 |
Reported balance
After 2017-05-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-05-05 · Sale · Disposed 25,000 · Balance 25,000 F2: This transaction was executed in multiple trades at prices ranging from $35.00 to $35.50 The price reported above reflects the weighted average sale price. F3: The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| CLASS A COMMON STOCKSEC Table I · non-derivative | Direct | 5,000 |
Reported balance
After 2017-05-05 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-05-05 · Sale · Disposed 20,000 · Balance 5,000 F3: The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F5: This transaction was executed in multiple trades at prices ranging from $36.00 to $36.15. The price reported above reflects the weighted average sale price. |
| CLASS B COMMON STOCKSEC Table I · non-derivative | Direct | 457,167 |
Reported balance
Holding disclosure · report date 2017-05-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 457,167 |
| CLASS A COMMON STOCKSEC Table I · non-derivative | IndirectBy Trust | 30,000 |
Reported balance
Holding disclosure · report date 2017-05-05 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 30,000 F1: Held directly by the David A. Swinghamer GRAT, of which Susan Swinghamer, the reporting person's wife, is the trustee and beneficiary. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his pecuniary interest therein. |
| CLASS B COMMON STOCKSEC Table I · non-derivative | IndirectBy Trust | 20,000 |
Reported balance
Holding disclosure · report date 2017-05-05 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 20,000 F1: Held directly by the David A. Swinghamer GRAT, of which Susan Swinghamer, the reporting person's wife, is the trustee and beneficiary. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his pecuniary interest therein. |
| COMMON MEMBERSHIP INTERESTSSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 457,167 |
Reported balance
Holding disclosure · report date 2017-05-05 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 457,167 F4: The LLC Interests are redeemable for an equal number of shares of the Issuer's Class A Common Stock or, at the election of the Issuer, cash equal to the volume-weighted average market price of such shares. The LLC Interests have no expiration date. |
| COMMON MEMBERSHIP INTERESTSSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBY TRUST | 20,000 |
Reported balance
Holding disclosure · report date 2017-05-05 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 20,000 F4: The LLC Interests are redeemable for an equal number of shares of the Issuer's Class A Common Stock or, at the election of the Issuer, cash equal to the volume-weighted average market price of such shares. The LLC Interests have no expiration date. F1: Held directly by the David A. Swinghamer GRAT, of which Susan Swinghamer, the reporting person's wife, is the trustee and beneficiary. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Held directly by the David A. Swinghamer GRAT, of which Susan Swinghamer, the reporting person's wife, is the trustee and beneficiary. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his pecuniary interest therein.
F2: This transaction was executed in multiple trades at prices ranging from $35.00 to $35.50 The price reported above reflects the weighted average sale price.
F3: The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F4: The LLC Interests are redeemable for an equal number of shares of the Issuer's Class A Common Stock or, at the election of the Issuer, cash equal to the volume-weighted average market price of such shares. The LLC Interests have no expiration date.
F5: This transaction was executed in multiple trades at prices ranging from $36.00 to $36.15. The price reported above reflects the weighted average sale price.
