Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| A10 Networks, Inc.ATEN · Entity 4574 | Director | December 04, 2019 | December 06, 2019 |
| Waverley Capital Acquisition Corp. 1WAVC · Entity 134805 | Director · Chief Financial Officer | August 19, 2021 | August 19, 2021 |
| Workhorse Group Inc.WKHS · Entity 7322 | Director | July 17, 2026 | July 20, 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.
A10 Networks, Inc.
Report date December 04, 2019 · Filed December 06, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 88,640 |
Reported balance
After 2019-12-04 transaction · row 1
1 source rowRow 1 · 2019-12-04 · Grant · Acquired 23,547 · Balance 88,640 F1: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest on the earlier of the first anniversary of the grant date or the date of the Issuer's next Annual Meeting, subject to the Reporting Person's continued service as of such date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest on the earlier of the first anniversary of the grant date or the date of the Issuer's next Annual Meeting, subject to the Reporting Person's continued service as of such date.
Waverley Capital Acquisition Corp. 1
Report date August 19, 2021 · Filed August 19, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Ordinary SharesSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2021-08-19 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The Issuer's Class B ordinary shares, par value $0.0001 per share, are convertible for the Issuer's Class A ordinary shares, par value $0.0001 per share, as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-254842) and have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: The Issuer's Class B ordinary shares, par value $0.0001 per share, are convertible for the Issuer's Class A ordinary shares, par value $0.0001 per share, as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-254842) and have no expiration date.
Workhorse Group Inc.
Report date July 17, 2026 · Filed July 20, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par value per shareSEC Table I · non-derivative | Direct | 30,484 |
Reported balance
After 2026-07-17 transaction · row 1
1 source rowRow 1 · 2026-07-17 · Grant · Acquired 30,484 · Balance 30,484 F1: Represents restricted stock units ("RSUs") granted to the Reporting Person. Each RSU represents a contingent right to receive one share of common stock of the Issuer. Of the RSUs reported, 25,000 will vest in one installment on the earlier of June 29, 2027 and the date of the Issuer's 2027 annual stockholder's meeting, and the vested shares will be delivered to the Reporting Person on July 17, 2028 or in connection with any earlier change in control of the Issuer. The remaining 5,484 RSUs fully vested as of the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units ("RSUs") granted to the Reporting Person. Each RSU represents a contingent right to receive one share of common stock of the Issuer. Of the RSUs reported, 25,000 will vest in one installment on the earlier of June 29, 2027 and the date of the Issuer's 2027 annual stockholder's meeting, and the vested shares will be delivered to the Reporting Person on July 17, 2028 or in connection with any earlier change in control of the Issuer. The remaining 5,484 RSUs fully vested as of the date of grant.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
MODEL N, INC.
Report date June 27, 2024 · Filed June 27, 2024
Section 16 reporting ended · disclosed 2024-06-27. 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 2024-06-27 transaction · row 1
1 source rowRow 1 · 2024-06-27 · Disposition to issuer · Disposed 36,457 · Balance 0 F1: Consists of 31,130 shares of Model N, Inc. (the "Company") common stock, par value $0.00015 per share ("Common Stock"), and 5,327 shares of Common Stock underlying restricted stock units ("RSUs") held by the Reporting Person. F2: The shares were disposed of pursuant to the Agreement and Plan of Merger, dated April 7, 2024 (the "Merger Agreement"), by and among the Company, Mountain Parent, LLC ("Parent"), and Mountain Merger Sub, Inc. ("Merger Sub"). Pursuant to the terms of the Merger Agreement, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. At the effective time of the Merger (the "Effective Time"), each share of Common Stock was canceled and automatically converted into the right to receive $30.00 in cash, without interest and less any applicable withholding taxes (the "Merger Consideration"). F3: Pursuant to the Merger Agreement, at the Effective Time, each RSU that was subject to time-based vesting conditions that was unexpired, unsettled and vested as of immediately prior to the Effective Time (including any RSU that vested automatically as a result of the Merger) (each a "Vested RSU") was canceled and converted into the right to receive a cash payment (without interest) equal to the total number of shares of Common Stock underlying such Vested RSU multiplied by the Merger Consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of 31,130 shares of Model N, Inc. (the "Company") common stock, par value $0.00015 per share ("Common Stock"), and 5,327 shares of Common Stock underlying restricted stock units ("RSUs") held by the Reporting Person.
