Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TE Connectivity plcTEL · Entity 3004 | EVP & Chief Technology Officer | November 14, 2016 | November 16, 2016 |
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.
TE Connectivity plc
Report date November 14, 2016 · Filed November 16, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 39,776 |
Ending reported balance
After 2016-11-15 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2016-11-14 · Exercise / conversion · Acquired 1,770 · Balance 40,593 F1: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F2: Not Applicable Row 2 · 2016-11-14 · Tax withholding · Disposed 817 · Balance 39,776 Row 3 · 2016-11-15 · Exercise / conversion · Acquired 20,000 · Balance 59,776 Row 4 · 2016-11-15 · Exercise / conversion · Acquired 5,000 · Balance 64,776 Row 5 · 2016-11-15 · Sale · Disposed 25,000 · Balance 39,776 F3: The reported price is the weighted average price for the transactions on November 15, 2016. The range of prices for the transaction is from $67.10 to $67.145 per share. Information regarding the number of shares sold at each separate price will be provided upon request of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 26,721 |
Reported balance
After 2016-11-14 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2016-11-14 · Exercise / conversion · Disposed 1,770 · Balance 26,721 F1: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F2: Not Applicable F4: Date Exercisable: November 14, 2016 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $33.73 · Expires 2020-11-08 | Direct | 0 |
Reported balance
After 2016-11-15 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2016-11-15 · Exercise / conversion · Disposed 20,000 · Balance 0 F5: Options exercisable in four equal installments on the first, second, third and fourth anniversary of the grant date, November 8, 2010. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $34.49 · Expires 2021-11-14 | Direct | 82,700 |
Reported balance
After 2016-11-15 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2016-11-15 · Exercise / conversion · Disposed 5,000 · Balance 82,700 F6: Options exercisable in four equal installments on the first, second, third and fourth anniversary of the grant date, November 14, 2011. |
Filing footnotes · ownership attribution and instrument terms
F1: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer.
F2: Not Applicable
F3: The reported price is the weighted average price for the transactions on November 15, 2016. The range of prices for the transaction is from $67.10 to $67.145 per share. Information regarding the number of shares sold at each separate price will be provided upon request of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.
F4: Date Exercisable: November 14, 2016
F5: Options exercisable in four equal installments on the first, second, third and fourth anniversary of the grant date, November 8, 2010.
F6: Options exercisable in four equal installments on the first, second, third and fourth anniversary of the grant date, November 14, 2011.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
AMERICAN SCIENCE & ENGINEERING, INC.
Report date September 09, 2016 · Filed September 12, 2016
Section 16 reporting ended · disclosed 2016-09-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2016-09-09 transaction · row 1
1 source rowRow 1 · 2016-09-09 · Disposition to issuer · Disposed 6,158 · Balance 0 F1: On September 9, 2016, pursuant to the Agreement and Plan of Merger among the issuer, OSI Systems, Inc. ("Buyer") and Apple Merger Sub, Inc., a wholly owned subsidiary of Buyer ("Merger Sub"), dated June 20, 2016 (the "Merger Agreement"), Merger Sub merged with and into the issuer (the "Merger"), with the issuer surviving the Merger as a wholly owned subsidiary of Buyer. Pursuant to the Merger Agreement, at the effective time of the Merger, the shares automatically converted into the right to receive $37.00 per share in cash. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 9, 2016, pursuant to the Agreement and Plan of Merger among the issuer, OSI Systems, Inc. ("Buyer") and Apple Merger Sub, Inc., a wholly owned subsidiary of Buyer ("Merger Sub"), dated June 20, 2016 (the "Merger Agreement"), Merger Sub merged with and into the issuer (the "Merger"), with the issuer surviving the Merger as a wholly owned subsidiary of Buyer. Pursuant to the Merger Agreement, at the effective time of the Merger, the shares automatically converted into the right to receive $37.00 per share in cash.
