Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ATHERSYS, INC / NEWATHX · Entity 95922 | Director | September 16, 2022 | September 20, 2022 |
| COMTECH TELECOMMUNICATIONS CORP /DE/CMTL · Entity 7226 | Director · Chairman, President and CEO | January 23, 2026 | January 26, 2026 |
| Edgio, Inc.EGIO · Entity 12169 | Director | December 11, 2023 | January 17, 2024 |
| GULFMARK OFFSHORE INCGLF · Entity 162347 | Director · See Remarks | November 15, 2018 | November 19, 2018 |
| IMMERSION CORPIMMR · Entity 6143 | Director | February 13, 2019 | February 15, 2019 |
| TIDEWATER INCTDW · Entity 2560 | Director | September 02, 2026 | September 04, 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.
ATHERSYS, INC / NEW
Report date September 16, 2022 · Filed September 20, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,223 |
Reported balance
After 2022-09-16 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-09-16 · Grant · Acquired 12,820 · Balance 22,223 F1: Represents the exempt acquisition of 12,820 restricted stock units that in general will vest in total on December 31, 2022, subject generally to the Reporting Person's continued service on the Issuer's Board of Directors. F2: On August 26, 2022, the Issuer effected a 1-for-25 reverse stock split of its Common Stock (the "Reverse Stock Split"), resulting in a decrease in the Reporting Person's ownership by 225,690 shares. |
| Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $1.95 · Expires 2032-09-16 | Direct | 32,042 |
Reported balance
After 2022-09-16 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-09-16 · Grant · Acquired 32,042 · Balance 32,042 F3: Represents the exempt acquisition of stock options to purchase 32,042 shares of the Issuer's Common Stock at a per share exercise price of $1.95. These stock options in general will vest on July 28, 2023, subject generally to the Reporting Person's continued service on the Issuer's Board of Directors. |
| Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $63.25 · Expires 2031-02-17 | Direct | 4,000 |
Reported balance
Holding disclosure · report date 2022-09-16 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 4,000 F4: This option has been adjusted to reflect the Reverse Stock Split (in prior reports, this option was previously reported as covering a number of shares equal to this reported amount times 25 (and at an exercise price equal to this reported exercise price divided by 25)). F5: Award of a nonqualified stock option. The option vests one-third on February 17, 2022 and thereafter ratably on a quarterly basis over a two-year period. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the exempt acquisition of 12,820 restricted stock units that in general will vest in total on December 31, 2022, subject generally to the Reporting Person's continued service on the Issuer's Board of Directors.
F2: On August 26, 2022, the Issuer effected a 1-for-25 reverse stock split of its Common Stock (the "Reverse Stock Split"), resulting in a decrease in the Reporting Person's ownership by 225,690 shares.
F3: Represents the exempt acquisition of stock options to purchase 32,042 shares of the Issuer's Common Stock at a per share exercise price of $1.95. These stock options in general will vest on July 28, 2023, subject generally to the Reporting Person's continued service on the Issuer's Board of Directors.
F4: This option has been adjusted to reflect the Reverse Stock Split (in prior reports, this option was previously reported as covering a number of shares equal to this reported amount times 25 (and at an exercise price equal to this reported exercise price divided by 25)).
F5: Award of a nonqualified stock option. The option vests one-third on February 17, 2022 and thereafter ratably on a quarterly basis over a two-year period.
COMTECH TELECOMMUNICATIONS CORP /DE/
Report date January 23, 2026 · Filed January 26, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock Par Value $0.10 Per ShareSEC Table I · non-derivative | Direct | 58,440 |
Ending reported balance
After 2026-01-23 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-01-23 · Exercise / conversion · Acquired 54,645 · Balance 80,879 F1: Restricted stock units convert into common stock on a one-for-one basis. Row 2 · 2026-01-23 · Tax withholding · Disposed 22,439 · Balance 58,440 F2: The 22,439 reflected on this table represents the shares withheld to pay the Reporting Person's federal, state, and Federal Insurance Contributions Act ("FICA") tax. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 416,308 |
Reported balance
After 2026-01-23 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-01-23 · Exercise / conversion · Disposed 54,645 · Balance 416,308 F1: Restricted stock units convert into common stock on a one-for-one basis. F3: This transaction represents the vesting of 54,645 of the 163,935 restricted stock units issued to the Reporting Person on January 23, 2025. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock units convert into common stock on a one-for-one basis.
F2: The 22,439 reflected on this table represents the shares withheld to pay the Reporting Person's federal, state, and Federal Insurance Contributions Act ("FICA") tax.
