Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Atmus Filtration Technologies Inc.ATMU · Entity 4079 | Director | May 25, 2023 | May 25, 2023 |
| CUMMINS INCCMI · Entity 2961 | VP - Chief Administrative Off. | May 15, 2025 | May 16, 2025 |
| Howmet Aerospace Inc.HWM · Entity 2911 | Director | May 21, 2026 | May 27, 2026 |
| WALKER INNOVATION INC.WLKR · Entity 163734 | Director | March 20, 2017 | March 22, 2017 |
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.
Atmus Filtration Technologies Inc.
Report date May 25, 2023 · Filed May 25, 2023
This filing explicitly reported no securities owned.
CUMMINS INC
Report date May 15, 2025 · Filed May 16, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 24,589 |
Ending reported balance
After 2025-05-15 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2025-05-15 · Gift · Disposed 75 · Balance 25,039 F1: On May 15, 2025, the reporting person made a charitable gift of 75 shares F2: Bona Fide Gift. No compensation was given to the donor for the gifting of shares. Row 2 · 2025-05-15 · Gift · Disposed 450 · Balance 24,589 F3: On May 15, 2025, the reporting person made a charitable gift of 450 shares F2: Bona Fide Gift. No compensation was given to the donor for the gifting of shares. |
Filing footnotes · ownership attribution and instrument terms
F1: On May 15, 2025, the reporting person made a charitable gift of 75 shares
F2: Bona Fide Gift. No compensation was given to the donor for the gifting of shares.
F3: On May 15, 2025, the reporting person made a charitable gift of 450 shares
Howmet Aerospace Inc.
Report date May 21, 2026 · Filed May 27, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 16,582 |
Reported balance
After 2026-05-21 transaction · row 1
1 source rowRow 1 · 2026-05-21 · Grant · Acquired 731 · Balance 16,582 |
WALKER INNOVATION INC.
Report date March 20, 2017 · Filed March 22, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.05 · Expires 2023-11-15 | Direct | 0 |
Reported balance
After 2013-11-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2013-11-15 · Disposition to issuer · Disposed 50,000 · Balance 0 F1: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person November 15, 2013. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4. F2: Stock option granted pursuant to Amended and Restated 2006 Long-Term Incentive Plan in respect of 16,666 Shares exercisable from and after November 15, 2014; 16,667 Shares exercisable from and after November 15, 2015; and 16,667 Shares exercisable from and after November 15, 2016. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.43 · Expires 2023-11-15 | Direct | 50,000 |
Reported balance
After 2017-03-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-03-20 · Grant · Acquired 50,000 · Balance 50,000 F1: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person November 15, 2013. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4. F2: Stock option granted pursuant to Amended and Restated 2006 Long-Term Incentive Plan in respect of 16,666 Shares exercisable from and after November 15, 2014; 16,667 Shares exercisable from and after November 15, 2015; and 16,667 Shares exercisable from and after November 15, 2016. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.40 · Expires 2025-05-15 | Direct | 0 |
Reported balance
After 2015-05-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2015-05-15 · Disposition to issuer · Disposed 25,000 · Balance 0 F3: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person May 15, 2015. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4. F4: Stock option grant pursuant the Walker Innovation Inc. (formerly known as Patent Properties, Inc.) 2015 Long-term Incentive Plan in respect of 8,333 Shares exercisable from and after May 15, 2016; 8,333 shares from and after May 15, 2017; and 8,334 Shares from and after May 15, 2018. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.43 · Expires 2025-05-15 | Direct | 25,000 |
Reported balance
After 2017-03-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-03-20 · Grant · Acquired 25,000 · Balance 25,000 F3: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person May 15, 2015. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4. F4: Stock option grant pursuant the Walker Innovation Inc. (formerly known as Patent Properties, Inc.) 2015 Long-term Incentive Plan in respect of 8,333 Shares exercisable from and after May 15, 2016; 8,333 shares from and after May 15, 2017; and 8,334 Shares from and after May 15, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person November 15, 2013. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4.
F2: Stock option granted pursuant to Amended and Restated 2006 Long-Term Incentive Plan in respect of 16,666 Shares exercisable from and after November 15, 2014; 16,667 Shares exercisable from and after November 15, 2015; and 16,667 Shares exercisable from and after November 15, 2016.
F3: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person May 15, 2015. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4.