F2: The shares were disposed of pursuant to the Agreement and Plan of Merger, dated April 7, 2024 (the "Merger Agreement"), by and among the Company, Mountain Parent, LLC ("Parent"), and Mountain Merger Sub, Inc. ("Merger Sub"). Pursuant to the terms of the Merger Agreement, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. At the effective time of the Merger (the "Effective Time"), each share of Common Stock was canceled and automatically converted into the right to receive $30.00 in cash, without interest and less any applicable withholding taxes (the "Merger Consideration").
F3: Pursuant to the Merger Agreement, at the Effective Time, each RSU that was subject to time-based vesting conditions that was unexpired, unsettled and vested as of immediately prior to the Effective Time (including any RSU that vested automatically as a result of the Merger) (each a "Vested RSU") was canceled and converted into the right to receive a cash payment (without interest) equal to the total number of shares of Common Stock underlying such Vested RSU multiplied by the Merger Consideration.
ROKU, INC
Report date May 20, 2021 · Filed May 24, 2021
Section 16 reporting ended · disclosed 2019-03-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 4,287 |
Ending reported balance
After 2021-05-24 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2021-05-20 · Conversion · Acquired 1,000 · Balance 5,287 Row 2 · 2021-05-20 · Sale · Disposed 1,000 · Balance 4,287 Row 3 · 2021-05-24 · Conversion · Acquired 1,000 · Balance 5,287 Row 4 · 2021-05-24 · Sale · Disposed 1,000 · Balance 4,287 Row 5 · 2021-05-24 · Conversion · Acquired 1,000 · Balance 5,287 Row 6 · 2021-05-24 · Sale · Disposed 1,000 · Balance 4,287 |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 9,833 |
Reported balance
After 2021-05-20 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-05-20 · Exercise / conversion · Disposed 1,000 · Balance 9,833 F1: This stock option is fully vested. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 8,833 |
Reported balance
After 2021-05-24 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2021-05-24 · Exercise / conversion · Disposed 1,000 · Balance 8,833 F1: This stock option is fully vested. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 7,833 |
Reported balance
After 2021-05-24 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2021-05-24 · Exercise / conversion · Disposed 1,000 · Balance 7,833 F1: This stock option is fully vested. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 1,000 |
Reported balance
After 2021-05-20 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-05-20 · Exercise / conversion · Acquired 1,000 · Balance 1,000 F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 0 |
Reported balance
After 2021-05-20 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-05-20 · Conversion · Disposed 1,000 · Balance 0 F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 1,000 |
Reported balance
After 2021-05-24 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2021-05-24 · Exercise / conversion · Acquired 1,000 · Balance 1,000 F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 0 |
Reported balance
After 2021-05-24 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2021-05-24 · Conversion · Disposed 1,000 · Balance 0 F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 1,000 |
Reported balance
After 2021-05-24 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2021-05-24 · Exercise / conversion · Acquired 1,000 · Balance 1,000 F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 0 |
Reported balance
After 2021-05-24 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2021-05-24 · Conversion · Disposed 1,000 · Balance 0 F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: This stock option is fully vested.