F3: This transaction represents the vesting of 54,645 of the 163,935 restricted stock units issued to the Reporting Person on January 23, 2025.
Edgio, Inc.
Report date December 11, 2023 · Filed January 17, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 530,304 |
Reported balance
After 2023-12-11 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-12-11 · Grant · Acquired 530,304 · Balance 530,304 F1: The attached From 4 was filed on December 12, 2023, under the incorrect EDGAR codes. The filing is inadvertently showing under Mr. Larry T. Rigdon's EDGAR codes. This resubmission is to correct the administrative filing error. F2: Reporting Person received an aggregate of 530,304 RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Subject to the provisions of the Amended and Restated 2007 Equity Incentive Plan, one-half (1/2) of the RSUs will vest on December 11, 2024, and the remainder will vest on December 11, 2025, provided the Reporting Person continues to be a Service Provider through the vesting date. F3: $0.00 is used for technical reasons as there is no price for this security until it vests in the case of RSUs, or until it is exercised in the case of stock options. F4: This includes 530,304 unvested restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: The attached From 4 was filed on December 12, 2023, under the incorrect EDGAR codes. The filing is inadvertently showing under Mr. Larry T. Rigdon's EDGAR codes. This resubmission is to correct the administrative filing error.
F2: Reporting Person received an aggregate of 530,304 RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Subject to the provisions of the Amended and Restated 2007 Equity Incentive Plan, one-half (1/2) of the RSUs will vest on December 11, 2024, and the remainder will vest on December 11, 2025, provided the Reporting Person continues to be a Service Provider through the vesting date.
F3: $0.00 is used for technical reasons as there is no price for this security until it vests in the case of RSUs, or until it is exercised in the case of stock options.
F4: This includes 530,304 unvested restricted stock units.
GULFMARK OFFSHORE INC
Report date November 15, 2018 · Filed November 19, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par valueSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-11-15 transaction · row 1
1 source rowRow 1 · 2018-11-15 · Disposition to issuer · Disposed 5,875 · Balance 0 F1: As previously reported, Mr. Traub received a grant of restricted stock units representing a contingent right to receive the equivalent number of shares of common stock of the Issuer for no consideration. These restricted stock units vested on November 15, 2018 and were disposed of as provided for under the Agreement and Plan of Merger, dated as of July 15, 2018, between Tidewater Inc. ("Tidewater") and the Issuer, in exchange for 6,462 shares of common stock of Tidewater and cash in lieu of a fraction of one share of common stock of Tidewater. |
Filing footnotes · ownership attribution and instrument terms
F1: As previously reported, Mr. Traub received a grant of restricted stock units representing a contingent right to receive the equivalent number of shares of common stock of the Issuer for no consideration. These restricted stock units vested on November 15, 2018 and were disposed of as provided for under the Agreement and Plan of Merger, dated as of July 15, 2018, between Tidewater Inc. ("Tidewater") and the Issuer, in exchange for 6,462 shares of common stock of Tidewater and cash in lieu of a fraction of one share of common stock of Tidewater.
IMMERSION CORP
Report date February 13, 2019 · Filed February 15, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 17,889 |
Reported balance
After 2019-02-13 transaction · row 1
1 source rowRow 1 · 2019-02-13 · Grant · Acquired 7,889 · Balance 17,889 F1: Represents a grant of restricted stock, which will vest as to 100% of the shares on June 29, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a grant of restricted stock, which will vest as to 100% of the shares on June 29, 2019.
TIDEWATER INC
Report date September 02, 2026 · Filed September 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 63,521 |
Reported balance
After 2026-09-02 transaction · row 1
1 source rowRow 1 · 2026-09-02 · Sale · Disposed 10,000 · Balance 63,521 F1: The transaction was executed in multiple trades at prices ranging from $99.00 to $99.28. The price reported above reflects the weighted average sale price. Upon request from the SEC staff, the issuer, or a security holder of the issuer, the Reporting Person hereby undertakes to provide the requesting party with full information regarding the number of shares and prices at which the transaction was effected. |
Filing footnotes · ownership attribution and instrument terms
F1: The transaction was executed in multiple trades at prices ranging from $99.00 to $99.28. The price reported above reflects the weighted average sale price. Upon request from the SEC staff, the issuer, or a security holder of the issuer, the Reporting Person hereby undertakes to provide the requesting party with full information regarding the number of shares and prices at which the transaction was effected.
