Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Clearfield, Inc.CLFD · Entity 5688 | Chief Financial Officer | June 30, 2026 | July 02, 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.
Clearfield, Inc.
Report date June 30, 2026 · Filed July 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock (ESPP)SEC Table I · non-derivative | Direct | 85,834 |
Reported balance
After 2026-06-30 transaction · row 1
1 source rowRow 1 · 2026-06-30 · Grant · Acquired 752 · Balance 85,834 F1: Purchase of Common Shares through Employee Stock Purchase Plan for the period January 1 - June 30, 2026. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on December 31, 2025. |
Filing footnotes · ownership attribution and instrument terms
F1: Purchase of Common Shares through Employee Stock Purchase Plan for the period January 1 - June 30, 2026. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on December 31, 2025.
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 |
|---|---|---|---|---|---|---|
| August 21, 2021 Filed Aug 23, 2021 20:46 UTC | Clearfield, Inc. CLFD · Entity 5688 | Tax withholdingCommon Stock | 727 | $42.78 | $31,101.06 |
DisclosureSEC source: 0000796505-21-000023 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,029 F1 · kind: Payment of taxes by withholding shares on vesting the seventh 10% of restricted stock that was granted on August 21, 2014. F2 · balance_after: Since the last ownership report, shares beneficially owned by the reporting person reflects the exempt transfer under section 16 of 94 shares pursuant to an agreement dated May 19, 2017. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 21:01 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantCommon Stock (ESPP) | 114 | $21.01 | $2,395.14 |
DisclosureSEC source: 0000796505-21-000019 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,850 F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for the period January 1-June 30, 2021. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on January 1, 2021. Read SEC document |
| December 31, 2020 Filed Jan 4, 2021 21:45 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantCommon Stock (ESPP) | 190 | $11.93 | $2,266.70 |
DisclosureSEC source: 0000796505-21-000001 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,736 F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for the period July 1-December 31, 2020. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on July 1, 2020. Read SEC document |
| November 27, 2020 Filed Nov 30, 2020 22:20 UTC | Clearfield, Inc. CLFD · Entity 5688 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 14,000 | $0.00 Strike: $12.17 | $0.00 |
DisclosureSEC source: 0000796505-20-000031 · primary_doc.xml · derivative · entry 5 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,795 Underlying: Common Stock · 14,000 shares Expires 2022-11-14 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: The stock option exercised vested in 1/3rd increments beginning 11/14/2019 through 11/14/2020. Read SEC document |
| November 27, 2020 Filed Nov 30, 2020 22:20 UTC | Clearfield, Inc. CLFD · Entity 5688 | Tax withholdingCommon Stock | 9,995 | $23.33 | $233,183.35 |
DisclosureSEC source: 0000796505-20-000031 · primary_doc.xml · nonDerivative · entry 4 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,546 Read SEC document |
| November 27, 2020 Filed Nov 30, 2020 22:20 UTC | Clearfield, Inc. CLFD · Entity 5688 | Exercise / conversionCommon Stock | 14,000 | $12.17 | $170,380.00 |
DisclosureSEC source: 0000796505-20-000031 · primary_doc.xml · nonDerivative · entry 3 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,541 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 27, 2020 Filed Nov 30, 2020 22:20 UTC | Clearfield, Inc. CLFD · Entity 5688 | SaleCommon Stock | 2,000 | $23.08 | $46,160.00 |
DisclosureSEC source: 0000796505-20-000031 · primary_doc.xml · nonDerivative · entry 2 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,541 F2 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.00 to $23.16. Read SEC document |
| November 25, 2020 Filed Nov 30, 2020 22:20 UTC | Clearfield, Inc. CLFD · Entity 5688 | SaleCommon Stock | 5,000 | $23.51 | $117,550.00 |
DisclosureSEC source: 0000796505-20-000031 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,541 F1 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.48 to $23.57. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:32 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantOption to Purchase Common Stock · Derivative | 11,795 | $0.00 Strike: $23.74 | $0.00 |
DisclosureSEC source: 0000796505-20-000029 · primary_doc.xml · derivative · entry 2 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,795 Underlying: Common Stock · 11,795 shares Expires 2025-11-16 F2 · derivative.exercise_date: The stock option vests as to one-third of the options on the first three anniversaries of the date of grant subject to the reporting person's continued employment through each such date. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:32 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantRestricted Stock | 2,022 | $0.00 | $0.00 |
DisclosureSEC source: 0000796505-20-000029 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,541 F1 · security: The restricted stock vests as to one-third of the shares on the first three anniversaries of the date of grant subject to the reporting person's continued employment through each such date. Read SEC document |
| August 21, 2020 Filed Aug 25, 2020 18:21 UTC | Clearfield, Inc. CLFD · Entity 5688 | Tax withholdingCommon Stock | 724 | $17.80 | $12,887.20 |