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 |
|---|---|---|---|---|---|---|
| May 05, 2017 Filed May 9, 2017 20:13 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleCLASS A COMMON STOCK | 20,000 | $36.06 | $721,164.00 |
DisclosureSEC source: 0001638599-17-000429 · doc4_4696.xml · nonDerivative · entry 2 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 F3 · price: The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F5 · price: This transaction was executed in multiple trades at prices ranging from $36.00 to $36.15. The price reported above reflects the weighted average sale price. Read SEC document |
| May 05, 2017 Filed May 9, 2017 20:13 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleCLASS A COMMON STOCK | 25,000 | $35.13 | $878,212.50 |
DisclosureSEC source: 0001638599-17-000429 · doc4_4696.xml · nonDerivative · entry 1 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 F2 · price: This transaction was executed in multiple trades at prices ranging from $35.00 to $35.50 The price reported above reflects the weighted average sale price. F3 · price: The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 03, 2017 Filed May 4, 2017 20:45 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleCLASS A COMMON STOCK | 21,073 | $33.64 | $708,965.26 |
DisclosureSEC source: 0001638599-17-000409 · doc4_4686.xml · nonDerivative · entry 2 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F3 · price: The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F5 · price: This transaction was executed in multiple trades at prices ranging from $33.50 to $34.08. The price reported above reflects the weighted average sale price. Read SEC document |
| May 02, 2017 Filed May 4, 2017 20:45 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleCLASS A COMMON STOCK | 13,827 | $34.34 | $474,792.91 |
DisclosureSEC source: 0001638599-17-000409 · doc4_4686.xml · nonDerivative · entry 1 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,073 F2 · price: This transaction was executed in multiple trades at prices ranging from $34.25 to $34.50. The price reported above reflects the weighted average sale price. F3 · price: The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 01, 2017 Filed May 1, 2017 20:47 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleCLASS A COMMON STOCK | 100 | $34.51 | $3,451.00 |
DisclosureSEC source: 0001638599-17-000384 · doc4_4672.xml · nonDerivative · entry 2 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,900 Read SEC document |
| April 27, 2017 Filed Apr 27, 2017 19:09 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleCLASS A COMMON STOCK | 10,000 | $34.50 | $345,000.00 |
DisclosureSEC source: 0001638599-17-000380 · doc4_4671.xml · nonDerivative · entry 3 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Read SEC document |
| April 27, 2017 Filed May 1, 2017 20:47 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleCLASS A COMMON STOCK | 5,000 | $34.70 | $173,512.00 |
DisclosureSEC source: 0001638599-17-000384 · doc4_4672.xml · nonDerivative · entry 1 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,000 F2 · price: This transaction was executed in multiple trades at prices ranging from $34.68 to $34.72. The price reported above reflects the weighted average sale price. F3 · price: The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · balance_after: The Form 4 filed by the Reporting Person with the SEC on April 27, 2017 incorrectly disclosed that the Reporting Person directly beneficially owned 40,000 shares of Class A Common Stock of the issuer as of the close of business on such date. The Reporting Person directly beneficially owned 90,000 shares of Class A Common Stock of the issuer as of the close of business on April, 27, 2017. Read SEC document |
| April 25, 2017 Filed Apr 27, 2017 19:09 UTC | Shake Shack Inc. SHAK · Entity 4254 | ConversionCOMMON MEMBERSHIP INTERESTS · Derivative | 50,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000380 · doc4_4671.xml · derivative · entry 6 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 457,167 Underlying: CLASS A COMMON STOCK · 50,000 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. F3 · derivative.exercise_price: The LLC Interests are redeemable for an equal number of shares of the Issuer's Class A Common Stock or, at the election of the Issuer, cash equal to the volume-weighted average market price of such shares. The LLC Interests have no expiration date. F3 · price: The LLC Interests are redeemable for an equal number of shares of the Issuer's Class A Common Stock or, at the election of the Issuer, cash equal to the volume-weighted average market price of such shares. The LLC Interests have no expiration date. F3 · derivative.exercise_date: The LLC Interests are redeemable for an equal number of shares of the Issuer's Class A Common Stock or, at the election of the Issuer, cash equal to the volume-weighted average market price of such shares. The LLC Interests have no expiration date. F3 · derivative.expiration_date: The LLC Interests are redeemable for an equal number of shares of the Issuer's Class A Common Stock or, at the election of the Issuer, cash equal to the volume-weighted average market price of such shares. The LLC Interests have no expiration date. Read SEC document |
