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 |
|---|---|---|---|---|---|---|
| May 22, 2019 Filed May 24, 2019 23:39 UTC | ROKU, INC ROKU · Entity 2524 | GrantStock Option (right to buy) · Derivative | 2,937 | $88.02 Strike: $88.02 | $258,514.74 |
DisclosureSEC source: 0001716837-19-000090 · edgar.xml · derivative · entry 5 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,937 Underlying: Class A Common Stock · 2,937 shares Expires 2029-05-21 F3 · derivative.exercise_date: The option vests in 12 equal monthly installments beginning on the one month anniversary of the grant date. Read SEC document |
| May 22, 2019 Filed May 24, 2019 23:39 UTC | ROKU, INC ROKU · Entity 2524 | GrantRestricted Stock Unit · Derivative | 1,065 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-19-000090 · edgar.xml · derivative · entry 4 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,065 Underlying: Class A Common Stock · 1,065 shares Expires not disclosed F2 · derivative.exercise_date: This RSU was granted on 5/22/2019 and vests in one installment on the anniversary of the grant date. F2 · derivative.expiration_date: This RSU was granted on 5/22/2019 and vests in one installment on the anniversary of the grant date. Read SEC document |
| May 09, 2019 Filed May 14, 2019 01:06 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 6,000 | $2.28 Strike: $2.28 | $13,680.00 |
DisclosureSEC source: 0001716837-19-000078 · 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 · 6,000 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. F3 · 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 09, 2019 Filed May 14, 2019 01:06 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 6,000 | $2.28 Strike: $2.28 | $13,680.00 |
DisclosureSEC source: 0001716837-19-000078 · edgar.xml · derivative · entry 4 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Class A Common Stock · 6,000 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. F3 · 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 09, 2019 Filed May 14, 2019 01:06 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionStock Option (right to buy) · Derivative | 6,000 | $2.28 Strike: $2.28 | $13,680.00 |
DisclosureSEC source: 0001716837-19-000078 · edgar.xml · derivative · entry 3 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,200 Underlying: Class B Common Stock · 6,000 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: 1/48 of the Option vests in equal monthly installments one month from 5/1/2012. Read SEC document |
| May 09, 2019 Filed May 14, 2019 01:06 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 6,000 | $80.00 | $480,000.00 |
DisclosureSEC source: 0001716837-19-000078 · edgar.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 F1 · shares: Shares sold pursuant to Mr. Henrick's 10b5-1 plan. Read SEC document |
| May 09, 2019 Filed May 14, 2019 01:06 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 6,000 | $2.28 | $13,680.00 |
DisclosureSEC source: 0001716837-19-000078 · edgar.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 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 |
| March 06, 2019 Filed Mar 8, 2019 01:20 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 5,000 | $2.28 Strike: $2.28 | $11,400.00 |
DisclosureSEC source: 0001716837-19-000043 · 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 · 5,000 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. F3 · 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 |
| March 06, 2019 Filed Mar 8, 2019 01:20 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 5,000 | $2.28 Strike: $2.28 | $11,400.00 |
DisclosureSEC source: 0001716837-19-000043 · edgar.xml · derivative · entry 4 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Class A Common Stock · 5,000 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. F3 · 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 |
| March 06, 2019 Filed Mar 8, 2019 01:20 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionStock Option (right to buy) · Derivative | 5,000 | $2.28 Strike: $2.28 | $11,400.00 |
DisclosureSEC source: 0001716837-19-000043 · edgar.xml · derivative · entry 3 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,200 Underlying: Class B Common Stock · 5,000 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: Option vests equally 1/48th per month from the grant date which was 05/01/2012. Read SEC document |
| March 06, 2019 Filed Mar 8, 2019 01:20 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 5,000 | $70.01 | $350,035.50 |
DisclosureSEC source: 0001716837-19-000043 · edgar.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 F1 · shares: Shares sold pursuant to Mr. Henricks' 10b5-1 plan. F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.00 to $70.19 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities adn 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 |
| March 06, 2019 Filed Mar 8, 2019 01:20 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 5,000 | $2.28 | $11,400.00 |
DisclosureSEC source: 0001716837-19-000043 · edgar.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 21:36 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 5,000 | $2.28 Strike: $2.28 | $11,400.00 |
DisclosureSEC source: 0001716837-19-000033 · 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 · 5,000 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. F3 · 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 |
| February 25, 2019 Filed Feb 27, 2019 21:36 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 5,000 | $2.28 Strike: $2.28 | $11,400.00 |
DisclosureSEC source: 0001716837-19-000033 · edgar.xml · derivative · entry 4 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Class A Common Stock · 5,000 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. F3 · 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 |
