Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ENERGY FOCUS, INC/DEEFOI · Entity 7723 | Director · Chairman, CEO & President | February 26, 2019 | February 28, 2019 |
| Exyn Technologies, Inc.EXYN · Entity 7587 | Director | August 03, 2026 | August 06, 2026 |
| MAXLINEAR, INCMXL · Entity 3882 | Director | May 20, 2026 | May 22, 2026 |
| Ouster, Inc.OUST · Entity 4380 | Director | June 17, 2026 | June 22, 2026 |
| Silvaco Group, Inc.SVCO · Entity 6240 | Director | August 11, 2026 | August 12, 2026 |
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.
ENERGY FOCUS, INC/DE
Report date February 26, 2019 · Filed February 28, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 95,934 |
Ending reported balance
After 2019-02-27 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2019-02-26 · Exercise / conversion · Acquired 55,100 · Balance 108,561 Row 2 · 2019-02-26 · Tax withholding · Disposed 22,370 · Balance 86,191 Row 3 · 2019-02-27 · Exercise / conversion · Acquired 16,481 · Balance 102,672 Row 4 · 2019-02-27 · Tax withholding · Disposed 6,738 · Balance 95,934 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2021-02-27 | Direct | 110,200 |
Reported balance
After 2019-02-26 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-02-26 · Exercise / conversion · Disposed 55,100 · Balance 110,200 F1: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. F2: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2020-02-28 | Direct | 16,481 |
Reported balance
After 2019-02-27 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-02-27 · Exercise / conversion · Disposed 16,481 · Balance 16,481 F1: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. F2: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $3.43 · Expires 2027-02-27 | Direct | 74,165 |
Reported balance
Holding disclosure · report date 2019-02-26 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 74,165 F3: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
F2: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date.
F3: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.
Exyn Technologies, Inc.
Report date August 03, 2026 · Filed August 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.82 · Expires 2036-08-03 | Direct | 23,200 |
Reported balance
After 2026-08-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-08-03 · Grant · Acquired 23,200 · Balance 23,200 F1: On August 3, 2026 (the "Grant Date"), the Reporting Person was granted stock options to purchase 23,200 shares of the Issuer's common stock. These options vest in accordance with the following schedule: one-third of the shares on August 3, 2027 and one-third on each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 3, 2026 (the "Grant Date"), the Reporting Person was granted stock options to purchase 23,200 shares of the Issuer's common stock. These options vest in accordance with the following schedule: one-third of the shares on August 3, 2027 and one-third on each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.
MAXLINEAR, INC
Report date May 20, 2026 · Filed May 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 1,963 |
Reported balance
After 2026-05-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-05-20 · Grant · Acquired 1,963 · Balance 1,963 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2027 or the date immediately preceding the next annual meeting of stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock.
F2: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2027 or the date immediately preceding the next annual meeting of stockholders.
Ouster, Inc.
Report date June 17, 2026 · Filed June 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 124,999 |
Ending reported balance
After 2026-06-22 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-06-17 · Grant · Acquired 4,725 · Balance 126,694 F1: Consists of Ouster, Inc. (the "Company") restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Company's common stock. The RSUs vest in quarterly installments through the earlier of June 17, 2027 or the Company's 2027 annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date. The RSUs have no expiration date. The Reporting Person will settle all awards of common stock received, including vested RSUs, upon the earlier of a change in control or separation from service with the Company. Row 2 · 2026-06-22 · Sale · Disposed 1,695 · Balance 124,999 F2: Reflects shares sold pursuant to a Rule 10b5-1 plan dated August 12, 2025. Includes sales made for tax planning purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of Ouster, Inc. (the "Company") restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Company's common stock. The RSUs vest in quarterly installments through the earlier of June 17, 2027 or the Company's 2027 annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date. The RSUs have no expiration date. The Reporting Person will settle all awards of common stock received, including vested RSUs, upon the earlier of a change in control or separation from service with the Company.
F2: Reflects shares sold pursuant to a Rule 10b5-1 plan dated August 12, 2025. Includes sales made for tax planning purposes.
Silvaco Group, Inc.