Past disclosures · reporting ended (4)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
A. M. Castle & Co.
Report date November 04, 2016 · Filed November 07, 2016
Section 16 reporting ended · disclosed 2016-11-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par valueSEC Table I · non-derivative | Direct | 18,888 |
Reported balance
After 2016-11-04 transaction · row 1
1 source rowRow 1 · 2016-11-04 · Disposition to issuer · Disposed 53,990 · Balance 18,888 F1: Reflects forfeiture of restricted stock in connection with Reporting Person's resignation as a member of the Board of Directors of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects forfeiture of restricted stock in connection with Reporting Person's resignation as a member of the Board of Directors of the Issuer.
DSP GROUP INC /DE/
Report date December 02, 2021 · Filed December 02, 2021
Section 16 reporting ended · disclosed 2021-12-02. 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 2021-12-02 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2021-12-02 · Disposition to issuer · Disposed 6,064 · Balance 0 F1: The amount reported represents the number of shares of Issuer common stock subject to the Issuer Restricted Stock Unit ("RSU") awards held by Mr. Traub, each of which will be accelerated, fully vested and canceled as of immediately prior to the Effective Time of the merger in exchange for an amount in cash equal to the product obtained by multiplying (1) the aggregate number of shares of Issuer common stock subject to the Issuer RSU award by (2) the merger consideration of $22.00 per share. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-12-02 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2021-12-02 · Disposition to issuer · Disposed 59,573 · Balance 0 F2: Represents 59,573 shares outstanding. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.98 · Expires 2022-05-15 | Direct | 0 |
Reported balance
After 2021-12-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-12-02 · Disposition to issuer · Disposed 30,000 · Balance 0 F3: Options vest in full and become exercisable as to 100% of the shares subject to the option award on the first anniversary of the date of grant. This option is being canceled as of immediately prior to the Effective Time of the Merger in exchange for an amount in cash equal to the product obtained by multiplying (1) the aggregate number of shares of Issuer common stock subject to the option award by (2) the difference between the exercise price of the option and the merger consideration of $22.00 per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.76 · Expires 2023-01-01 | Direct | 0 |
Reported balance
After 2021-12-02 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-12-02 · Disposition to issuer · Disposed 15,000 · Balance 0 F3: Options vest in full and become exercisable as to 100% of the shares subject to the option award on the first anniversary of the date of grant. This option is being canceled as of immediately prior to the Effective Time of the Merger in exchange for an amount in cash equal to the product obtained by multiplying (1) the aggregate number of shares of Issuer common stock subject to the option award by (2) the difference between the exercise price of the option and the merger consideration of $22.00 per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.71 · Expires 2024-01-01 | Direct | 0 |
Reported balance
After 2021-12-02 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-12-02 · Disposition to issuer · Disposed 8,000 · Balance 0 F3: Options vest in full and become exercisable as to 100% of the shares subject to the option award on the first anniversary of the date of grant. This option is being canceled as of immediately prior to the Effective Time of the Merger in exchange for an amount in cash equal to the product obtained by multiplying (1) the aggregate number of shares of Issuer common stock subject to the option award by (2) the difference between the exercise price of the option and the merger consideration of $22.00 per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.71 · Expires 2024-01-01 | Direct | 0 |
Reported balance
After 2021-12-02 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-12-02 · Disposition to issuer · Disposed 15,000 · Balance 0 F3: Options vest in full and become exercisable as to 100% of the shares subject to the option award on the first anniversary of the date of grant. This option is being canceled as of immediately prior to the Effective Time of the Merger in exchange for an amount in cash equal to the product obtained by multiplying (1) the aggregate number of shares of Issuer common stock subject to the option award by (2) the difference between the exercise price of the option and the merger consideration of $22.00 per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.87 · Expires 2025-01-01 | Direct | 0 |
Reported balance
After 2021-12-02 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-12-02 · Disposition to issuer · Disposed 8,000 · Balance 0 F3: Options vest in full and become exercisable as to 100% of the shares subject to the option award on the first anniversary of the date of grant. This option is being canceled as of immediately prior to the Effective Time of the Merger in exchange for an amount in cash equal to the product obtained by multiplying (1) the aggregate number of shares of Issuer common stock subject to the option award by (2) the difference between the exercise price of the option and the merger consideration of $22.00 per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.44 · Expires 2026-01-01 | Direct | 0 |
Reported balance
After 2021-12-02 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-12-02 · Disposition to issuer · Disposed 8,000 · Balance 0 F3: Options vest in full and become exercisable as to 100% of the shares subject to the option award on the first anniversary of the date of grant. This option is being canceled as of immediately prior to the Effective Time of the Merger in exchange for an amount in cash equal to the product obtained by multiplying (1) the aggregate number of shares of Issuer common stock subject to the option award by (2) the difference between the exercise price of the option and the merger consideration of $22.00 per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.05 · Expires 2027-01-01 | Direct | 0 |