F4: Stock option grant pursuant the Walker Innovation Inc. (formerly known as Patent Properties, Inc.) 2015 Long-term Incentive Plan in respect of 8,333 Shares exercisable from and after May 15, 2016; 8,333 shares from and after May 15, 2017; and 8,334 Shares from and after May 15, 2018.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 10, 2021 Filed Nov 12, 2021 19:32 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionStock Option (Right-to-Buy) · Derivative | 6,680 | $0.00 Strike: $111.84 | $0.00 |
DisclosureSEC source: 0001225208-21-013827 · doc4.xml · derivative · entry 10 Barner Sharon R · CIK 0001541520 · VP - Chief Administrative Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,680 shares Expires 2023-04-02 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 10, 2021 Filed Nov 12, 2021 19:32 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionStock Option (Right-to-Buy) · Derivative | 4,410 | $0.00 Strike: $120.28 | $0.00 |
DisclosureSEC source: 0001225208-21-013827 · doc4.xml · derivative · entry 9 Barner Sharon R · CIK 0001541520 · VP - Chief Administrative Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,410 shares Expires 2022-04-02 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 10, 2021 Filed Nov 12, 2021 19:32 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 13,700 | $238.05 | $3,261,289.11 |
DisclosureSEC source: 0001225208-21-013827 · doc4.xml · nonDerivative · entry 7 Barner Sharon R · CIK 0001541520 · VP - Chief Administrative Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,226 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $237.9500 - $238.3100. The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated. Read SEC document |
| November 10, 2021 Filed Nov 12, 2021 19:32 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 10,390 | $237.70 | $2,469,730.01 |
DisclosureSEC source: 0001225208-21-013827 · doc4.xml · nonDerivative · entry 6 Barner Sharon R · CIK 0001541520 · VP - Chief Administrative Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,926 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $237.2066 - $238.2050. The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated. Read SEC document |
| November 10, 2021 Filed Nov 12, 2021 19:32 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 700 | $238.33 | $166,831.49 |
DisclosureSEC source: 0001225208-21-013827 · doc4.xml · nonDerivative · entry 5 Barner Sharon R · CIK 0001541520 · VP - Chief Administrative Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,316 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $238.2850 - $239.4100. The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated. Read SEC document |
| November 10, 2021 Filed Nov 12, 2021 19:32 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionCommon | 4,410 | $120.28 | $530,434.80 |
DisclosureSEC source: 0001225208-21-013827 · doc4.xml · nonDerivative · entry 4 Barner Sharon R · CIK 0001541520 · VP - Chief Administrative Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,016 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 10, 2021 Filed Nov 12, 2021 19:32 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionCommon | 5,700 | $149.34 | $851,238.00 |
DisclosureSEC source: 0001225208-21-013827 · doc4.xml · nonDerivative · entry 3 Barner Sharon R · CIK 0001541520 · VP - Chief Administrative Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,606 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 10, 2021 Filed Nov 12, 2021 19:32 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionCommon | 6,680 | $111.84 | $747,091.20 |
DisclosureSEC source: 0001225208-21-013827 · doc4.xml · nonDerivative · entry 2 Barner Sharon R · CIK 0001541520 · VP - Chief Administrative Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,906 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 10, 2021 Filed Nov 12, 2021 19:32 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionCommon | 8,040 | $136.82 | $1,100,032.80 |
DisclosureSEC source: 0001225208-21-013827 · doc4.xml · nonDerivative · entry 1 Barner Sharon R · CIK 0001541520 · VP - Chief Administrative Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,226 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 27, 2021 Filed Jun 1, 2021 23:28 UTC | Howmet Aerospace Inc. HWM · Entity 2911 | GrantCommon Stock | 4,228 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-075239 · tm2118198-3_4seq1.xml · nonDerivative · entry 1 Barner Sharon R · CIK 0001541520 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,210 Read SEC document |
| April 08, 2021 Filed Apr 9, 2021 20:17 UTC | Howmet Aerospace Inc. HWM · Entity 2911 | GrantCommon Stock | 982 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-048719 · tm2112649-1_4seq1.xml · nonDerivative · entry 1 Barner Sharon R · CIK 0001541520 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 982 Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 17:32 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 873 | $262.98 | $229,581.54 |
DisclosureSEC source: 0001225208-21-004418 · doc4.xml · nonDerivative · entry 2 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,186 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 17:32 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 3,024 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-004418 · doc4.xml · nonDerivative · entry 1 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,059 Read SEC document |
| April 06, 2020 Filed Apr 8, 2020 15:21 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 15,990 | $0.00 Strike: $142.12 | $0.00 |
DisclosureSEC source: 0001225208-20-006248 · doc4.xml · derivative · entry 2 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,990 Underlying: Common · 15,990 shares Expires 2030-04-06 Read SEC document |
| March 01, 2020 Filed Mar 3, 2020 19:10 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 1,724 | $151.29 | $260,823.96 |
DisclosureSEC source: 0001225208-20-004074 · doc4.xml · nonDerivative · entry 2 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,035 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 01, 2020 Filed Mar 3, 2020 19:10 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 5,980 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-004074 · doc4.xml · nonDerivative · entry 1 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,759 Read SEC document |
| April 04, 2019 Filed Apr 8, 2019 14:00 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 15,420 | $0.00 Strike: $163.43 | $0.00 |
DisclosureSEC source: 0001225208-19-006534 · doc4.xml · derivative · entry 2 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,420 Underlying: Common · 15,420 shares Expires 2029-04-04 Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 18:07 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 1,178 | $154.41 | $181,894.98 |