| April 25, 2017 Filed Apr 27, 2017 19:09 UTC | Shake Shack Inc. SHAK · Entity 4254 | OtherCLASS B COMMON STOCK | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000380 · doc4_4671.xml · nonDerivative · entry 2 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 457,167 F2 · kind: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer, the shares of the Issuer's Class B Common Stock are cancelled for no consideration on a one-for-one basis upon redemption of the LLC Interests for shares of Class A Common Stock. F2 · price: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer, the shares of the Issuer's Class B Common Stock are cancelled for no consideration on a one-for-one basis upon redemption of the LLC Interests for shares of Class A Common Stock. Read SEC document |
| April 25, 2017 Filed Apr 27, 2017 19:09 UTC | Shake Shack Inc. SHAK · Entity 4254 | ConversionCLASS A COMMON STOCK | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000380 · doc4_4671.xml · nonDerivative · entry 1 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 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 · price: Shares obtained upon redemption of common membership interests in SSE Holdings, LLC (the "LLC Interests") for an equal number of shares of the Issuer's Class A Common Stock. Read SEC document |
| November 23, 2016 Filed Apr 6, 2017 20:43 UTC | Shake Shack Inc. SHAK · Entity 4254 | ConversionCOMMON MEMBERSHIP INTERESTS · Derivative | 50,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000365 · doc4_4661.xml · derivative · entry 5 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 507,167 Underlying: CLASS A COMMON STOCK · 50,000 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. F3 · derivative.exercise_price: The LLC Interests are redeemable for an equal number of shares of the Issuer's Class A Common Stock or, at the election of the Issuer, cash equal to the volume-weighted average market price of such shares. The LLC Interests have no expiration date. F3 · price: The LLC Interests are redeemable for an equal number of shares of the Issuer's Class A Common Stock or, at the election of the Issuer, cash equal to the volume-weighted average market price of such shares. The LLC Interests have no expiration date. F3 · derivative.exercise_date: The LLC Interests are redeemable for an equal number of shares of the Issuer's Class A Common Stock or, at the election of the Issuer, cash equal to the volume-weighted average market price of such shares. The LLC Interests have no expiration date. F3 · derivative.expiration_date: The LLC Interests are redeemable for an equal number of shares of the Issuer's Class A Common Stock or, at the election of the Issuer, cash equal to the volume-weighted average market price of such shares. The LLC Interests have no expiration date. Read SEC document |
| November 23, 2016 Filed Apr 6, 2017 20:43 UTC | Shake Shack Inc. SHAK · Entity 4254 | OtherCLASS B COMMON STOCK | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000365 · doc4_4661.xml · nonDerivative · entry 2 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 507,167 F2 · kind: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer, the shares of the Issuer's Class B Common Stock are cancelled for no consideration on a one-for-one basis upon redemption of the LLC Interests for shares of Class A Common Stock. F2 · price: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer, the shares of the Issuer's Class B Common Stock are cancelled for no consideration on a one-for-one basis upon redemption of the LLC Interests for shares of Class A Common Stock. Read SEC document |
| November 23, 2016 Filed Apr 6, 2017 20:43 UTC | Shake Shack Inc. SHAK · Entity 4254 | ConversionCLASS A COMMON STOCK | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000365 · doc4_4661.xml · nonDerivative · entry 1 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 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 · price: Shares obtained upon redemption of common membership interests in SSE Holdings, LLC (the "LLC Interests") for an equal number of shares of the Issuer's Class A Common Stock. Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 20:21 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleCLASS A COMMON STOCK | 20,000 | $38.23 | $764,584.00 |
DisclosureSEC source: 0001638599-16-001573 · doc4_4325.xml · nonDerivative · entry 3 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F6 · price: This transaction was executed in multiple trades at prices ranging from $38.0500 to $38.3600. The price reported above reflects the weighted average sale price. Read SEC document |
| November 11, 2016 Filed Nov 15, 2016 20:21 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleCLASS A COMMON STOCK | 5,000 | $38.05 | $190,261.50 |
DisclosureSEC source: 0001638599-16-001573 · doc4_4325.xml · nonDerivative · entry 2 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 F2 · price: The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F5 · price: This transaction was executed in multiple trades at prices ranging from $38.03 to $38.06. The price reported above reflects the weighted average sale price. Read SEC document |
| November 10, 2016 Filed Nov 15, 2016 20:21 UTC | Shake Shack Inc. SHAK · Entity 4254 | SaleCLASS A COMMON STOCK | 25,000 | $37.76 | $943,970.00 |
DisclosureSEC source: 0001638599-16-001573 · doc4_4325.xml · nonDerivative · entry 1 SWINGHAMER DAVID A · CIK 0001633839 · 10% owner DAVID A. SWINGHAMER GRAT · CIK 0001633976 · 10% owner Swinghamer Susan · CIK 0001658473 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 F1 · price: This transaction was executed in multiple trades at prices ranging from $37.50 to $37.92. The price reported above reflects the weighted average sale price. F2 · price: The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. 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.