Report date August 11, 2026 · Filed August 12, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 18,143 |
Ending reported balance
After 2026-08-11 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-08-11 · Grant · Acquired 1,159 · Balance 18,723 F1: The shares of Silvaco Group, Inc. (the "Issuer") common stock were awarded to the Reporting Person pursuant to an amendment to the Issuer's non-employee director compensation plan providing for the replacement of the quarterly cash retainer earned in the second quarter of fiscal 2026 with an award of Issuer common stock with a fair market value equal to such quarterly cash retainer. Row 2 · 2026-08-11 · Sale · Disposed 580 · Balance 18,143 F2: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on May 12, 2026. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.25 to $7.33, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Silvaco Group, Inc. (the "Issuer") common stock were awarded to the Reporting Person pursuant to an amendment to the Issuer's non-employee director compensation plan providing for the replacement of the quarterly cash retainer earned in the second quarter of fiscal 2026 with an award of Issuer common stock with a fair market value equal to such quarterly cash retainer.
F2: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on May 12, 2026.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.25 to $7.33, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Velodyne Lidar, Inc.
Report date February 10, 2023 · Filed February 13, 2023
Section 16 reporting ended · disclosed 2023-02-13. 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 |
Ending reported balance
After 2023-02-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-02-10 · Disposition to issuer · Disposed 1,309,030 · Balance 1,368,837 F1: On February 10, 2023, the closing of the transactions contemplated by the Agreement and Plan of Merger, dated November 4, 2022 (as it may be amended from time to time), by and among Ouster, Inc. ("Ouster"), Oban Merger Sub, Inc., a wholly owned subsidiary of Ouster, Oban Merger Sub II LLC, a wholly owned subsidiary of Ouster, and Velodyne Lidar, Inc. ("Velodyne") occurred, pursuant to which Velodyne merged into a wholly owned subsidiary of Ouster (the "Merger"). F2: At the effective time of the Merger, each performance-based restricted stock award was deemed to be met at the target level of achievement of the performance goals, resulting in a forfeiture of shares above the target level. Row 2 · 2023-02-10 · Disposition to issuer · Disposed 1,368,837 · Balance 0 F1: On February 10, 2023, the closing of the transactions contemplated by the Agreement and Plan of Merger, dated November 4, 2022 (as it may be amended from time to time), by and among Ouster, Inc. ("Ouster"), Oban Merger Sub, Inc., a wholly owned subsidiary of Ouster, Oban Merger Sub II LLC, a wholly owned subsidiary of Ouster, and Velodyne Lidar, Inc. ("Velodyne") occurred, pursuant to which Velodyne merged into a wholly owned subsidiary of Ouster (the "Merger"). F3: At the effective time of the Merger (the "Effective Time"), each outstanding share of Velodyne common stock automatically converted to the right to receive 0.8204 of a share of Ouster common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: On February 10, 2023, the closing of the transactions contemplated by the Agreement and Plan of Merger, dated November 4, 2022 (as it may be amended from time to time), by and among Ouster, Inc. ("Ouster"), Oban Merger Sub, Inc., a wholly owned subsidiary of Ouster, Oban Merger Sub II LLC, a wholly owned subsidiary of Ouster, and Velodyne Lidar, Inc. ("Velodyne") occurred, pursuant to which Velodyne merged into a wholly owned subsidiary of Ouster (the "Merger").
F2: At the effective time of the Merger, each performance-based restricted stock award was deemed to be met at the target level of achievement of the performance goals, resulting in a forfeiture of shares above the target level.
F3: At the effective time of the Merger (the "Effective Time"), each outstanding share of Velodyne common stock automatically converted to the right to receive 0.8204 of a share of Ouster common stock.