F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B 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 |
|---|---|---|---|---|---|---|
| July 17, 2026 Filed Jul 20, 2026 21:59 UTC | Workhorse Group Inc. WKHS · Entity 7322 | GrantCommon Stock, $0.001 par value per share | 30,484 | $0.00 | $0.00 |
DisclosureSEC source: 0001513957-26-000002 · wk-form4_1784584743.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,484 F1 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person. Each RSU represents a contingent right to receive one share of common stock of the Issuer. Of the RSUs reported, 25,000 will vest in one installment on the earlier of June 29, 2027 and the date of the Issuer's 2027 annual stockholder's meeting, and the vested shares will be delivered to the Reporting Person on July 17, 2028 or in connection with any earlier change in control of the Issuer. The remaining 5,484 RSUs fully vested as of the date of grant. Read SEC document |
| December 15, 2025 Filed Dec 15, 2025 22:20 UTC | Workhorse Group Inc. WKHS · Entity 7322 | Exercise / conversionRestricted Stock Units · Derivative | 1,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-057130 · wk-form4_1765837244.xml · derivative · entry 3 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value per share · 1,894 shares Expires 2026-02-18 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. F3 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted by the Company to the reporting person on August 18, 2025. In accordance with the Merger Agreement, each RSU vested and settled in cash at the effective time of the merger based on the fair market value of the Company's common stock. F1 · shares: On June 17, 2024, Workhorse Group Inc. (the "Company") effected a 1-for-20 reverse split of the Company's common stock. On March 17, 2025, the Company effected a 1-for-12.5 reverse split of the Company's common stock. On December 8, 2025, the Company effected a 1-for-12 reverse split of the Company's common stock. The reverse stock splits resulted in a reduction in the number of shares held by the reporting person and proportional adjustments to the Company's outstanding equity awards. Accordingly, all amounts of securities reported in this Form 4 have been adjusted to reflect the foregoing reverse stock splits. F2 · shares: Pursuant to an Agreement and Plan of Merger (the "Merger Agreement"), dated August 15, 2025, by and among the Company, Omaha Intermediate 2, Inc., Omaha Intermediate, Inc., Omaha Merger Subsidiary, Inc., and Motiv Power Systems, Inc., all of the Company's outstanding equity awards vested immediately prior to the effective time of the merger, with (to the extent applicable) performance deemed achieved at target. F3 · shares: Represents Restricted Stock Units ("RSUs") granted by the Company to the reporting person on August 18, 2025. In accordance with the Merger Agreement, each RSU vested and settled in cash at the effective time of the merger based on the fair market value of the Company's common stock. Read SEC document |
| December 15, 2025 Filed Dec 15, 2025 22:20 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock, $0.001 par value per share | 1,894 | $6.51 | $12,329.94 |
DisclosureSEC source: 0001628280-25-057130 · wk-form4_1765837244.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: On June 17, 2024, Workhorse Group Inc. (the "Company") effected a 1-for-20 reverse split of the Company's common stock. On March 17, 2025, the Company effected a 1-for-12.5 reverse split of the Company's common stock. On December 8, 2025, the Company effected a 1-for-12 reverse split of the Company's common stock. The reverse stock splits resulted in a reduction in the number of shares held by the reporting person and proportional adjustments to the Company's outstanding equity awards. Accordingly, all amounts of securities reported in this Form 4 have been adjusted to reflect the foregoing reverse stock splits. F2 · shares: Pursuant to an Agreement and Plan of Merger (the "Merger Agreement"), dated August 15, 2025, by and among the Company, Omaha Intermediate 2, Inc., Omaha Intermediate, Inc., Omaha Merger Subsidiary, Inc., and Motiv Power Systems, Inc., all of the Company's outstanding equity awards vested immediately prior to the effective time of the merger, with (to the extent applicable) performance deemed achieved at target. F3 · shares: Represents Restricted Stock Units ("RSUs") granted by the Company to the reporting person on August 18, 2025. In accordance with the Merger Agreement, each RSU vested and settled in cash at the effective time of the merger based on the fair market value of the Company's common stock. Read SEC document |
