Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Block, Inc.SQ · Entity 3041 | 10% owner | November 24, 2015 | November 24, 2015 |
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.
Block, Inc.
Report date November 24, 2015 · Filed November 24, 2015
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,269,830 |
Reported balance
After 2015-11-24 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2015-11-24 · Conversion · Acquired 2,269,830 · Balance 2,269,830 F1: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2015-11-24 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2015-11-24 · Other · Disposed 2,269,830 · Balance 0 F2: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7. |
| Series D Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2015-11-24 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2015-11-24 · Conversion · Disposed 2,269,830 · Balance 0 F1: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 2,269,830 |
Reported balance
After 2015-11-24 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2015-11-24 · Other · Acquired 2,269,830 · Balance 2,269,830 F2: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7. F3: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date. |
| Warrant to Purchase Stock (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.01 | Direct | 9,456,955.3 |
Reported balance
After 2015-11-24 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2015-11-24 · Other · Disposed 9,456,955.3 · Balance 9,456,955.3 F4: Pursuant to the terms of the Warrant held by the Reporting Person, upon the reclassification of each share of Common Stock into a share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7, the Warrant automatically became exercisable for Class B Common Stock instead of Common Stock, which may be deemed to constitute a disposition and acquisition of the Warrant for purposes of Rule 16b-7. F5: The Warrant became exercisable in full prior to the Issuer's initial public offering of Class A Common Stock. The Warrant expires on the earliest of (i) the fifth anniversary of the Commercial Launch Date; (ii) the consummation of a Liquidation Transaction; and (iii) forfeiture and cancellation pursuant to Section 3.2 of the Commercial Agreement, to the extent applicable (as such capitalized terms are defined in the Warrant). |
| Warrant to Purchase Stock (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.01 | Direct | 9,456,955.3 |
Reported balance
After 2015-11-24 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2015-11-24 · Other · Acquired 9,456,955.3 · Balance 9,456,955.3 F4: Pursuant to the terms of the Warrant held by the Reporting Person, upon the reclassification of each share of Common Stock into a share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7, the Warrant automatically became exercisable for Class B Common Stock instead of Common Stock, which may be deemed to constitute a disposition and acquisition of the Warrant for purposes of Rule 16b-7. F5: The Warrant became exercisable in full prior to the Issuer's initial public offering of Class A Common Stock. The Warrant expires on the earliest of (i) the fifth anniversary of the Commercial Launch Date; (ii) the consummation of a Liquidation Transaction; and (iii) forfeiture and cancellation pursuant to Section 3.2 of the Commercial Agreement, to the extent applicable (as such capitalized terms are defined in the Warrant). |
Filing footnotes · ownership attribution and instrument terms
F1: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F2: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
F3: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.
F4: Pursuant to the terms of the Warrant held by the Reporting Person, upon the reclassification of each share of Common Stock into a share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7, the Warrant automatically became exercisable for Class B Common Stock instead of Common Stock, which may be deemed to constitute a disposition and acquisition of the Warrant for purposes of Rule 16b-7.
F5: The Warrant became exercisable in full prior to the Issuer's initial public offering of Class A Common Stock. The Warrant expires on the earliest of (i) the fifth anniversary of the Commercial Launch Date; (ii) the consummation of a Liquidation Transaction; and (iii) forfeiture and cancellation pursuant to Section 3.2 of the Commercial Agreement, to the extent applicable (as such capitalized terms are defined in the Warrant).
