Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Nuo Therapeutics, Inc.NONE · Entity 7149 | Director | January 09, 2017 | January 12, 2017 |
| Shimmick CorpSHIM · Entity 622 | Director | June 02, 2026 | June 04, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Nuo Therapeutics, Inc.
Report date January 09, 2017 · Filed January 12, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2026-07-01 | Direct | 40,000 |
Reported balance
After 2017-01-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-01-09 · Grant · Acquired 40,000 · Balance 40,000 F1: The grant of these options was approved by the issuer's board of directors on July 1, 2016, subject to stockholder approval of the 2016 Omnibus Incentive Compensation Plan under which the options were granted. Stockholder approval was obtained by means of a written consent and the issuer filed a related Information Statement on Schedule 14C with the SEC on November 25, 2016. The stockholder approval became effective on January 9, 2017. F2: Of these options, 15,000 vested immediately, and 25,000 vested on 1/1/17. |
Filing footnotes · ownership attribution and instrument terms
F1: The grant of these options was approved by the issuer's board of directors on July 1, 2016, subject to stockholder approval of the 2016 Omnibus Incentive Compensation Plan under which the options were granted. Stockholder approval was obtained by means of a written consent and the issuer filed a related Information Statement on Schedule 14C with the SEC on November 25, 2016. The stockholder approval became effective on January 9, 2017.
F2: Of these options, 15,000 vested immediately, and 25,000 vested on 1/1/17.
Shimmick Corp
Report date June 02, 2026 · Filed June 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 224,576 |
Reported balance
After 2026-06-02 transaction · row 1
1 source rowRow 1 · 2026-06-02 · Exercise / conversion · Acquired 100,671 · Balance 224,576 F1: RSUs convert into common stock on a one-for-one basis. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 44,000 |
Reported balance
After 2026-06-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-02 · Grant · Acquired 44,000 · Balance 44,000 F1: RSUs convert into common stock on a one-for-one basis. F2: The RSUs will vest in full and settle into shares of common stock on the date of the next annual meeting of the Issuer's stockholders, subject to Reporting Perons's continued service through such date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-06-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-06-02 · Exercise / conversion · Disposed 100,671 · Balance 0 F1: RSUs convert into common stock on a one-for-one basis. F3: On June 4, 2025, the Reporting Person was granted 100,671 RSUs, vesting and settling upon the date of next annual meeting of the Issuer's stockholders, subject to Reporting Person's continued service through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: RSUs convert into common stock on a one-for-one basis.
F2: The RSUs will vest in full and settle into shares of common stock on the date of the next annual meeting of the Issuer's stockholders, subject to Reporting Perons's continued service through such date.
F3: On June 4, 2025, the Reporting Person was granted 100,671 RSUs, vesting and settling upon the date of next annual meeting of the Issuer's stockholders, subject to Reporting Person's continued service through such date.
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 |
|---|---|---|---|---|---|---|
| June 02, 2026 Filed Jun 4, 2026 20:05 UTC | Shimmick Corp SHIM · Entity 622 | Exercise / conversionRestricted Stock Units · Derivative | 100,671 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-257372 · ownership.xml · derivative · entry 3 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 100,671 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: RSUs convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On June 4, 2025, the Reporting Person was granted 100,671 RSUs, vesting and settling upon the date of next annual meeting of the Issuer's stockholders, subject to Reporting Person's continued service through such date. F3 · derivative.expiration_date: On June 4, 2025, the Reporting Person was granted 100,671 RSUs, vesting and settling upon the date of next annual meeting of the Issuer's stockholders, subject to Reporting Person's continued service through such date. Read SEC document |
| June 02, 2026 Filed Jun 4, 2026 20:05 UTC | Shimmick Corp SHIM · Entity 622 | GrantRestricted Stock Units · Derivative | 44,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-257372 · ownership.xml · derivative · entry 2 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 44,000 Underlying: Common Stock, par value $0.01 per share · 44,000 shares Expires not disclosed F1 · derivative.exercise_price: RSUs convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The RSUs will vest in full and settle into shares of common stock on the date of the next annual meeting of the Issuer's stockholders, subject to Reporting Perons's continued service through such date. F2 · derivative.expiration_date: The RSUs will vest in full and settle into shares of common stock on the date of the next annual meeting of the Issuer's stockholders, subject to Reporting Perons's continued service through such date. Read SEC document |