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 12, 2021 Filed May 13, 2021 22:39 UTC | MAXLINEAR, INC MXL · Entity 3882 | GrantRestricted Stock Units · Derivative | 5,944 | $0.00 | $0.00 |
DisclosureSEC source: 0001288469-21-000128 · wf-form4_162094554106804.xml · derivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,944 Underlying: Common Stock · 5,944 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2 · derivative.exercise_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2022 or the date immediately preceding the 2022 annual meeting of stockholders. F2 · derivative.expiration_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2022 or the date immediately preceding the 2022 annual meeting of stockholders. Read SEC document |
| April 27, 2021 Filed Apr 28, 2021 20:06 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionStock Option (right to buy) · Derivative | 3,582 | $0.00 Strike: $23.97 | $0.00 |
DisclosureSEC source: 0001288469-21-000099 · wf-form4_161964036329333.xml · derivative · entry 3 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,582 shares Expires 2021-05-19 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 |
| April 27, 2021 Filed Apr 28, 2021 20:06 UTC | MAXLINEAR, INC MXL · Entity 3882 | Tax withholdingCommon Stock | 2,181 | $39.37 | $85,865.97 |
DisclosureSEC source: 0001288469-21-000099 · wf-form4_161964036329333.xml · nonDerivative · entry 2 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,985 Read SEC document |
| April 27, 2021 Filed Apr 28, 2021 20:06 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionCommon Stock | 3,582 | $23.97 | $85,860.54 |
DisclosureSEC source: 0001288469-21-000099 · wf-form4_161964036329333.xml · nonDerivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,166 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 |
| September 10, 2020 Filed Sep 11, 2020 20:09 UTC | MAXLINEAR, INC MXL · Entity 3882 | GrantRestricted Stock Units · Derivative | 1,165 | $0.00 | $0.00 |
DisclosureSEC source: 0001288469-20-000211 · wf-form4_159985495620615.xml · derivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,165 Underlying: Common Stock · 1,165 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2 · derivative.exercise_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2021 or the date immediately preceding the 2021 annual meeting of stockholders. F2 · derivative.expiration_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2021 or the date immediately preceding the 2021 annual meeting of stockholders. Read SEC document |
| August 11, 2020 Filed Aug 12, 2020 01:20 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionStock Option (right to buy) · Derivative | 18,296 | $0.00 Strike: $23.17 | $0.00 |
DisclosureSEC source: 0001288469-20-000159 · wf-form4_159719523627107.xml · derivative · entry 3 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,296 shares Expires 2020-09-07 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 11, 2020 Filed Aug 12, 2020 01:20 UTC | MAXLINEAR, INC MXL · Entity 3882 | Tax withholdingCommon Stock | 16,521 | $25.66 | $423,928.86 |
DisclosureSEC source: 0001288469-20-000159 · wf-form4_159719523627107.xml · nonDerivative · entry 2 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,584 Read SEC document |
| August 11, 2020 Filed Aug 12, 2020 01:20 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionCommon Stock | 18,296 | $23.17 | $423,918.32 |
DisclosureSEC source: 0001288469-20-000159 · wf-form4_159719523627107.xml · nonDerivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,105 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 |
| June 08, 2020 Filed Jun 10, 2020 20:32 UTC | MAXLINEAR, INC MXL · Entity 3882 | GrantRestricted Stock Units · Derivative | 7,890 | $0.00 | $0.00 |
DisclosureSEC source: 0001288469-20-000137 · wf-form4_159182112158471.xml · derivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,890 Underlying: Common Stock · 7,890 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2 · derivative.exercise_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2021 or the date immediately preceding the 2021 annual meeting of stockholders. F2 · derivative.expiration_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2021 or the date immediately preceding the 2021 annual meeting of stockholders. Read SEC document |
| January 15, 2020 Filed Jan 17, 2020 01:23 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 6,217 | $0.00 | $0.00 |
DisclosureSEC source: 0001288469-20-000006 · wf-form4_157922418672620.xml · derivative · entry 2 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,217 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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2 · derivative.exercise_date: Subject to the Reporting Person's continuing as a Director through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2017 or the date immediately preceding the 2017 annual meeting of stockholders. Reporting Person deferred delivery of shares of Common Stock issuable upon the vesting of RSUs on May 1, 2017. On January 15, 2020, the deferred shares of Common Stock were delivered to the Reporting Person. F2 · derivative.expiration_date: Subject to the Reporting Person's continuing as a Director through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2017 or the date immediately preceding the 2017 annual meeting of stockholders. Reporting Person deferred delivery of shares of Common Stock issuable upon the vesting of RSUs on May 1, 2017. On January 15, 2020, the deferred shares of Common Stock were delivered to the Reporting Person. Read SEC document |
| January 15, 2020 Filed Jan 17, 2020 01:23 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionCommon Stock | 6,217 | $0.00 | $0.00 |
DisclosureSEC source: 0001288469-20-000006 · wf-form4_157922418672620.xml · nonDerivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,809 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 |
| January 01, 2020 Filed Jan 7, 2020 21:22 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionRestricted Stock Units · Derivative | 4,138 | $0.00 | $0.00 |