DisclosureSEC source: 0000796505-20-000019 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,519 F1 · kind: Payment of taxes by withholding shares on vesting the sixth 10% of restricted stock that was granted on August 21, 2014. F2 · balance_after: Since the last ownership report, shares beneficially owned by the reporting person reflects the exempt transfer under section 16 of 110 shares pursuant to an agreement dated May 19, 2017. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 20:50 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantCommon Stock (ESPP) | 205 | $11.85 | $2,429.25 |
DisclosureSEC source: 0000796505-20-000014 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,353 F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for the period January 1-June 30, 2020. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on December 31, 2019. Read SEC document |
| December 31, 2019 Filed Jan 3, 2020 16:27 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantCommon Stock (ESPP) | 277 | $11.23 | $3,110.71 |
DisclosureSEC source: 0000796505-20-000003 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,148 F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for period July 1- December 31, 2019. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on July 1, 2019. Read SEC document |
| November 13, 2019 Filed Nov 15, 2019 20:53 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantOption to purchase common stock · Derivative | 12,000 | $0.00 Strike: $12.43 | $0.00 |
DisclosureSEC source: 0000796505-19-000023 · primary_doc.xml · derivative · entry 2 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 Underlying: Common Stock · 12,000 shares Expires 2025-11-13 F1 · derivative.exercise_date: The stock option vests as to one-fifth of the options on the first five anniversaries of the date of grant subject to the reporting person's continued employment through each such date. Read SEC document |
| August 21, 2019 Filed Aug 23, 2019 18:05 UTC | Clearfield, Inc. CLFD · Entity 5688 | Tax withholdingCommon Stock | 728 | $11.55 | $8,408.40 |
DisclosureSEC source: 0000796505-19-000017 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,002 F1 · kind: Payment of tax by withholding shares on vesting the fifth 10% of restricted stock that was granted on August 21, 2014. F2 · balance_after: Since the last ownership report, shares beneficially owned by the reporting person reflects the exempt transfer under Section 16 of 131 shares pursuant to an agreement dated May 19, 2017 Read SEC document |
| June 30, 2019 Filed Jul 2, 2019 21:09 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantCommon Stock (ESPP) | 522 | $8.43 | $4,400.46 |
DisclosureSEC source: 0000796505-19-000012 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,730 F1 · shares: (1) Purchase of Common Shares through Employee Stock Purchase Plan for period January 1-June 30, 2019. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on December 31, 2018. Read SEC document |
| May 26, 2019 Filed May 29, 2019 20:04 UTC | Clearfield, Inc. CLFD · Entity 5688 | Tax withholdingCommon Stock | 2,228 | $14.19 | $31,615.32 |
DisclosureSEC source: 0000796505-19-000009 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,208 F1 · kind: Payment of tax by withholding shares on the final 1/3 vesting of restricted stock that was granted on 5/26/16. Read SEC document |
| December 31, 2018 Filed Jan 3, 2019 23:13 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantCommon Stock (ESPP) | 119 | $8.43 | $1,003.17 |
DisclosureSEC source: 0000796505-19-000001 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,436 F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for period July 1-December 31, 2018. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on December 31, 2018. Read SEC document |
| November 14, 2018 Filed Nov 16, 2018 19:54 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantOption to Purchase Common Stock · Derivative | 24,000 | $0.00 Strike: $12.17 | $0.00 |
DisclosureSEC source: 0000796505-18-000022 · primary_doc.xml · derivative · entry 2 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 Underlying: Common Stock · 24,000 shares Expires 2022-11-14 F1 · derivative.exercise_date: The stock option vests as to one-third of the options on the first three anniversaries of the date of grant subject to the reporting person's continued employment through each such date. Read SEC document |
| August 21, 2018 Filed Aug 23, 2018 21:01 UTC | Clearfield, Inc. CLFD · Entity 5688 | Tax withholdingCommon Stock | 729 | $13.03 | $9,498.87 |
DisclosureSEC source: 0000796505-18-000019 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,317 F1 · kind: Payment of tax by withholding shares on vesting the fourth 10% of restricted stock that was granted on August 21, 2014. F2 · balance_after: Since the last ownership report, shares beneficially owned by the reporting person reflects the exempt transfer under Section 16 of 163 shares pursuant to an agreement dated May 19, 2017. Read SEC document |
| June 30, 2018 Filed Jul 2, 2018 21:40 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantCommon Stock (ESPP) | 106 | $9.39 | $995.34 |
DisclosureSEC source: 0000796505-18-000016 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,209 F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for period January 1-June 30, 2018. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on June 30, 2018. Read SEC document |
| May 26, 2018 Filed May 30, 2018 15:49 UTC | Clearfield, Inc. CLFD · Entity 5688 | Tax withholdingCommon Stock | 2,175 | $11.10 | $24,142.50 |