| February 25, 2019 Filed Feb 27, 2019 21:36 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionStock Option (right to buy) · Derivative | 5,000 | $2.28 Strike: $2.28 | $11,400.00 |
DisclosureSEC source: 0001716837-19-000033 · edgar.xml · derivative · entry 3 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,200 Underlying: Common Stock · 5,000 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: Option vests equally 1/48th per month from the grant date which was 05/01/2012. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 21:36 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 5,000 | $64.83 | $324,150.00 |
DisclosureSEC source: 0001716837-19-000033 · edgar.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 F1 · price: Shares sold pursuant to Mr. Henricks' 10b5-1 plan. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 21:36 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 5,000 | $2.28 | $11,400.00 |
DisclosureSEC source: 0001716837-19-000033 · edgar.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 21, 2019 Filed Feb 21, 2019 20:50 UTC | MODEL N, INC. MODN · Entity 89480 | SaleCommon Stock | 4,081 | $17.08 | $69,703.48 |
DisclosureSEC source: 0001628280-19-001723 · wf-form4_155080020132333.xml · nonDerivative · entry 3 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,398 F1 · price: The reported price is an average price. These shares were sold in multiple transactions at prices ranging from $17.01 to $17.13, inclusive. Read SEC document |
| February 21, 2019 Filed Feb 21, 2019 20:50 UTC | MODEL N, INC. MODN · Entity 89480 | SaleCommon Stock | 4,694 | $17.08 | $80,173.52 |
DisclosureSEC source: 0001628280-19-001723 · wf-form4_155080020132333.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,479 F1 · price: The reported price is an average price. These shares were sold in multiple transactions at prices ranging from $17.01 to $17.13, inclusive. Read SEC document |
| February 21, 2019 Filed Feb 21, 2019 20:50 UTC | MODEL N, INC. MODN · Entity 89480 | SaleCommon Stock | 4,139 | $17.08 | $70,694.12 |
DisclosureSEC source: 0001628280-19-001723 · wf-form4_155080020132333.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,173 F1 · price: The reported price is an average price. These shares were sold in multiple transactions at prices ranging from $17.01 to $17.13, inclusive. Read SEC document |
| February 15, 2019 Filed Feb 15, 2019 19:47 UTC | MODEL N, INC. MODN · Entity 89480 | GrantCommon Stock | 13,534 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-001507 · wf-form4_155027804339998.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,312 F1 · shares: Issuable upon vesting of Restricted Stock Units ("RSUs"). 25% of the shares subject to this RSU grant will vest quarterly on each of May 15, 2019, August 15, 2019, November 15, 2019 and February 15, 2020, provided the Reporting Person continues to serve on the Board of Directors through the applicable vesting dates. Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 21:43 UTC | A10 Networks, Inc. ATEN · Entity 4574 | GrantCommon Stock | 23,112 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-057980 · doc4.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,093 F1 · shares: 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. Read SEC document |
| August 17, 2018 Filed Feb 27, 2019 21:35 UTC | ROKU, INC ROKU · Entity 2524 | GiftClass A Common Stock | 4,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001716837-19-000032 · edgar.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| August 10, 2018 Filed Aug 14, 2018 21:28 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 26,000 | $58.20 | $1,513,200.00 |
DisclosureSEC source: 0001716837-18-000061 · edgar.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,333 F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $58.00 to $59.00 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities adn 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 |
| May 25, 2018 Filed May 29, 2018 22:27 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 5,000 | $36.75 | $183,750.00 |
DisclosureSEC source: 0001716837-18-000032 · edgar.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,333 Read SEC document |
| May 24, 2018 Filed May 29, 2018 22:27 UTC | ROKU, INC ROKU · Entity 2524 | GrantStock Option (right to buy) · Derivative | 5,856 | $35.99 Strike: $35.99 | $210,757.44 |
DisclosureSEC source: 0001716837-18-000032 · edgar.xml · derivative · entry 4 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,856 Underlying: Common Stock · 5,856 shares Expires 2028-05-24 F3 · derivative.exercise_date: The option will vest in 12 monthly installments from grant date. Read SEC document |
| May 24, 2018 Filed May 29, 2018 22:27 UTC | ROKU, INC ROKU · Entity 2524 | GrantRestricted Stock Unit · Derivative | 2,222 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-18-000032 · edgar.xml · derivative · entry 3 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,222 Underlying: Common Stock · 2,222 shares Expires not disclosed F1 · derivative.exercise_date: All shares vest on the 12 month anniversary of the grant date. F1 · derivative.expiration_date: All shares vest on the 12 month anniversary of the grant date. Read SEC document |
| May 24, 2018 Filed May 29, 2018 22:27 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 5,000 | $35.79 | $178,955.00 |
DisclosureSEC source: 0001716837-18-000032 · edgar.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,333 F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.79 to $35.81per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities adn 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 |