Reported balance
After 2021-12-02 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-12-02 · Disposition to issuer · Disposed 8,000 · Balance 0 F3: Options vest in full and become exercisable as to 100% of the shares subject to the option award on the first anniversary of the date of grant. This option is being canceled as of immediately prior to the Effective Time of the Merger in exchange for an amount in cash equal to the product obtained by multiplying (1) the aggregate number of shares of Issuer common stock subject to the option award by (2) the difference between the exercise price of the option and the merger consideration of $22.00 per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.50 · Expires 2028-01-01 | Direct | 0 |
Reported balance
After 2021-12-02 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2021-12-02 · Disposition to issuer · Disposed 8,000 · Balance 0 F3: Options vest in full and become exercisable as to 100% of the shares subject to the option award on the first anniversary of the date of grant. This option is being canceled as of immediately prior to the Effective Time of the Merger in exchange for an amount in cash equal to the product obtained by multiplying (1) the aggregate number of shares of Issuer common stock subject to the option award by (2) the difference between the exercise price of the option and the merger consideration of $22.00 per share. |
Filing footnotes · ownership attribution and instrument terms
F1: The amount reported represents the number of shares of Issuer common stock subject to the Issuer Restricted Stock Unit ("RSU") awards held by Mr. Traub, each of which will be accelerated, fully vested and canceled as of immediately prior to the Effective Time of the merger in exchange for an amount in cash equal to the product obtained by multiplying (1) the aggregate number of shares of Issuer common stock subject to the Issuer RSU award by (2) the merger consideration of $22.00 per share.
F2: Represents 59,573 shares outstanding.
F3: Options vest in full and become exercisable as to 100% of the shares subject to the option award on the first anniversary of the date of grant. This option is being canceled as of immediately prior to the Effective Time of the Merger in exchange for an amount in cash equal to the product obtained by multiplying (1) the aggregate number of shares of Issuer common stock subject to the option award by (2) the difference between the exercise price of the option and the merger consideration of $22.00 per share.
INTERMOLECULAR INC
Report date September 20, 2019 · Filed September 20, 2019
Section 16 reporting ended · disclosed 2019-09-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.85 | Direct | 0 |
Reported balance
After 2019-09-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-09-20 · Other · Disposed 75,000 · Balance 0 F1: On September 20, 2019, pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 6, 2019, by and among EMD Group Holding II, Inc. ("Parent"), EMD Performance Materials Semiconductor Services Corp. ("Merger Sub") and Intermolecular, Inc. (the "Company"), Merger Sub merged with and into the Company, each issued and outstanding share of common stock, par value $0.001 per share, of the Company (collectively, the "Company Shares," and each such share, a "Company Share") (other than Canceled Company Shares and Dissenting Company Shares) was thereupon canceled and converted into the right to receive $1.20 in cash (the "Merger Consideration"), with the Company surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F3: Pursuant to the Merger Agreement, (i) each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the effective time of the merger (the "Effective Time") was accelerated, (ii) each Company Option that remained outstanding as of immediately prior to the Effective Time was canceled and terminated as of the Effective Time and (iii) the Reporting Person of such Company Option became entitled to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the aggregate number of company Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the per share exercise price of such Company Option. F2: The options are fully vested due to vesting acceleration approved by the board in connection with the Merger. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.85 | Direct | 0 |
Reported balance
After 2019-09-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-09-20 · Other · Disposed 25,000 · Balance 0 F1: On September 20, 2019, pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 6, 2019, by and among EMD Group Holding II, Inc. ("Parent"), EMD Performance Materials Semiconductor Services Corp. ("Merger Sub") and Intermolecular, Inc. (the "Company"), Merger Sub merged with and into the Company, each issued and outstanding share of common stock, par value $0.001 per share, of the Company (collectively, the "Company Shares," and each such share, a "Company Share") (other than Canceled Company Shares and Dissenting Company Shares) was thereupon canceled and converted into the right to receive $1.20 in cash (the "Merger Consideration"), with the Company surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F3: Pursuant to the Merger Agreement, (i) each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the effective time of the merger (the "Effective Time") was accelerated, (ii) each Company Option that remained outstanding as of immediately prior to the Effective Time was canceled and terminated as of the Effective Time and (iii) the Reporting Person of such Company Option became entitled to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the aggregate number of company Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the per share exercise price of such Company Option. F2: The options are fully vested due to vesting acceleration approved by the board in connection with the Merger. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.39 | Direct | 0 |