| December 15, 2025 Filed Dec 15, 2025 22:20 UTC | Workhorse Group Inc. WKHS · Entity 7322 | Exercise / conversionCommon Stock, $0.001 par value per share | 1,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-057130 · wk-form4_1765837244.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,894 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 · shares: On June 17, 2024, Workhorse Group Inc. (the "Company") effected a 1-for-20 reverse split of the Company's common stock. On March 17, 2025, the Company effected a 1-for-12.5 reverse split of the Company's common stock. On December 8, 2025, the Company effected a 1-for-12 reverse split of the Company's common stock. The reverse stock splits resulted in a reduction in the number of shares held by the reporting person and proportional adjustments to the Company's outstanding equity awards. Accordingly, all amounts of securities reported in this Form 4 have been adjusted to reflect the foregoing reverse stock splits. F2 · shares: Pursuant to an Agreement and Plan of Merger (the "Merger Agreement"), dated August 15, 2025, by and among the Company, Omaha Intermediate 2, Inc., Omaha Intermediate, Inc., Omaha Merger Subsidiary, Inc., and Motiv Power Systems, Inc., all of the Company's outstanding equity awards vested immediately prior to the effective time of the merger, with (to the extent applicable) performance deemed achieved at target. F3 · shares: Represents Restricted Stock Units ("RSUs") granted by the Company to the reporting person on August 18, 2025. In accordance with the Merger Agreement, each RSU vested and settled in cash at the effective time of the merger based on the fair market value of the Company's common stock. Read SEC document |
| August 18, 2025 Filed Aug 20, 2025 20:31 UTC | Workhorse Group Inc. WKHS · Entity 7322 | GrantRestricted Stock Units · Derivative | 22,728 | $0.00 | $0.00 |
DisclosureSEC source: 0001425287-25-000078 · wk-form4_1755721889.xml · derivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,728 Underlying: Common Stock, $0.001 par value per share · 22,728 shares Expires 2026-02-18 F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of common stock of Workhorse Group Inc. (the "Company"), vesting on February 18, 2026. Upon vesting, the RSUs may be settled in cash at the discretion of the Company's Board of Directors. F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of common stock of Workhorse Group Inc. (the "Company"), vesting on February 18, 2026. Upon vesting, the RSUs may be settled in cash at the discretion of the Company's Board of Directors. F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of common stock of Workhorse Group Inc. (the "Company"), vesting on February 18, 2026. Upon vesting, the RSUs may be settled in cash at the discretion of the Company's Board of Directors. Read SEC document |
| June 27, 2024 Filed Jun 27, 2024 17:08 UTC | MODEL N, INC. MODN · Entity 89480 | Disposition to issuerCommon Stock | 36,457 | $30.00 | $1,093,710.00 |
DisclosureSEC source: 0001118417-24-000165 · wk-form4_1719522474.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: Consists of 31,130 shares of Model N, Inc. (the "Company") common stock, par value $0.00015 per share ("Common Stock"), and 5,327 shares of Common Stock underlying restricted stock units ("RSUs") held by the Reporting Person. F2 · price: The shares were disposed of pursuant to the Agreement and Plan of Merger, dated April 7, 2024 (the "Merger Agreement"), by and among the Company, Mountain Parent, LLC ("Parent"), and Mountain Merger Sub, Inc. ("Merger Sub"). Pursuant to the terms of the Merger Agreement, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. At the effective time of the Merger (the "Effective Time"), each share of Common Stock was canceled and automatically converted into the right to receive $30.00 in cash, without interest and less any applicable withholding taxes (the "Merger Consideration"). F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each RSU that was subject to time-based vesting conditions that was unexpired, unsettled and vested as of immediately prior to the Effective Time (including any RSU that vested automatically as a result of the Merger) (each a "Vested RSU") was canceled and converted into the right to receive a cash payment (without interest) equal to the total number of shares of Common Stock underlying such Vested RSU multiplied by the Merger Consideration. Read SEC document |
| February 15, 2024 Filed Feb 16, 2024 20:10 UTC | MODEL N, INC. MODN · Entity 89480 | GrantCommon Stock | 7,102 | $0.00 | $0.00 |
DisclosureSEC source: 0001118417-24-000046 · wk-form4_1708132213.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,457 F1 · shares: Issuable upon the vesting of Restricted Stock Units ("RSUs"). 25% of the shares subject to this RSU grant will vest on May 15, 2024, August 15, 2024, November 15, 2024, and February 15, 2025, provided the Reporting Person continues to serve on the Board of Directors through the applicable vesting date. Read SEC document |
| February 16, 2023 Filed Feb 17, 2023 19:12 UTC | MODEL N, INC. MODN · Entity 89480 | GrantCommon Stock | 4,634 | $0.00 | $0.00 |
DisclosureSEC source: 0001118417-23-000029 · wf-form4_167667914908713.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,355 F1 · shares: Issuable upon the vesting of Restricted Stock Units ("RSUs"). 25% of the shares subject to this RSU grant will vest on May 15, 2023, August 15, 2023, November 15, 2023, and February 15, 2024, provided the Reporting Person continues to serve on the Board of Directors through the applicable vesting date. Read SEC document |