DisclosureSEC source: 0001225208-19-004546 · doc4.xml · nonDerivative · entry 2 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,779 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 18:07 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 4,092 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-004546 · doc4.xml · nonDerivative · entry 1 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,957 Read SEC document |
| April 03, 2018 Filed Apr 5, 2018 18:26 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 9,560 | $0.00 Strike: $160.10 | $0.00 |
DisclosureSEC source: 0001225208-18-007448 · doc4.xml · derivative · entry 2 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,560 Underlying: Common · 9,560 shares Expires 2028-04-03 Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:17 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 488 | $160.89 | $78,514.32 |
DisclosureSEC source: 0001225208-18-005226 · doc4.xml · nonDerivative · entry 2 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,865 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:17 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 1,680 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-005226 · doc4.xml · nonDerivative · entry 1 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,353 Read SEC document |
| May 01, 2017 Filed May 3, 2017 18:20 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 12,510 | $0.00 Strike: $149.72 | $0.00 |
DisclosureSEC source: 0001225208-17-008940 · doc4.xml · derivative · entry 2 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,510 Underlying: Common · 12,510 shares Expires 2027-04-03 Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 09:55 UTC | WALKER INNOVATION INC. WLKR · Entity 163734 | GrantStock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $0.43 | Not disclosed |
DisclosureSEC source: 0001541520-17-000003 · edgar.xml · derivative · entry 4 Barner Sharon R · CIK 0001541520 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2025-05-15 F3 · kind: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person May 15, 2015. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4. F3 · price: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person May 15, 2015. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4. F4 · derivative.exercise_date: Stock option grant pursuant the Walker Innovation Inc. (formerly known as Patent Properties, Inc.) 2015 Long-term Incentive Plan in respect of 8,333 Shares exercisable from and after May 15, 2016; 8,333 shares from and after May 15, 2017; and 8,334 Shares from and after May 15, 2018. Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 09:55 UTC | WALKER INNOVATION INC. WLKR · Entity 163734 | GrantStock Option (Right to Buy) · Derivative | 50,000 | Not disclosed Strike: $0.43 | Not disclosed |
DisclosureSEC source: 0001541520-17-000003 · edgar.xml · derivative · entry 2 Barner Sharon R · CIK 0001541520 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2023-11-15 F1 · kind: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person November 15, 2013. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4. F1 · price: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person November 15, 2013. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4. F2 · derivative.exercise_date: Stock option granted pursuant to Amended and Restated 2006 Long-Term Incentive Plan in respect of 16,666 Shares exercisable from and after November 15, 2014; 16,667 Shares exercisable from and after November 15, 2015; and 16,667 Shares exercisable from and after November 15, 2016. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 17:09 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 530 | $152.85 | $81,010.50 |
DisclosureSEC source: 0001225208-17-005861 · doc4.xml · nonDerivative · entry 2 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,673 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 17:09 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 1,652 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-005861 · doc4.xml · nonDerivative · entry 1 Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,203 Read SEC document |
| May 15, 2015 Filed Mar 22, 2017 09:55 UTC | WALKER INNOVATION INC. WLKR · Entity 163734 | Disposition to issuerStock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $1.40 | Not disclosed |
DisclosureSEC source: 0001541520-17-000003 · edgar.xml · derivative · entry 3 Barner Sharon R · CIK 0001541520 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2025-05-15 F3 · kind: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person May 15, 2015. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4. F3 · price: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person May 15, 2015. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4. F4 · derivative.exercise_date: Stock option grant pursuant the Walker Innovation Inc. (formerly known as Patent Properties, Inc.) 2015 Long-term Incentive Plan in respect of 8,333 Shares exercisable from and after May 15, 2016; 8,333 shares from and after May 15, 2017; and 8,334 Shares from and after May 15, 2018. Read SEC document |
| November 15, 2013 Filed Mar 22, 2017 09:55 UTC | WALKER INNOVATION INC. WLKR · Entity 163734 | Disposition to issuerStock Option (Right to Buy) · Derivative | 50,000 | Not disclosed Strike: $4.05 | Not disclosed |
DisclosureSEC source: 0001541520-17-000003 · edgar.xml · derivative · entry 1 Barner Sharon R · CIK 0001541520 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2023-11-15 F1 · kind: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person November 15, 2013. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4. F1 · price: The transaction reported herein reflects a repricing of options (the "Repricing") that was approved by Walker Innovation Inc. stockholders on January 17, 2017. The stock options were originally granted to the reporting person November 15, 2013. As a result of the Repricing, such options now have a lower exercise price; other than the reduced exercise price, there have been no changes in the terms of such options. However, under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, a reduction in the exercise price of any option is treated as effectively canceling the old option and granting a new option as of the effective date of the repricing, and thus is being reported accordingly in this Form 4. F2 · derivative.exercise_date: Stock option granted pursuant to Amended and Restated 2006 Long-Term Incentive Plan in respect of 16,666 Shares exercisable from and after November 15, 2014; 16,667 Shares exercisable from and after November 15, 2015; and 16,667 Shares exercisable from and after November 15, 2016. 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.