Reported balance
After 2019-09-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-09-20 · Other · Disposed 25,000 · Balance 0 F1: On September 20, 2019, pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 6, 2019, by and among EMD Group Holding II, Inc. ("Parent"), EMD Performance Materials Semiconductor Services Corp. ("Merger Sub") and Intermolecular, Inc. (the "Company"), Merger Sub merged with and into the Company, each issued and outstanding share of common stock, par value $0.001 per share, of the Company (collectively, the "Company Shares," and each such share, a "Company Share") (other than Canceled Company Shares and Dissenting Company Shares) was thereupon canceled and converted into the right to receive $1.20 in cash (the "Merger Consideration"), with the Company surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F3: Pursuant to the Merger Agreement, (i) each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the effective time of the merger (the "Effective Time") was accelerated, (ii) each Company Option that remained outstanding as of immediately prior to the Effective Time was canceled and terminated as of the Effective Time and (iii) the Reporting Person of such Company Option became entitled to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the aggregate number of company Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the per share exercise price of such Company Option. F2: The options are fully vested due to vesting acceleration approved by the board in connection with the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 20, 2019, pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 6, 2019, by and among EMD Group Holding II, Inc. ("Parent"), EMD Performance Materials Semiconductor Services Corp. ("Merger Sub") and Intermolecular, Inc. (the "Company"), Merger Sub merged with and into the Company, each issued and outstanding share of common stock, par value $0.001 per share, of the Company (collectively, the "Company Shares," and each such share, a "Company Share") (other than Canceled Company Shares and Dissenting Company Shares) was thereupon canceled and converted into the right to receive $1.20 in cash (the "Merger Consideration"), with the Company surviving the merger as a wholly owned subsidiary of Parent (the "Merger").
F2: The options are fully vested due to vesting acceleration approved by the board in connection with the Merger.
F3: Pursuant to the Merger Agreement, (i) each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the effective time of the merger (the "Effective Time") was accelerated, (ii) each Company Option that remained outstanding as of immediately prior to the Effective Time was canceled and terminated as of the Effective Time and (iii) the Reporting Person of such Company Option became entitled to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the aggregate number of company Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the per share exercise price of such Company Option.
MRV COMMUNICATIONS INC
Report date August 14, 2017 · Filed August 15, 2017
Section 16 reporting ended · disclosed 2017-08-15. 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 2017-08-14 transaction · row 1
1 source rowRow 1 · 2017-08-14 · Disposition to issuer · Disposed 36,656 · Balance 0 F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive $10.00 per share in cash, without interest thereon and subject to any required tax withholding (the "Merger Consideration"), in accordance with the Merger Agreement (as defined below). |
| Non Qualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.80 | Direct | 0 |
Reported balance
After 2017-08-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-08-14 · Disposition to issuer · Disposed 1,318 · Balance 0 F2: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. |
| Non Qualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.60 | Direct | 0 |
Reported balance
After 2017-08-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-08-14 · Disposition to issuer · Disposed 2,551 · Balance 0 F2: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. |
| Non Qualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.10 | Direct | 0 |
Reported balance
After 2017-08-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-08-14 · Disposition to issuer · Disposed 6,203 · Balance 0 F2: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. |
| Non Qualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.32 | Direct | 0 |
Reported balance
After 2017-08-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-08-14 · Disposition to issuer · Disposed 4,472 · Balance 0 F2: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. |
| Non Qualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.95 | Direct | 0 |
Reported balance
After 2017-08-14 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-08-14 · Disposition to issuer · Disposed 5,347 · Balance 0 F2: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. |
| Non Qualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.90 | Direct | 0 |
Reported balance
After 2017-08-14 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2017-08-14 · Disposition to issuer · Disposed 6,245 · Balance 0 F2: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. |
| Non-Qualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.63 | Direct | 0 |
Reported balance
After 2017-08-14 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-08-14 · Disposition to issuer · Disposed 6,212 · Balance 0 F2: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. |
Filing footnotes · ownership attribution and instrument terms
F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive $10.00 per share in cash, without interest thereon and subject to any required tax withholding (the "Merger Consideration"), in accordance with the Merger Agreement (as defined below).
F2: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof.