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 15, 2016 Filed Nov 16, 2016 16:57 UTC | TE Connectivity plc TEL · Entity 3004 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $34.49 | $0.00 |
DisclosureSEC source: 0001225208-16-041867 · doc4.xml · derivative · entry 8 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,700 Underlying: Common Shares · 5,000 shares Expires 2021-11-14 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. F6 · derivative.exercise_date: Options exercisable in four equal installments on the first, second, third and fourth anniversary of the grant date, November 14, 2011. Read SEC document |
| November 15, 2016 Filed Nov 16, 2016 16:57 UTC | TE Connectivity plc TEL · Entity 3004 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $33.73 | $0.00 |
DisclosureSEC source: 0001225208-16-041867 · doc4.xml · derivative · entry 7 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 20,000 shares Expires 2020-11-08 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. F5 · derivative.exercise_date: Options exercisable in four equal installments on the first, second, third and fourth anniversary of the grant date, November 8, 2010. Read SEC document |
| November 15, 2016 Filed Nov 16, 2016 16:57 UTC | TE Connectivity plc TEL · Entity 3004 | SaleCommon Shares | 25,000 | $67.11 | $1,677,742.50 |
DisclosureSEC source: 0001225208-16-041867 · doc4.xml · nonDerivative · entry 5 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,776 F3 · price: The reported price is the weighted average price for the transactions on November 15, 2016. The range of prices for the transaction is from $67.10 to $67.145 per share. Information regarding the number of shares sold at each separate price will be provided upon request of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| November 15, 2016 Filed Nov 16, 2016 16:57 UTC | TE Connectivity plc TEL · Entity 3004 | Exercise / conversionCommon Shares | 5,000 | $34.49 | $172,450.00 |
DisclosureSEC source: 0001225208-16-041867 · doc4.xml · nonDerivative · entry 4 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,776 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 15, 2016 Filed Nov 16, 2016 16:57 UTC | TE Connectivity plc TEL · Entity 3004 | Exercise / conversionCommon Shares | 20,000 | $33.73 | $674,600.00 |
DisclosureSEC source: 0001225208-16-041867 · doc4.xml · nonDerivative · entry 3 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,776 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 14, 2016 Filed Nov 16, 2016 16:57 UTC | TE Connectivity plc TEL · Entity 3004 | Exercise / conversionRestricted Stock Units · Derivative | 1,770 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-041867 · doc4.xml · derivative · entry 6 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,721 Underlying: Common Shares · 1,770 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.exercise_price: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F1 · kind: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F2 · price: Not Applicable F4 · derivative.exercise_date: Date Exercisable: November 14, 2016 F2 · derivative.expiration_date: Not Applicable Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 16:57 UTC | TE Connectivity plc TEL · Entity 3004 | Tax withholdingCommon Shares | 817 | $66.98 | $54,718.58 |
DisclosureSEC source: 0001225208-16-041867 · doc4.xml · nonDerivative · entry 2 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,776 Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 16:57 UTC | TE Connectivity plc TEL · Entity 3004 | Exercise / conversionCommon Shares | 1,770 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-041867 · doc4.xml · nonDerivative · entry 1 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,593 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: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F2 · price: Not Applicable Read SEC document |
| November 12, 2016 Filed Nov 15, 2016 16:02 UTC | TE Connectivity plc TEL · Entity 3004 | Exercise / conversionRestricted Stock Units · Derivative | 2,459 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-041788 · doc4.xml · derivative · entry 3 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,491 Underlying: Common Shares · 2,459 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.exercise_price: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F1 · kind: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F2 · price: Not Applicable F3 · derivative.exercise_date: Date Exercisable: November 12, 2016 F2 · derivative.expiration_date: Not Applicable Read SEC document |
| November 12, 2016 Filed Nov 15, 2016 16:02 UTC | TE Connectivity plc TEL · Entity 3004 | Tax withholdingCommon Shares | 1,135 | $66.57 | $75,556.95 |
DisclosureSEC source: 0001225208-16-041788 · doc4.xml · nonDerivative · entry 2 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,823 Read SEC document |