| June 02, 2026 Filed Jun 4, 2026 20:05 UTC | Shimmick Corp SHIM · Entity 622 | Exercise / conversionCommon Stock, par value $0.01 per share | 100,671 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193125-26-257372 · ownership.xml · nonDerivative · entry 1 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 224,576 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: RSUs convert into common stock on a one-for-one basis. Read SEC document |
| June 04, 2025 Filed Jun 5, 2025 20:55 UTC | Shimmick Corp SHIM · Entity 622 | Exercise / conversionRestricted Stock Units · Derivative | 84,269 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-082451 · ownership.xml · derivative · entry 3 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 84,269 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: RSUs convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On June 6, 2024, the Reporting Person was granted 84,269 RSUs, vesting and settling upon the date of next annual meeting of the Issuer's stockholders, subject to Reporting Person's continued service through such date. F3 · derivative.expiration_date: On June 6, 2024, the Reporting Person was granted 84,269 RSUs, vesting and settling upon the date of next annual meeting of the Issuer's stockholders, subject to Reporting Person's continued service through such date. Read SEC document |
| June 04, 2025 Filed Jun 5, 2025 20:55 UTC | Shimmick Corp SHIM · Entity 622 | GrantRestricted Stock Units · Derivative | 100,671 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-082451 · ownership.xml · derivative · entry 2 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,671 Underlying: Common Stock, par value $0.01 per share · 100,671 shares Expires not disclosed F1 · derivative.exercise_price: RSUs convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The RSUs will vest in full and settle into shares of common stock on the date of the next annual meeting of the Issuer's stockholders, subject to Reporting Perons's continued service through such date. F2 · derivative.expiration_date: The RSUs will vest in full and settle into shares of common stock on the date of the next annual meeting of the Issuer's stockholders, subject to Reporting Perons's continued service through such date. Read SEC document |
| June 04, 2025 Filed Jun 5, 2025 20:55 UTC | Shimmick Corp SHIM · Entity 622 | Exercise / conversionCommon Stock, par value $0.01 per share | 84,269 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-082451 · ownership.xml · nonDerivative · entry 1 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 123,905 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: RSUs convert into common stock on a one-for-one basis. Read SEC document |
| July 03, 2024 Filed Jul 3, 2024 20:57 UTC | Shimmick Corp SHIM · Entity 622 | Exercise / conversionRestricted Stock Units · Derivative | 15,127 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-081598 · ownership.xml · derivative · entry 3 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,127 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: RSUs convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The RSUs vested in full and settled into shares of common stock immediately upon grant on July 3, 2024. F2 · derivative.expiration_date: The RSUs vested in full and settled into shares of common stock immediately upon grant on July 3, 2024. Read SEC document |
| July 03, 2024 Filed Jul 3, 2024 20:57 UTC | Shimmick Corp SHIM · Entity 622 | GrantRestricted Stock Units · Derivative | 15,127 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-081598 · ownership.xml · derivative · entry 2 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,127 Underlying: Common Stock · 15,127 shares Expires not disclosed F1 · derivative.exercise_price: RSUs convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The RSUs vested in full and settled into shares of common stock immediately upon grant on July 3, 2024. F2 · derivative.expiration_date: The RSUs vested in full and settled into shares of common stock immediately upon grant on July 3, 2024. Read SEC document |
| July 03, 2024 Filed Jul 3, 2024 20:57 UTC | Shimmick Corp SHIM · Entity 622 | Exercise / conversionCommon Stock | 15,127 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-081598 · ownership.xml · nonDerivative · entry 1 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,636 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: RSUs convert into common stock on a one-for-one basis. Read SEC document |
| June 14, 2024 Filed Jun 18, 2024 22:37 UTC | Shimmick Corp SHIM · Entity 622 | Exercise / conversionRestricted Stock Units · Derivative | 24,509 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-075109 · ownership.xml · derivative · entry 3 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 24,509 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: RSUs convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On December 14, 2023, the Reporting Person was granted 24,509 RSUs, vesting and settling upon the later of (i) June 14, 2024 or (ii) the date of next annual meeting of the Issuer's stockholders, in each case subject to Reporting Person's continued service through such date. F3 · derivative.expiration_date: On December 14, 2023, the Reporting Person was granted 24,509 RSUs, vesting and settling upon the later of (i) June 14, 2024 or (ii) the date of next annual meeting of the Issuer's stockholders, in each case subject to Reporting Person's continued service through such date. Read SEC document |