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 |
|---|---|---|---|---|---|---|
| January 01, 2019 Filed Jan 3, 2019 17:47 UTC | DSP GROUP INC /DE/ DSPG · Entity 132869 | GrantCommon Stock | 8,712 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-000237 · rdgdoc.xml · nonDerivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,865 F1 · security: Represents restricted stock units ("RSUs"). F2 · shares: The RSUs were acquired under the 2012 Equity Incentive Plan. 100% of the RSUs vest on the first year anniversary of the grant. F3 · balance_after: Represents 44,153 shares outstanding, and 8,712 unvested RSUs. Read SEC document |
| November 15, 2018 Filed Nov 20, 2018 00:39 UTC | TIDEWATER INC TDW · Entity 2560 | GrantCommon Stock, $0.001 par value | 3,126 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-18-003119 · form407738094tra_11192018.xml · nonDerivative · entry 2 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,588 F2 · price: Represents a grant of restricted stock units that will vest on May 7, 2019. Read SEC document |
| November 15, 2018 Filed Nov 20, 2018 00:39 UTC | TIDEWATER INC TDW · Entity 2560 | GrantCommon Stock, $0.001 par value | 6,462 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-18-003119 · form407738094tra_11192018.xml · nonDerivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,462 F1 · price: Acquired pursuant to the closing of the transactions contemplated by the Agreement and Plan of Merger between GulfMark Offshore, Inc. ("GulfMark") and the Issuer, dated July 15, 2018, in exchange for vested restricted stock units representing a right to receive 5,875 shares of common stock of GulfMark. Read SEC document |
| November 15, 2018 Filed Nov 19, 2018 19:20 UTC | GULFMARK OFFSHORE INC GLF · Entity 162347 | Disposition to issuerCommon Stock, $0.01 par value | 5,875 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-18-003115 · form407738055tra_11192018.xml · nonDerivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: As previously reported, Mr. Traub received a grant of restricted stock units representing a contingent right to receive the equivalent number of shares of common stock of the Issuer for no consideration. These restricted stock units vested on November 15, 2018 and were disposed of as provided for under the Agreement and Plan of Merger, dated as of July 15, 2018, between Tidewater Inc. ("Tidewater") and the Issuer, in exchange for 6,462 shares of common stock of Tidewater and cash in lieu of a fraction of one share of common stock of Tidewater. F1 · price: As previously reported, Mr. Traub received a grant of restricted stock units representing a contingent right to receive the equivalent number of shares of common stock of the Issuer for no consideration. These restricted stock units vested on November 15, 2018 and were disposed of as provided for under the Agreement and Plan of Merger, dated as of July 15, 2018, between Tidewater Inc. ("Tidewater") and the Issuer, in exchange for 6,462 shares of common stock of Tidewater and cash in lieu of a fraction of one share of common stock of Tidewater. Read SEC document |
| November 12, 2018 Filed Nov 14, 2018 21:50 UTC | IMMERSION CORP IMMR · Entity 6143 | PurchaseCommon Stock | 10,000 | $8.99 | $89,943.00 |
DisclosureSEC source: 0000921895-18-003063 · form407738085_11142018.xml · nonDerivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director · See Explanation of Responses 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F1 · ownership.direct: Mr. Traub may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Read SEC document |
| July 16, 2018 Filed Jul 18, 2018 23:11 UTC | IMMERSION CORP IMMR · Entity 6143 | GrantNon-qualified Stock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $15.25 | $0.00 |
DisclosureSEC source: 0001140361-18-032823 · doc1.xml · derivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director · See Explanation of Responses 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2025-07-16 F1 · derivative.exercise_date: 25% of the shares will vest and become exercisable on June 29, 2019; then 2.0833% of the shares will vest and become exercisable monthly thereafter until 100% vested, subject to continued service through each vesting date. F2 · ownership.direct: Mr. Traub may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Read SEC document |
| May 24, 2018 Filed May 29, 2018 18:12 UTC | INTERMOLECULAR INC IMI · Entity 154785 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $1.39 | $0.00 |
DisclosureSEC source: 0001140361-18-026082 · doc1.xml · derivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-05-23 F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier to occur of (i) the first anniversary of the date of grant and (ii) the date of the annual meeting immediately following the date of grant, subject in each case to Reporting Person's continued service through the vesting date. Read SEC document |