| May 18, 2018 Filed May 21, 2018 21:29 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 4,667 | $35.66 | $166,423.35 |
DisclosureSEC source: 0001716837-18-000020 · edgar.xml · nonDerivative · entry 3 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,333 Read SEC document |
| May 17, 2018 Filed May 21, 2018 21:29 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 2,000 | $35.00 | $70,000.00 |
DisclosureSEC source: 0001716837-18-000020 · edgar.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,000 F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.02 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities adn 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 |
| May 15, 2018 Filed May 21, 2018 21:29 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass A Common Stock · Derivative | 50,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-18-000020 · 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 · 50,000 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. 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 3) F3 · derivative.exercise_date: (footnote 2 continued), (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. F2 · derivative.expiration_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. The Class B Common Stock will convert automatically into 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, (continued on footnote 3) F3 · derivative.expiration_date: (footnote 2 continued), (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 15, 2018 Filed May 21, 2018 21:29 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 50,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-18-000020 · edgar.xml · derivative · entry 4 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 50,000 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. 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 3) F3 · derivative.exercise_date: (footnote 2 continued), (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. F2 · derivative.expiration_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. The Class B Common Stock will convert automatically into 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, (continued on footnote 3) F3 · derivative.expiration_date: (footnote 2 continued), (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 15, 2018 Filed May 21, 2018 21:29 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001716837-18-000020 · edgar.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 18:18 UTC | MODEL N, INC. MODN · Entity 89480 | GrantCommon Stock | 9,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001667731-18-000069 · alanhenricksform420180220.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,778 F1 · shares: Issuable upon vesting of Restricted Stock Units ("RSUs"). 25% of the shares subject to this RSU grant will vest quarterly on each of May 15, 2018, August 15, 2018, November 15, 2018 and February 15, 2019, provided the Reporting Person continues to serve on the Board of Directors through the applicable vesting dates. Read SEC document |
| November 14, 2017 Filed Nov 14, 2017 19:49 UTC | MODEL N, INC. MODN · Entity 89480 | SaleCommon Stock | 3,970 | $14.43 | $57,287.10 |
DisclosureSEC source: 0000899243-17-026253 · doc4.xml · nonDerivative · entry 3 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,389 Read SEC document |
| November 13, 2017 Filed Nov 14, 2017 19:49 UTC | MODEL N, INC. MODN · Entity 89480 | SaleCommon Stock | 4,775 | $14.48 | $69,142.00 |
DisclosureSEC source: 0000899243-17-026253 · doc4.xml · nonDerivative · entry 2 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,359 Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 19:49 UTC | MODEL N, INC. MODN · Entity 89480 | SaleCommon Stock | 4,730 | $14.59 | $69,010.70 |
DisclosureSEC source: 0000899243-17-026253 · doc4.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,134 Read SEC document |
| October 31, 2017 Filed Nov 1, 2017 23:29 UTC | A10 Networks, Inc. ATEN · Entity 4574 | SaleCommon Stock | 22,590 | $7.34 | $165,742.83 |
DisclosureSEC source: 0001209191-17-058688 · doc4.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,981 F1 · price: This is the weighted average price of the shares sold, which ranged from $7.32 to $7.355 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 20:03 UTC | A10 Networks, Inc. ATEN · Entity 4574 | SaleCommon Stock | 10,000 | $6.40 | $63,980.00 |
DisclosureSEC source: 0001209191-17-048943 · doc4.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,571 F1 · price: This is the weighted average price of the shares sold, which ranged from $6.39 to $6.415 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 20:14 UTC | A10 Networks, Inc. ATEN · Entity 4574 | GrantCommon Stock | 18,359 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-037213 · doc4.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,571 F1 · shares: 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. Read SEC document |
| February 17, 2017 Filed Feb 17, 2017 18:40 UTC | MODEL N, INC. MODN · Entity 89480 | GrantCommon Stock | 16,553 | $0.00 | $0.00 |
DisclosureSEC source: 0001667731-17-000068 · henricks20170217.xml · nonDerivative · entry 1 Henricks Alan S. · CIK 0001513957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,864 F1 · shares: Issuable upon vesting of Restricted Stock Units ("RSUs"). 25% of the shares subject to this RSU grant will vest quarterly on each of May 15, 2017, August 15, 2017, November 15, 2017 and February 15, 2018, provided the Reporting Person continues to serve on the Board of Directors through the applicable vesting dates. 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.