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 24, 2015 Filed Nov 24, 2015 22:22 UTC | Block, Inc. SQ · Entity 3041 | OtherWarrant to Purchase Stock (right to buy) · Derivative | 9,456,955.3 | Not disclosed Strike: $11.01 | Not disclosed |
DisclosureSEC source: 0000899243-15-008838 · doc4.xml · derivative · entry 6 STARBUCKS CORP · CIK 0000829224 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,456,955.3 Underlying: Class B Common Stock · 9,456,955.3 shares Expires not disclosed F4 · kind: Pursuant to the terms of the Warrant held by the Reporting Person, upon the reclassification of each share of Common Stock into a share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7, the Warrant automatically became exercisable for Class B Common Stock instead of Common Stock, which may be deemed to constitute a disposition and acquisition of the Warrant for purposes of Rule 16b-7. F4 · price: Pursuant to the terms of the Warrant held by the Reporting Person, upon the reclassification of each share of Common Stock into a share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7, the Warrant automatically became exercisable for Class B Common Stock instead of Common Stock, which may be deemed to constitute a disposition and acquisition of the Warrant for purposes of Rule 16b-7. F5 · derivative.exercise_date: The Warrant became exercisable in full prior to the Issuer's initial public offering of Class A Common Stock. The Warrant expires on the earliest of (i) the fifth anniversary of the Commercial Launch Date; (ii) the consummation of a Liquidation Transaction; and (iii) forfeiture and cancellation pursuant to Section 3.2 of the Commercial Agreement, to the extent applicable (as such capitalized terms are defined in the Warrant). F5 · derivative.expiration_date: The Warrant became exercisable in full prior to the Issuer's initial public offering of Class A Common Stock. The Warrant expires on the earliest of (i) the fifth anniversary of the Commercial Launch Date; (ii) the consummation of a Liquidation Transaction; and (iii) forfeiture and cancellation pursuant to Section 3.2 of the Commercial Agreement, to the extent applicable (as such capitalized terms are defined in the Warrant). Read SEC document |
| November 24, 2015 Filed Nov 24, 2015 22:22 UTC | Block, Inc. SQ · Entity 3041 | OtherWarrant to Purchase Stock (right to buy) · Derivative | 9,456,955.3 | Not disclosed Strike: $11.01 | Not disclosed |
DisclosureSEC source: 0000899243-15-008838 · doc4.xml · derivative · entry 5 STARBUCKS CORP · CIK 0000829224 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,456,955.3 Underlying: Common Stock · 9,456,955.3 shares Expires not disclosed F4 · kind: Pursuant to the terms of the Warrant held by the Reporting Person, upon the reclassification of each share of Common Stock into a share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7, the Warrant automatically became exercisable for Class B Common Stock instead of Common Stock, which may be deemed to constitute a disposition and acquisition of the Warrant for purposes of Rule 16b-7. F4 · price: Pursuant to the terms of the Warrant held by the Reporting Person, upon the reclassification of each share of Common Stock into a share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7, the Warrant automatically became exercisable for Class B Common Stock instead of Common Stock, which may be deemed to constitute a disposition and acquisition of the Warrant for purposes of Rule 16b-7. F5 · derivative.exercise_date: The Warrant became exercisable in full prior to the Issuer's initial public offering of Class A Common Stock. The Warrant expires on the earliest of (i) the fifth anniversary of the Commercial Launch Date; (ii) the consummation of a Liquidation Transaction; and (iii) forfeiture and cancellation pursuant to Section 3.2 of the Commercial Agreement, to the extent applicable (as such capitalized terms are defined in the Warrant). F5 · derivative.expiration_date: The Warrant became exercisable in full prior to the Issuer's initial public offering of Class A Common Stock. The Warrant expires on the earliest of (i) the fifth anniversary of the Commercial Launch Date; (ii) the consummation of a Liquidation Transaction; and (iii) forfeiture and cancellation pursuant to Section 3.2 of the Commercial Agreement, to the extent applicable (as such capitalized terms are defined in the Warrant). Read SEC document |
| November 24, 2015 Filed Nov 24, 2015 22:22 UTC | Block, Inc. SQ · Entity 3041 | OtherClass B Common Stock · Derivative | 2,269,830 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-15-008838 · doc4.xml · derivative · entry 4 STARBUCKS CORP · CIK 0000829224 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,269,830 Underlying: Class A Common Stock · 2,269,830 shares Expires not disclosed F2 · security: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7. F3 · security: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date. F3 · derivative.exercise_price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date. F2 · kind: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7. F2 · price: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7. F3 · derivative.exercise_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date. F3 · derivative.expiration_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date. Read SEC document |
| November 24, 2015 Filed Nov 24, 2015 22:22 UTC | Block, Inc. SQ · Entity 3041 | ConversionSeries D Preferred Stock · Derivative | 2,269,830 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-15-008838 · doc4.xml · derivative · entry 3 STARBUCKS CORP · CIK 0000829224 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,269,830 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 · security: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_price: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · price: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. Read SEC document |
| November 24, 2015 Filed Nov 24, 2015 22:22 UTC | Block, Inc. SQ · Entity 3041 | OtherCommon Stock | 2,269,830 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-15-008838 · doc4.xml · nonDerivative · entry 2 STARBUCKS CORP · CIK 0000829224 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · security: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7. F2 · price: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7. Read SEC document |
| November 24, 2015 Filed Nov 24, 2015 22:22 UTC | Block, Inc. SQ · Entity 3041 | ConversionCommon Stock | 2,269,830 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-15-008838 · doc4.xml · nonDerivative · entry 1 STARBUCKS CORP · CIK 0000829224 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,269,830 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration 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.