DisclosureSEC source: 0000796505-18-000013 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,103 F1 · kind: Payment of tax by withholding shares on vesting the second 1/3 of restricted stock that was granted on May 26, 2016. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 19:46 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantCommon Stock (ESPP) | 97 | $10.41 | $1,009.77 |
DisclosureSEC source: 0000796505-18-000001 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,278 F1 · shares: Purchase of Common Shares through Employee Stock Purchase Plan for period July 1-December 31, 2017. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on December 31, 2017. Read SEC document |
| August 23, 2017 Filed Aug 24, 2017 20:46 UTC | Clearfield, Inc. CLFD · Entity 5688 | Tax withholdingCommon Stock | 3,108 | $11.58 | $35,990.64 |
DisclosureSEC source: 0000796505-17-000026 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,181 F1 · kind: Payment of tax by withholding shares on vesting of fifth and final 20% of restricted stock that was granted on August 23, 2012. F2 · balance_after: Since the last ownership report, shares beneficially owned by the reporting person reflects the exempt transfer under Section 16 of 1,067 shares pursuant to an agreement dated May 19, 2017. Read SEC document |
| August 21, 2017 Filed Aug 23, 2017 19:00 UTC | Clearfield, Inc. CLFD · Entity 5688 | Tax withholdingCommon Stock | 777 | $13.60 | $10,567.20 |
DisclosureSEC source: 0000796505-17-000023 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,356 F1 · kind: Payment of tax by withholding shares on vesting the third 10% of restricted stock that was granted on August 21, 2014. F2 · balance_after: Since the last ownership report, shares beneficially owned by the reporting person reflects the exempt transfer under Section 16 of 204 shares pursuant to an agreement dated May 19, 2017. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 21:53 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantCommon Stock (ESPP) | 89 | $11.22 | $998.58 |
DisclosureSEC source: 0000796505-17-000018 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,867 F1 · shares: Purchase of Common Stock through Employee Stock Purchase Plan for period January 1-June 30, 2017. In accordance with the ESPP, these shares were based on 85% of the closing price on June 30, 2017. Read SEC document |
| May 26, 2017 Filed May 31, 2017 21:12 UTC | Clearfield, Inc. CLFD · Entity 5688 | Tax withholdingCommon Stock | 2,061 | $13.88 | $28,606.68 |
DisclosureSEC source: 0000796505-17-000015 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,778 F1 · kind: Payment of tax by withholding shares on vesting the first 1/3 of restricted stock that was granted on May 26, 2016. F2 · balance_after: Since the last ownership report, shares beneficially owned by the reporting person reflects the exempt transfer under Section 16 of 17,523 shares pursuant to an agreement dated May 19, 2017. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 22:21 UTC | Clearfield, Inc. CLFD · Entity 5688 | GrantCommon Stock (ESPP) | 69 | $15.21 | $1,049.49 |
DisclosureSEC source: 0000796505-17-000001 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,362 F1 · shares: Purchase of Common Stock through Employee Stock Purchase Plan for period July 1-December 31, 2016. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on July 1, 2016. Read SEC document |
| November 22, 2016 Filed Nov 22, 2016 23:15 UTC | Clearfield, Inc. CLFD · Entity 5688 | SaleCommon Stock | 10,608 | $18.88 | $200,279.04 |
DisclosureSEC source: 0000796505-16-000065 · primary_doc.xml · nonDerivative · entry 4 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,293 F1 · shares: Shares sold for tax purposes as a result of multiple incentive stock options exercised in 2016. F3 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.82 to $19.50. Read SEC document |
| November 21, 2016 Filed Nov 22, 2016 23:15 UTC | Clearfield, Inc. CLFD · Entity 5688 | SaleCommon Stock | 14,392 | $19.61 | $282,227.12 |
DisclosureSEC source: 0000796505-16-000065 · primary_doc.xml · nonDerivative · entry 3 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,901 F1 · shares: Shares sold for tax purposes as a result of multiple incentive stock options exercised in 2016. F2 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.55 to $19.75. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 23:15 UTC | Clearfield, Inc. CLFD · Entity 5688 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $3.30 | $0.00 |
DisclosureSEC source: 0000796505-16-000065 · primary_doc.xml · derivative · entry 5 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2016-11-20 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. F4 · derivative.exercise_date: The stock option exercised vested in 33 1/3% increments beginning 11/20/2010 through 11/20/2012. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 23:15 UTC | Clearfield, Inc. CLFD · Entity 5688 | Tax withholdingCommon Stock | 1,717 | $19.21 | $32,983.57 |
DisclosureSEC source: 0000796505-16-000065 · primary_doc.xml · nonDerivative · entry 2 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,293 Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 23:15 UTC | Clearfield, Inc. CLFD · Entity 5688 | Exercise / conversionCommon Stock | 10,000 | $3.30 | $33,000.00 |
DisclosureSEC source: 0000796505-16-000065 · primary_doc.xml · nonDerivative · entry 1 HERZOG DANIEL R · CIK 0001262286 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,010 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.