| April 13, 2018 Filed Apr 16, 2018 19:12 UTC | GULFMARK OFFSHORE INC GLF · Entity 162347 | GrantCommon Stock, $0.01 par value | 5,875 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-18-006960 · rdgdoc.xml · nonDerivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,875 F1 · shares: Grant of restricted stock units representing a contingent right to receive the equivalent number of shares of GLF common stock for no consideration that vests in full on November 15, 2018. F1 · price: Grant of restricted stock units representing a contingent right to receive the equivalent number of shares of GLF common stock for no consideration that vests in full on November 15, 2018. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 16:23 UTC | DSP GROUP INC /DE/ DSPG · Entity 132869 | GrantStock Option (Right to Buy) · Derivative | 8,000 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0001437749-18-000116 · rdgdoc.xml · derivative · entry 2 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2028-01-01 F4 · derivative.exercise_date: The option fully vests on 01/01/2019. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 16:23 UTC | DSP GROUP INC /DE/ DSPG · Entity 132869 | GrantCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-000116 · rdgdoc.xml · nonDerivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,153 F1 · security: Represents restricted stock units ("RSUs"). F2 · shares: The RSUs were acquired under the 2012 Equity Incentive Plan. 100% of the RSUs vest on the first year anniversary of the grant. F3 · balance_after: Represents 40,153 shares outstanding, and 4,000 unvested RSUs. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 17:16 UTC | MRV COMMUNICATIONS INC MRVC · Entity 173787 | Disposition to issuerNon Qualified Stock Option (Right to Buy) · Derivative | 6,245 | $0.00 Strike: $8.90 | $0.00 |
DisclosureSEC source: 0000887969-17-000070 · wf-form4_150283174721248.xml · derivative · entry 8 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,245 shares Expires not disclosed F2 · derivative.exercise_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. F2 · derivative.expiration_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 17:16 UTC | MRV COMMUNICATIONS INC MRVC · Entity 173787 | Disposition to issuerNon Qualified Stock Option (Right to Buy) · Derivative | 5,347 | $0.00 Strike: $10.95 | $0.00 |
DisclosureSEC source: 0000887969-17-000070 · wf-form4_150283174721248.xml · derivative · entry 7 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,347 shares Expires not disclosed F2 · derivative.exercise_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. F2 · derivative.expiration_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 17:16 UTC | MRV COMMUNICATIONS INC MRVC · Entity 173787 | Disposition to issuerNon-Qualified Stock Option (Right to Buy) · Derivative | 6,212 | $0.00 Strike: $9.63 | $0.00 |
DisclosureSEC source: 0000887969-17-000070 · wf-form4_150283174721248.xml · derivative · entry 6 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,212 shares Expires not disclosed F2 · derivative.exercise_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. F2 · derivative.expiration_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 17:16 UTC | MRV COMMUNICATIONS INC MRVC · Entity 173787 | Disposition to issuerNon Qualified Stock Option (Right to Buy) · Derivative | 4,472 | $0.00 Strike: $13.32 | $0.00 |
DisclosureSEC source: 0000887969-17-000070 · wf-form4_150283174721248.xml · derivative · entry 5 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,472 shares Expires not disclosed F2 · derivative.exercise_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. F2 · derivative.expiration_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 17:16 UTC | MRV COMMUNICATIONS INC MRVC · Entity 173787 | Disposition to issuerNon Qualified Stock Option (Right to Buy) · Derivative | 6,203 | $0.00 Strike: $9.10 | $0.00 |
DisclosureSEC source: 0000887969-17-000070 · wf-form4_150283174721248.xml · derivative · entry 4 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,203 shares Expires not disclosed F2 · derivative.exercise_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. F2 · derivative.expiration_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 17:16 UTC | MRV COMMUNICATIONS INC MRVC · Entity 173787 | Disposition to issuerNon Qualified Stock Option (Right to Buy) · Derivative | 2,551 | $0.00 Strike: $13.60 | $0.00 |
DisclosureSEC source: 0000887969-17-000070 · wf-form4_150283174721248.xml · derivative · entry 3 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,551 shares Expires not disclosed F2 · derivative.exercise_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. F2 · derivative.expiration_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 17:16 UTC | MRV COMMUNICATIONS INC MRVC · Entity 173787 | Disposition to issuerNon Qualified Stock Option (Right to Buy) · Derivative | 1,318 | $0.00 Strike: $16.80 | $0.00 |