| November 11, 2022 Filed Nov 15, 2022 20:58 UTC | MODEL N, INC. MODN · Entity 89480 | SaleCommon Stock | 24,878 | $39.50 | $982,681.00 |
DisclosureSEC source: 0001118417-22-000115 · wf-form4_166856389890375.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,721 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $39.00 to $40.00 per share, 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 range set forth in this footnote. Read SEC document |
| February 18, 2022 Filed Feb 18, 2022 21:14 UTC | MODEL N, INC. MODN · Entity 89480 | GrantCommon Stock | 6,934 | $0.00 | $0.00 |
DisclosureSEC source: 0001118417-22-000044 · wf-form4_164523686596528.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,599 F1 · shares: Issuable upon the vesting of Restricted Stock Units ("RSUs"). 25% of the shares subject to this RSU grant will vest on May 15, 2022, August 15, 2022, November 15, 2022, and February 15, 2023 provided the Reporting Person continues to serve on the Board of Directors through the applicable vesting date. Read SEC document |
| August 27, 2021 Filed Aug 30, 2021 19:50 UTC | MODEL N, INC. MODN · Entity 89480 | SaleCommon Stock | 1,000 | $35.00 | $35,000.00 |
DisclosureSEC source: 0001118417-21-000143 · wf-form4_163036738395590.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,665 Read SEC document |
| August 27, 2021 Filed Aug 30, 2021 19:50 UTC | MODEL N, INC. MODN · Entity 89480 | SaleCommon Stock | 1,337 | $34.50 | $46,126.50 |
DisclosureSEC source: 0001118417-21-000143 · wf-form4_163036738395590.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,665 Read SEC document |
| August 26, 2021 Filed Aug 26, 2021 19:29 UTC | MODEL N, INC. MODN · Entity 89480 | SaleCommon Stock | 1,000 | $34.00 | $34,000.00 |
DisclosureSEC source: 0001118417-21-000141 · wf-form4_163002053240836.xml · nonDerivative · entry 3 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,002 Read SEC document |
| August 26, 2021 Filed Aug 26, 2021 19:29 UTC | MODEL N, INC. MODN · Entity 89480 | SaleCommon Stock | 1,000 | $33.50 | $33,500.00 |
DisclosureSEC source: 0001118417-21-000141 · wf-form4_163002053240836.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,002 Read SEC document |
| August 24, 2021 Filed Aug 26, 2021 19:29 UTC | MODEL N, INC. MODN · Entity 89480 | SaleCommon Stock | 3,337 | $33.10 | $110,454.70 |
DisclosureSEC source: 0001118417-21-000141 · wf-form4_163002053240836.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,002 Read SEC document |
| May 24, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 1,000 | $5.64 Strike: $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · derivative · entry 15 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 1,000 shares Expires 2026-05-16 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_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 24, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 1,000 | $5.64 Strike: $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · derivative · entry 14 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Class A Common Stock · 1,000 shares Expires 2026-05-16 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_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 24, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 1,000 | $5.64 Strike: $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · derivative · entry 13 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,833 Underlying: Class B Common Stock · 1,000 shares Expires 2026-05-16 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_date: This stock option is fully vested. Read SEC document |
| May 24, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 1,000 | $5.64 Strike: $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · derivative · entry 12 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 1,000 shares Expires 2026-05-16 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_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 24, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 1,000 | $5.64 Strike: $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · derivative · entry 11 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Class A Common Stock · 1,000 shares Expires 2026-05-16 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_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 24, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 1,000 | $5.64 Strike: $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · derivative · entry 10 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,833 Underlying: Class B Common Stock · 1,000 shares Expires 2026-05-16 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_date: This stock option is fully vested. Read SEC document |