DisclosureSEC source: 0001288469-20-000002 · wf-form4_157843210536357.xml · derivative · entry 2 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,138 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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2 · derivative.exercise_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2018 or the date immediately preceding the 2018 annual meeting of stockholders. Reporting Person deferred delivery of shares of Common Stock issuable upon the vesting of RSUs on May 1, 2018. On January 1, 2020, the deferred shares of Common Stock were delivered to the Reporting Person. F2 · derivative.expiration_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2018 or the date immediately preceding the 2018 annual meeting of stockholders. Reporting Person deferred delivery of shares of Common Stock issuable upon the vesting of RSUs on May 1, 2018. On January 1, 2020, the deferred shares of Common Stock were delivered to the Reporting Person. Read SEC document |
| January 01, 2020 Filed Jan 7, 2020 21:22 UTC | MAXLINEAR, INC MXL · Entity 3882 | Exercise / conversionCommon Stock | 4,138 | $0.00 | $0.00 |
DisclosureSEC source: 0001288469-20-000002 · wf-form4_157843210536357.xml · nonDerivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,592 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 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. Read SEC document |
| May 09, 2019 Filed May 10, 2019 23:40 UTC | MAXLINEAR, INC MXL · Entity 3882 | GrantRestricted Stock Units · Derivative | 6,545 | $0.00 | $0.00 |
DisclosureSEC source: 0001288469-19-000079 · wf-form4_155753159284709.xml · derivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,545 Underlying: Common Stock · 6,545 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2 · derivative.exercise_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2020 or the date immediately preceding the 2020 annual meeting of stockholders. F2 · derivative.expiration_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2020 or the date immediately preceding the 2020 annual meeting of stockholders. Read SEC document |
| February 27, 2019 Filed Feb 28, 2019 21:48 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionRestricted Stock Units · Derivative | 16,481 | $0.00 | $0.00 |
DisclosureSEC source: 0000924168-19-000016 · wf-form4_155139050120034.xml · derivative · entry 6 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,481 Underlying: Common Stock · 16,481 shares Expires 2020-02-28 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: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. F2 · derivative.exercise_date: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date. Read SEC document |
| February 27, 2019 Filed Feb 28, 2019 21:48 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Tax withholdingCommon Stock | 6,738 | $1.21 | $8,152.98 |
DisclosureSEC source: 0000924168-19-000016 · wf-form4_155139050120034.xml · nonDerivative · entry 4 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,934 Read SEC document |
| February 27, 2019 Filed Feb 28, 2019 21:48 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionCommon Stock | 16,481 | $0.00 | $0.00 |
DisclosureSEC source: 0000924168-19-000016 · wf-form4_155139050120034.xml · nonDerivative · entry 3 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,672 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 |
| February 26, 2019 Filed Feb 28, 2019 21:48 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionRestricted Stock Units · Derivative | 55,100 | $0.00 | $0.00 |
DisclosureSEC source: 0000924168-19-000016 · wf-form4_155139050120034.xml · derivative · entry 5 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,200 Underlying: Common Stock · 55,100 shares Expires 2021-02-27 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: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. F2 · derivative.exercise_date: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date. Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:48 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Tax withholdingCommon Stock | 22,370 | $1.14 | $25,501.80 |
DisclosureSEC source: 0000924168-19-000016 · wf-form4_155139050120034.xml · nonDerivative · entry 2 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,191 Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:48 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionCommon Stock | 55,100 | $0.00 | $0.00 |
DisclosureSEC source: 0000924168-19-000016 · wf-form4_155139050120034.xml · nonDerivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,561 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 |
| June 29, 2018 Filed Jul 3, 2018 20:34 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantCommon Stock | 5,081 | $1.62 | $8,205.82 |
DisclosureSEC source: 0000924168-18-000055 · wf-form4_153065005576422.xml · nonDerivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,461 F1 · kind: Shares acquired through the Energy Focus, Inc. 2013 Employee Stock Purchase Plan. Read SEC document |
| May 25, 2018 Filed May 30, 2018 21:29 UTC | MAXLINEAR, INC MXL · Entity 3882 | GrantRestricted Stock Units · Derivative | 8,748 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-034207 · doc4.xml · derivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,748 Underlying: Common Stock · 8,748 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2 · derivative.exercise_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2019 or the date immediately preceding the 2019 annual meeting of stockholders. F2 · derivative.expiration_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2019 or the date immediately preceding the 2019 annual meeting of stockholders. Read SEC document |
| February 27, 2018 Filed Feb 27, 2018 22:57 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionRestricted Stock Units · Derivative | 16,481 | $0.00 | $0.00 |
DisclosureSEC source: 0000924168-18-000011 · wf-form4_151977225604699.xml · derivative · entry 3 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,962 Underlying: Common Stock · 16,481 shares Expires 2020-02-28 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: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. F2 · derivative.exercise_date: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date. Read SEC document |