DisclosureSEC source: 0000887969-17-000070 · wf-form4_150283174721248.xml · derivative · entry 2 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,318 shares Expires not disclosed F2 · derivative.exercise_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. F2 · derivative.expiration_date: Outstanding stock options of the Issuer were cancelled and converted into the right to receive the Merger Consideration (less the applicable exercise price) in accordance with the Merger Agreement. If the applicable exercise price per share under any such options was equal to or greater than the Merger Consideration, such options were canceled immediately without any payment or other consideration being made or owed in respect thereof. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 17:16 UTC | MRV COMMUNICATIONS INC MRVC · Entity 173787 | Disposition to issuerCommon Stock | 36,656 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000887969-17-000070 · wf-form4_150283174721248.xml · nonDerivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Outstanding shares of the common stock of the Issuer were converted into the right to receive $10.00 per share in cash, without interest thereon and subject to any required tax withholding (the "Merger Consideration"), in accordance with the Merger Agreement (as defined below). Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 19:11 UTC | MRV COMMUNICATIONS INC MRVC · Entity 173787 | GrantNon Qualified Stock Option (Right to Buy) · Derivative | 6,245 | $0.00 Strike: $8.90 | $0.00 |
DisclosureSEC source: 0000921895-17-001713 · form407738019b_06052017.xml · derivative · entry 2 TRAUB KENNETH H · CIK 0001232602 · Director · See Explanation of Responses 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,245 Underlying: Common Stock, $0.0017 par value · 6,245 shares Expires 2027-06-01 F1 · security: The Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3 · kind: Represents an annual grant of stock options to the Reporting Person in his capacity as a director of the Issuer. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 19:11 UTC | MRV COMMUNICATIONS INC MRVC · Entity 173787 | GrantCommon Stock, $0.0017 par value | 2,825 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-17-001713 · form407738019b_06052017.xml · nonDerivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director · See Explanation of Responses 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,656 F1 · security: The Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F2 · kind: Represents an annual grant of restricted stock to the Reporting Person in his capacity as a director of the Issuer. The restricted stock vests on June 1, 2018, one year from the date of grant. Read SEC document |
| May 16, 2017 Filed May 24, 2017 14:49 UTC | INTERMOLECULAR INC IMI · Entity 154785 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $0.85 | $0.00 |
DisclosureSEC source: 0000899243-17-014222 · doc4.xml · derivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director · 1. See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2027-05-15 F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier to occur of (i) the first anniversary of the date of grant and (ii) the date of the annual meeting immediately following the date of grant, subject in each case to Reporting Person's continued service through the vesting date. Read SEC document |
| January 01, 2017 Filed Feb 13, 2018 17:12 UTC | DSP GROUP INC /DE/ DSPG · Entity 132869 | GrantStock Option (Right to Buy) · Derivative | 8,000 | $0.00 Strike: $13.05 | $0.00 |
DisclosureSEC source: 0001437749-18-002396 · rdgdoc.xml · derivative · entry 2 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2027-01-01 F4 · derivative.exercise_date: The option fully vested on 01/01/2018. Read SEC document |
| January 01, 2017 Filed Feb 13, 2018 17:12 UTC | DSP GROUP INC /DE/ DSPG · Entity 132869 | GrantCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-002396 · rdgdoc.xml · nonDerivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,153 F1 · security: Represents restricted stock units ("RSUs"). F2 · shares: The RSUs were acquired under the 2012 Equity Incentive Plan. 100% of the RSUs vested on the first year anniversary of the grant. F3 · balance_after: Represents 36,153 shares outstanding, and 4,000 unvested RSUs. Read SEC document |
| November 04, 2016 Filed Nov 7, 2016 17:27 UTC | A. M. Castle & Co. CAS · Entity 144324 | Disposition to issuerCommon Stock, $0.01 par value | 53,990 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-16-006024 · form407738033b_11042016.xml · nonDerivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,888 F1 · shares: Reflects forfeiture of restricted stock in connection with Reporting Person's resignation as a member of the Board of Directors of the Issuer. Read SEC document |
| January 01, 2016 Filed Feb 14, 2017 18:12 UTC | DSP GROUP INC /DE/ DSPG · Entity 132869 | GrantStock Option (Right to Buy) · Derivative | 8,000 | $0.00 Strike: $9.44 | $0.00 |
DisclosureSEC source: 0001437749-17-002488 · rdgdoc.xml · derivative · entry 2 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2026-01-01 F4 · derivative.exercise_date: The option fully vested on 01/01/2017. Read SEC document |
| January 01, 2016 Filed Feb 14, 2017 18:12 UTC | DSP GROUP INC /DE/ DSPG · Entity 132869 | GrantCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002488 · rdgdoc.xml · nonDerivative · entry 1 TRAUB KENNETH H · CIK 0001232602 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,153 F1 · security: Represents restricted stock units ("RSUs"). F2 · shares: The RSUs were acquired under the 2012 Equity Incentive Plan. 100% of the RSUs vested on the first year anniversary of the grant. F3 · balance_after: Represents 32,153 shares outstanding, and 4,000 unvested RSUs. 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.