| May 24, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,000 | $350.00 | $350,000.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · nonDerivative · entry 6 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,287 Read SEC document |
| May 24, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 1,000 | $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · nonDerivative · entry 5 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,287 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 |
| May 24, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,000 | $340.00 | $340,000.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · nonDerivative · entry 4 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,287 Read SEC document |
| May 24, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 1,000 | $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · nonDerivative · entry 3 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,287 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 |
| May 20, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 1,000 | $5.64 Strike: $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · derivative · entry 9 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 1,000 shares Expires 2026-05-16 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_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 20, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 1,000 | $5.64 Strike: $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · derivative · entry 8 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Class A Common Stock · 1,000 shares Expires 2026-05-16 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_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 20, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 1,000 | $5.64 Strike: $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · derivative · entry 7 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,833 Underlying: Class B Common Stock · 1,000 shares Expires 2026-05-16 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_date: This stock option is fully vested. Read SEC document |
| May 20, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,000 | $331.00 | $331,000.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,287 Read SEC document |
| May 20, 2021 Filed May 24, 2021 22:03 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 1,000 | $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-21-000055 · edgar.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,287 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 |
| May 18, 2021 Filed May 19, 2021 22:24 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 1,200 | $2.28 Strike: $2.28 | $2,736.00 |
DisclosureSEC source: 0001716837-21-000052 · edgar.xml · derivative · entry 5 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 1,200 shares Expires 2022-05-01 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_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 18, 2021 Filed May 19, 2021 22:24 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 1,200 | $2.28 Strike: $2.28 | $2,736.00 |
DisclosureSEC source: 0001716837-21-000052 · edgar.xml · derivative · entry 4 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200 Underlying: Class A Common Stock · 1,200 shares Expires 2022-05-01 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_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 18, 2021 Filed May 19, 2021 22:24 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 1,200 | $2.28 Strike: $2.28 | $2,736.00 |
DisclosureSEC source: 0001716837-21-000052 · edgar.xml · derivative · entry 3 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common Stock · 1,200 shares Expires 2022-05-01 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_date: This stock option is fully vested. Read SEC document |
| May 18, 2021 Filed May 19, 2021 22:24 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,200 | $324.00 | $388,800.00 |
DisclosureSEC source: 0001716837-21-000052 · edgar.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,287 Read SEC document |
| May 18, 2021 Filed May 19, 2021 22:24 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 1,200 | $2.28 | $2,736.00 |
DisclosureSEC source: 0001716837-21-000052 · edgar.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,487 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 |
| May 10, 2021 Filed May 11, 2021 23:37 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,000 | $316.00 | $316,000.00 |
DisclosureSEC source: 0001716837-21-000047 · edgar.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,287 Read SEC document |
| February 19, 2021 Filed Feb 19, 2021 20:17 UTC | MODEL N, INC. MODN · Entity 89480 | GrantCommon Stock | 4,251 | $0.00 | $0.00 |
DisclosureSEC source: 0001118417-21-000062 · wf-form4_161378386133484.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,339 F1 · shares: Issuable upon the vesting of Restricted Stock Units ("RSUs"). 25% of the shares subject to this RSU grant will vest on May 15, 2021, August 15, 2021, November 15, 2021, and February 15, 2022 provided the Reporting Person continues to serve on the Board of Directors through the applicable vesting date. Read SEC document |