| June 14, 2024 Filed Jun 18, 2024 22:37 UTC | Shimmick Corp SHIM · Entity 622 | Exercise / conversionCommon Stock | 24,509 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-075109 · ownership.xml · nonDerivative · entry 1 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,509 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: RSUs convert into common stock on a one-for-one basis. Read SEC document |
| June 06, 2024 Filed Jun 18, 2024 22:37 UTC | Shimmick Corp SHIM · Entity 622 | GrantRestricted Stock Units · Derivative | 84,269 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-075109 · ownership.xml · derivative · entry 2 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 84,269 Underlying: Common Stock · 84,269 shares Expires not disclosed F1 · derivative.exercise_price: RSUs convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The RSUs will vest in full and settle into shares of common stock on the date of the next annual meeting of the Issuer's stockholders, subject to Reporting Perons's continued service through such date. F2 · derivative.expiration_date: The RSUs will vest in full and settle into shares of common stock on the date of the next annual meeting of the Issuer's stockholders, subject to Reporting Perons's continued service through such date. Read SEC document |
| December 14, 2023 Filed Dec 15, 2023 21:05 UTC | Shimmick Corp SHIM · Entity 622 | GrantRestricted Stock Units · Derivative | 24,509 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-23-070722 · ownership.xml · derivative · entry 1 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,509 Underlying: Common Stock · 24,509 shares Expires not disclosed F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The RSUs will vest in full and settle into shares of common stock on the later of (i) June 14, 2024 or (ii) the date of next annual meeting of the Issuer's stockholders, subject to Reporting Person's continued service through such date. F2 · derivative.expiration_date: The RSUs will vest in full and settle into shares of common stock on the later of (i) June 14, 2024 or (ii) the date of next annual meeting of the Issuer's stockholders, subject to Reporting Person's continued service through such date. Read SEC document |
| January 09, 2017 Filed Jan 12, 2017 01:17 UTC | Nuo Therapeutics, Inc. NONE · Entity 7149 | GrantOption to purchase Common Stock · Derivative | 40,000 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001144204-17-001879 · v456636_4.xml · derivative · entry 1 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2026-07-01 F1 · date: The grant of these options was approved by the issuer's board of directors on July 1, 2016, subject to stockholder approval of the 2016 Omnibus Incentive Compensation Plan under which the options were granted. Stockholder approval was obtained by means of a written consent and the issuer filed a related Information Statement on Schedule 14C with the SEC on November 25, 2016. The stockholder approval became effective on January 9, 2017. F2 · derivative.exercise_date: Of these options, 15,000 vested immediately, and 25,000 vested on 1/1/17. Read SEC document |
| May 05, 2016 Filed Oct 7, 2016 20:48 UTC | Nuo Therapeutics, Inc. NONE · Entity 7149 | OtherCommon Stock, par value $0.0001 per share | 27,859 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-16-127402 · v450247_4.xml · nonDerivative · entry 1 DEL GUERCIO JOSEPH · CIK 0001542363 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 305,160 F1 · date: The shares of Common Stock, par value $0.0001 per share (the "New Shares"), of Nuo Therapeutics, Inc. (the "Issuer") were issued to Aldagen Holdings, LLC ("Aldagen") as of May 5, 2016 pursuant to the Issuer's plan of reorganization (the "Plan of Reorganization") in exchange for equity interests of the Issuer held by Aldagen on the record date under the Plan of Reorganization (the "Old Common Stock"), then distributed to CNF Investments II, LLC ("CNF"), a member of Aldagen, on September 30, 2016 as part of a pro-rata distribution to Aldagen's members in accordance with Aldagen's operating agreement. F1 · kind: The shares of Common Stock, par value $0.0001 per share (the "New Shares"), of Nuo Therapeutics, Inc. (the "Issuer") were issued to Aldagen Holdings, LLC ("Aldagen") as of May 5, 2016 pursuant to the Issuer's plan of reorganization (the "Plan of Reorganization") in exchange for equity interests of the Issuer held by Aldagen on the record date under the Plan of Reorganization (the "Old Common Stock"), then distributed to CNF Investments II, LLC ("CNF"), a member of Aldagen, on September 30, 2016 as part of a pro-rata distribution to Aldagen's members in accordance with Aldagen's operating agreement. F2 · price: Under the Plan of Reorganization, Aldagen received one New Share for every 41.89 shares of Old Common Stock held by it on the record date. No consideration was paid for the subsequent distribution by Aldagen to its members. F3 · ownership.nature: All shares are owned directly by CNF. The individual managing members (collectively, the "CNF Member Managers") of CNF are Joseph Del Guercio and Robert J. Flanagan. CNF and the CNF Member Managers may share voting and dispositive power over the shares directly held by CNF. Mr. Del Guercio is Managing Director of CNF. He disclaims beneficial ownership of such securities and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. 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.