| November 12, 2016 Filed Nov 15, 2016 16:02 UTC | TE Connectivity plc TEL · Entity 3004 | Exercise / conversionCommon Shares | 2,459 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-041788 · doc4.xml · nonDerivative · entry 1 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,958 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: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F2 · price: Not Applicable Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 14:20 UTC | TE Connectivity plc TEL · Entity 3004 | Exercise / conversionRestricted Stock Units · Derivative | 1,604 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-041579 · doc4.xml · derivative · entry 6 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,950 Underlying: Common Shares · 1,604 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.exercise_price: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F1 · kind: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F2 · price: Not Applicable F4 · derivative.exercise_date: Date Exercisable: November 10, 2016 F2 · derivative.expiration_date: Not Applicable Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 14:20 UTC | TE Connectivity plc TEL · Entity 3004 | Tax withholdingCommon Shares | 740 | $66.78 | $49,413.50 |
DisclosureSEC source: 0001225208-16-041579 · doc4.xml · nonDerivative · entry 4 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,499 Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 14:20 UTC | TE Connectivity plc TEL · Entity 3004 | Exercise / conversionCommon Shares | 1,604 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-041579 · doc4.xml · nonDerivative · entry 3 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,239 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: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F2 · price: Not Applicable Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 14:20 UTC | TE Connectivity plc TEL · Entity 3004 | Exercise / conversionRestricted Stock Units · Derivative | 4,010 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-041579 · doc4.xml · derivative · entry 5 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,554 Underlying: Common Shares · 4,010 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.exercise_price: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F1 · kind: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F3 · derivative.exercise_date: Date Exercisable: November 9, 2016. F2 · derivative.expiration_date: Not Applicable Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 14:20 UTC | TE Connectivity plc TEL · Entity 3004 | Tax withholdingCommon Shares | 1,849 | $64.84 | $119,879.92 |
DisclosureSEC source: 0001225208-16-041579 · doc4.xml · nonDerivative · entry 2 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,635 Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 14:20 UTC | TE Connectivity plc TEL · Entity 3004 | Exercise / conversionCommon Shares | 4,010 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-041579 · doc4.xml · nonDerivative · entry 1 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,484 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: Settlement of Restricted Stock Units upon vesting for an equivalent number of Common Shares of the Issuer. F2 · price: Not Applicable Read SEC document |
| September 09, 2016 Filed Sep 12, 2016 07:40 UTC | AMERICAN SCIENCE & ENGINEERING, INC. ASEI · Entity 182433 | Disposition to issuerCommon Stock | 6,158 | $37.00 | $227,846.00 |
DisclosureSEC source: 0001104659-16-144122 · a4.xml · nonDerivative · entry 1 SHADDOCK ROBERT N · CIK 0001061281 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: On September 9, 2016, pursuant to the Agreement and Plan of Merger among the issuer, OSI Systems, Inc. ("Buyer") and Apple Merger Sub, Inc., a wholly owned subsidiary of Buyer ("Merger Sub"), dated June 20, 2016 (the "Merger Agreement"), Merger Sub merged with and into the issuer (the "Merger"), with the issuer surviving the Merger as a wholly owned subsidiary of Buyer. Pursuant to the Merger Agreement, at the effective time of the Merger, the shares automatically converted into the right to receive $37.00 per share in cash. Read SEC document |
| September 09, 2016 Filed Sep 13, 2016 10:32 UTC | TE Connectivity plc TEL · Entity 3004 | GrantRestricted Stock Units · Derivative | 219 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-039257 · doc4.xml · derivative · entry 1 SHADDOCK ROBERT N · CIK 0001061281 · EVP & Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,564 Underlying: Common Shares · 219 shares Expires not disclosed F1 · derivative.exercise_price: Conversion is 1-for-1. F2 · kind: Restricted stock units issued as dividend equivalents on occurrence of payment to Issuer's shareholders. Subject to acceleration upon certain events, the restricted stock units vest in four equal installments, receive dividend equivalent stock units and convert to common shares upon vesting. F2 · derivative.exercise_date: Restricted stock units issued as dividend equivalents on occurrence of payment to Issuer's shareholders. Subject to acceleration upon certain events, the restricted stock units vest in four equal installments, receive dividend equivalent stock units and convert to common shares upon vesting. F2 · derivative.expiration_date: Restricted stock units issued as dividend equivalents on occurrence of payment to Issuer's shareholders. Subject to acceleration upon certain events, the restricted stock units vest in four equal installments, receive dividend equivalent stock units and convert to common shares upon vesting. 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.