Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Viking Global Technologies, Inc.LEI · Entity 8135 | Director · 10% owner | November 04, 2016 | November 08, 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.
Viking Global Technologies, Inc.
Report date November 04, 2016 · Filed November 08, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $3.50 | Direct | 44,000 |
Reported balance
After 2016-11-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-11-04 · Purchase · Disposed 44,000 · Balance 44,000 F1: The Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") has a face value of $25 per share and is convertible into common stock, par value $0.001 per share of the Issuer ("Common Stock"), at a conversion price of $3.50 per share, at the option of the holder thereof, or automatically as to 25% of the Series B Preferred Stock shares if the Common Stock trades above $6.125 per25 share for at least 20 consecutive trading days, and trades with at least 75,000 shares of average volume per day (the "Trading Requirements"); an additional 50% if the Common Stock trades above $7.00 per share and meets the Trading Requirements; and as to the remaining Series B Preferred Stock shares, if the Common Stock trades above $7.875 per share and meets the Trading Requirements. F2: Each outstanding share of Series B Preferred Stock is entitled to one vote per share on all stockholder matters. The Series B Preferred Stock is redeemable at any time by the Issuer upon the payment by the Issuer of the face amount of the Series B Preferred Stock ($25 per share) plus any and all accrued and unpaid dividends thereon. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") has a face value of $25 per share and is convertible into common stock, par value $0.001 per share of the Issuer ("Common Stock"), at a conversion price of $3.50 per share, at the option of the holder thereof, or automatically as to 25% of the Series B Preferred Stock shares if the Common Stock trades above $6.125 per25 share for at least 20 consecutive trading days, and trades with at least 75,000 shares of average volume per day (the "Trading Requirements"); an additional 50% if the Common Stock trades above $7.00 per share and meets the Trading Requirements; and as to the remaining Series B Preferred Stock shares, if the Common Stock trades above $7.875 per share and meets the Trading Requirements.
F2: Each outstanding share of Series B Preferred Stock is entitled to one vote per share on all stockholder matters. The Series B Preferred Stock is redeemable at any time by the Issuer upon the payment by the Issuer of the face amount of the Series B Preferred Stock ($25 per share) plus any and all accrued and unpaid dividends thereon.
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 04, 2016 Filed Nov 8, 2016 21:06 UTC | Viking Global Technologies, Inc. LEI · Entity 8135 | PurchaseSeries B Redeemable Convertible Preferred Stock · Derivative | 44,000 | $25.00 Strike: $3.50 | $1,100,000.00 |
DisclosureSEC source: 0001580695-16-000837 · dreeben-form4_110416.xml · derivative · entry 1 DREEBEN ALAN WILLIAM · CIK 0001682835 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,000 Underlying: Common Stock · 314,160 shares Expires not disclosed F1 · derivative.expiration_date: The Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") has a face value of $25 per share and is convertible into common stock, par value $0.001 per share of the Issuer ("Common Stock"), at a conversion price of $3.50 per share, at the option of the holder thereof, or automatically as to 25% of the Series B Preferred Stock shares if the Common Stock trades above $6.125 per25 share for at least 20 consecutive trading days, and trades with at least 75,000 shares of average volume per day (the "Trading Requirements"); an additional 50% if the Common Stock trades above $7.00 per share and meets the Trading Requirements; and as to the remaining Series B Preferred Stock shares, if the Common Stock trades above $7.875 per share and meets the Trading Requirements. F2 · derivative.expiration_date: Each outstanding share of Series B Preferred Stock is entitled to one vote per share on all stockholder matters. The Series B Preferred Stock is redeemable at any time by the Issuer upon the payment by the Issuer of the face amount of the Series B Preferred Stock ($25 per share) plus any and all accrued and unpaid dividends thereon. Read SEC document |
| November 04, 2016 Filed Nov 8, 2016 21:05 UTC | Viking Global Technologies, Inc. LEI · Entity 8135 | PurchaseSeries B Redeemable Convertible Preferred Stock · Derivative | 44,000 | $25.00 Strike: $3.50 | $1,100,000.00 |
DisclosureSEC source: 0001580695-16-000836 · dreeben-form4_110416.xml · derivative · entry 1 DREEBEN ALAN WILLIAM · CIK 0001682835 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,000 Underlying: Common Stock · 314,160 shares Expires not disclosed F1 · derivative.expiration_date: The Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") has a face value of $25 per share and is convertible into common stock, par value $0.001 per share of the Issuer ("Common Stock"), at a conversion price of $3.50 per share, at the option of the holder thereof, or automatically as to 25% of the Series B Preferred Stock shares if the Common Stock trades above $6.125 per25 share for at least 20 consecutive trading days, and trades with at least 75,000 shares of average volume per day (the "Trading Requirements"); an additional 50% if the Common Stock trades above $7.00 per share and meets the Trading Requirements; and as to the remaining Series B Preferred Stock shares, if the Common Stock trades above $7.875 per share and meets the Trading Requirements. F2 · derivative.expiration_date: Each outstanding share of Series B Preferred Stock is entitled to one vote per share on all stockholder matters. The Series B Preferred Stock is redeemable at any time by the Issuer upon the payment by the Issuer of the face amount of the Series B Preferred Stock ($25 per share) plus any and all accrued and unpaid dividends thereon. 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.