| November 20, 2020 Filed Nov 23, 2020 23:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 2,500 | $2.28 Strike: $2.28 | $5,700.00 |
DisclosureSEC source: 0001716837-20-000201 · edgar.xml · derivative · entry 5 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 2,500 shares Expires 2022-05-01 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_date: This stock option is fully vested. Read SEC document |
| November 20, 2020 Filed Nov 23, 2020 23:59 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 2,500 | $2.28 Strike: $2.28 | $5,700.00 |
DisclosureSEC source: 0001716837-20-000201 · edgar.xml · derivative · entry 4 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Underlying: Class A Common Stock · 2,500 shares Expires 2022-05-01 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_date: This stock option is fully vested. Read SEC document |
| November 20, 2020 Filed Nov 23, 2020 23:59 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,500 | $2.28 Strike: $2.28 | $5,700.00 |
DisclosureSEC source: 0001716837-20-000201 · edgar.xml · derivative · entry 3 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,200 Underlying: Class B Common Stock · 2,500 shares Expires 2022-05-01 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_date: This stock option is fully vested. Read SEC document |
| November 20, 2020 Filed Nov 23, 2020 23:59 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 2,500 | $260.00 | $650,000.00 |
DisclosureSEC source: 0001716837-20-000201 · edgar.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,287 Read SEC document |
| November 20, 2020 Filed Nov 23, 2020 23:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 2,500 | $2.28 | $5,700.00 |
DisclosureSEC source: 0001716837-20-000201 · edgar.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,787 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 19, 2020 Filed Nov 20, 2020 01:55 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 7,500 | $2.28 Strike: $2.28 | $17,100.00 |
DisclosureSEC source: 0001716837-20-000200 · edgar.xml · derivative · entry 12 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 7,500 shares Expires 2022-05-01 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_date: This stock option is fully vested. Read SEC document |
| November 19, 2020 Filed Nov 20, 2020 01:55 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 7,500 | $2.28 Strike: $2.28 | $17,100.00 |
DisclosureSEC source: 0001716837-20-000200 · edgar.xml · derivative · entry 11 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Class A Common Stock · 7,500 shares Expires 2022-05-01 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_date: This stock option is fully vested. Read SEC document |
| November 19, 2020 Filed Nov 20, 2020 01:55 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 7,500 | $2.28 Strike: $2.28 | $17,100.00 |
DisclosureSEC source: 0001716837-20-000200 · edgar.xml · derivative · entry 10 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,700 Underlying: Class B Common Stock · 7,500 shares Expires 2022-05-01 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_date: This stock option is fully vested. Read SEC document |
| November 19, 2020 Filed Nov 20, 2020 01:55 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 2,500 | $253.01 | $632,515.00 |
DisclosureSEC source: 0001716837-20-000200 · edgar.xml · nonDerivative · entry 6 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,287 Read SEC document |
| November 19, 2020 Filed Nov 20, 2020 01:55 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 5,000 | $249.06 | $1,245,300.00 |
DisclosureSEC source: 0001716837-20-000200 · edgar.xml · nonDerivative · entry 5 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,787 Read SEC document |
| November 19, 2020 Filed Nov 20, 2020 01:55 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 7,500 | $2.28 | $17,100.00 |
DisclosureSEC source: 0001716837-20-000200 · edgar.xml · nonDerivative · entry 4 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,787 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 17, 2020 Filed Nov 20, 2020 01:55 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 7,500 | $2.28 Strike: $2.28 | $17,100.00 |
DisclosureSEC source: 0001716837-20-000200 · edgar.xml · derivative · entry 9 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 7,500 shares Expires 2022-05-01 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_date: This stock option is fully vested. Read SEC document |
| November 17, 2020 Filed Nov 20, 2020 01:55 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 7,500 | $2.28 Strike: $2.28 | $17,100.00 |
DisclosureSEC source: 0001716837-20-000200 · edgar.xml · derivative · entry 8 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Class A Common Stock · 7,500 shares Expires 2022-05-01 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_date: This stock option is fully vested. 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.