| February 26, 2018 Filed Feb 27, 2018 22:57 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantRestricted Stock Units · Derivative | 165,300 | $0.00 | $0.00 |
DisclosureSEC source: 0000924168-18-000011 · wf-form4_151977225604699.xml · derivative · entry 2 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,300 Underlying: Common Stock · 165,300 shares Expires 2021-02-27 F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. F2 · derivative.exercise_date: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date. Read SEC document |
| February 26, 2018 Filed Feb 27, 2018 22:57 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionCommon Stock | 16,481 | $0.00 | $0.00 |
DisclosureSEC source: 0000924168-18-000011 · wf-form4_151977225604699.xml · nonDerivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,380 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 |
| January 03, 2018 Filed Jan 3, 2018 22:25 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionRestricted Stock Units · Derivative | 20,621 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000924168-18-000004 · wf-form4_151501828798474.xml · derivative · entry 2 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,621 shares Expires 2018-01-04 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 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. F2 · price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. F3 · derivative.exercise_date: The Restricted Stock Units vest 100% on 01/03/2018. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 22:25 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantCommon Stock | 4,612 | $2.08 | $9,604.49 |
DisclosureSEC source: 0000924168-18-000004 · wf-form4_151501828798474.xml · nonDerivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,278 F1 · kind: Shares acquired through the Energy Focus, Inc. 2013 Employee Stock Purchase Plan. Read SEC document |
| May 24, 2017 Filed May 26, 2017 00:40 UTC | MAXLINEAR, INC MXL · Entity 3882 | GrantRestricted Stock Units · Derivative | 4,138 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-035624 · doc4.xml · derivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,138 Underlying: Common Stock · 4,138 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of MaxLinear, Inc. Common Stock. F2 · derivative.exercise_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2018 or the date immediately preceding the 2018 annual meeting of stockholders. F2 · derivative.expiration_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2018 or the date immediately preceding the 2018 annual meeting of stockholders. Read SEC document |
| May 19, 2017 Filed May 19, 2017 20:31 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | PurchaseCommon Stock | 3,333 | $3.13 | $10,445.29 |
DisclosureSEC source: 0000924168-17-000034 · wf-form4_149522590084939.xml · nonDerivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,666 Read SEC document |
| May 08, 2017 Filed May 16, 2017 22:08 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | PurchaseCommon Stock | 3,333 | $3.14 | $10,450.62 |
DisclosureSEC source: 0000924168-17-000032 · wf-form4_149497251657851.xml · nonDerivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,333 Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherStock Option (Right to Buy) · Derivative | 3,582 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 18 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,582 Underlying: Common Stock · 3,582 shares Expires 2024-05-14 F7 · kind: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherStock Option (Right to Buy) · Derivative | 3,582 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 17 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 3,582 shares Expires 2024-05-14 F7 · kind: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherStock Option (Right to Buy) · Derivative | 3,582 | $0.00 Strike: $11.76 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 16 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,582 Underlying: Common Stock · 3,582 shares Expires 2023-05-14 F7 · kind: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherStock Option (Right to Buy) · Derivative | 3,582 | $0.00 Strike: $11.76 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 15 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 3,582 shares Expires 2023-05-14 F7 · kind: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherStock Option (Right to Buy) · Derivative | 3,582 | $0.00 Strike: $11.09 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 14 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,582 Underlying: Common Stock · 3,582 shares Expires 2022-05-15 F7 · kind: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherStock Option (Right to Buy) · Derivative | 3,582 | $0.00 Strike: $11.09 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 13 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 3,582 shares Expires 2022-05-15 F7 · kind: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherStock Option (Right to Buy) · Derivative | 3,582 | $0.00 Strike: $23.97 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 12 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,582 Underlying: Common Stock · 3,582 shares Expires 2021-05-19 F7 · kind: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherStock Option (Right to Buy) · Derivative | 3,582 | $0.00 Strike: $23.97 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 11 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 3,582 shares Expires 2021-05-19 F7 · kind: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherStock Option (Right to Buy) · Derivative | 18,296 | $0.00 Strike: $23.17 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 10 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,296 Underlying: Common Stock · 18,296 shares Expires 2020-09-07 F7 · kind: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherStock Option (Right to Buy) · Derivative | 18,296 | $0.00 Strike: $23.17 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 9 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 18,296 shares Expires 2020-09-07 F7 · kind: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherStock Option (Right to Buy) · Derivative | 35,822 | $0.00 Strike: $7.57 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 8 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,822 Underlying: Common Stock · 35,822 shares Expires 2024-11-20 F7 · kind: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherStock Option (Right to Buy) · Derivative | 35,822 | $0.00 Strike: $7.57 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 7 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 35,822 shares Expires 2024-11-20 F7 · kind: In connection with the conversion described in footnote (1), outstanding options denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherRestricted Stock Units · Derivative | 6,217 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 6 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,217 Underlying: Common Stock · 6,217 shares Expires not disclosed F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. F3 · kind: In connection with the conversion described in footnote (1), outstanding RSUs denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a contingent right to receive one share of the Issuer's Common Stock. F6 · derivative.exercise_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2017 or the date immediately preceding the 2017 annual meeting of stockholders. F6 · derivative.expiration_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2017 or the date immediately preceding the 2017 annual meeting of stockholders. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherRestricted Stock Units · Derivative | 6,217 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 5 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 6,217 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock. F3 · kind: In connection with the conversion described in footnote (1), outstanding RSUs denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a contingent right to receive one share of the Issuer's Common Stock. F6 · derivative.exercise_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2017 or the date immediately preceding the 2017 annual meeting of stockholders. F6 · derivative.expiration_date: Subject to the Reporting Person's continuing as a Director (as defined in the 2010 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of May 1, 2017 or the date immediately preceding the 2017 annual meeting of stockholders. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherRestricted Stock Units · Derivative | 5,722 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 4 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,722 Underlying: Common Stock · 5,722 shares Expires not disclosed F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. F3 · kind: In connection with the conversion described in footnote (1), outstanding RSUs denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a contingent right to receive one share of the Issuer's Common Stock. F4 · derivative.exercise_date: The RSU became fully vested on May 8, 2015. F4 · derivative.expiration_date: The RSU became fully vested on May 8, 2015. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | OtherRestricted Stock Units · Derivative | 5,722 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · derivative · entry 3 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 5,722 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock. F3 · kind: In connection with the conversion described in footnote (1), outstanding RSUs denominated by Class A Common Stock issued under the Issuer's 2010 Equity Incentive Plan remain unchanged, except that they now represent a contingent right to receive one share of the Issuer's Common Stock. F4 · derivative.exercise_date: The RSU became fully vested on May 8, 2015. F4 · derivative.expiration_date: The RSU became fully vested on May 8, 2015. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | ConversionCommon Stock | 30,454 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · nonDerivative · entry 2 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,454 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: On March 29, 2017, each share of the Issuer's outstanding Class A Common Stock and Class B Common Stock automatically converted into one share of outstanding Common Stock pursuant to the Issuer's Amended and Restated Certificate of Incorporation. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 23:53 UTC | MAXLINEAR, INC MXL · Entity 3882 | ConversionClass A Common Stock | 30,454 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-023751 · doc4.xml · nonDerivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 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: On March 29, 2017, each share of the Issuer's outstanding Class A Common Stock and Class B Common Stock automatically converted into one share of outstanding Common Stock pursuant to the Issuer's Amended and Restated Certificate of Incorporation. Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 21:58 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantStock Option · Derivative | 74,165 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0000924168-17-000010 · wf-form4_148831911675003.xml · derivative · entry 2 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,165 Underlying: Common Stock · 74,165 shares Expires 2027-02-27 F3 · derivative.exercise_date: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period. Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 21:58 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantRestricted Stock Units · Derivative | 49,443 | $0.00 | $0.00 |
DisclosureSEC source: 0000924168-17-000010 · wf-form4_148831911675003.xml · derivative · entry 1 Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,064 Underlying: Common Stock · 49,443 shares Expires 2020-02-28 F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. F2 · derivative.exercise_date: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date. 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.