Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ADTRAN Holdings, Inc.ADTN · Entity 5331 | Chief Product Officer | February 14, 2020 | February 19, 2020 |
| HARMONIC INC.HLIT · Entity 4789 | Director | March 16, 2026 | March 19, 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.
ADTRAN Holdings, Inc.
Report date February 14, 2020 · Filed February 19, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 29,700 |
Ending reported balance
After 2020-02-18 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-02-14 · Purchase · Acquired 13,500 · Balance 23,200 Row 2 · 2020-02-18 · Purchase · Acquired 6,500 · Balance 29,700 |
HARMONIC INC.
Report date March 16, 2026 · Filed March 19, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2027-02-15 | Direct | 18,756 |
Reported balance
After 2026-03-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-03-16 · Grant · Acquired 18,756 · Balance 18,756 F1: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2027. Vested shares will be delivered to the reporting person on or immediately following February 15, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.
F2: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2027. Vested shares will be delivered to the reporting person on or immediately following February 15, 2027.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ARRIS International plc
Report date April 04, 2019 · Filed April 09, 2019
Section 16 reporting ended · disclosed 2019-04-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-04-04 transaction · row 1
1 source rowRow 1 · 2019-04-04 · Disposition to issuer · Disposed 23,160 · Balance 0 F1: Pursuant to the terms of that certain Bid Conduct Agreement (the "Acquisition Agreement") between ARRIS International plc ("ARRIS") and CommScope Holding Company, Inc. ("CommScope"), CommScope agreed to acquire all of the issued and to be issued Ordinary Shares of ARRIS (the "Acquisition") for $31.75 per Ordinary Share by means of a court-sanctioned scheme of arrangement (the "Scheme"). On April 4, 2019, at the effective time of the Scheme (the "Effective Time"), each Ordinary Share then outstanding was automatically transferred from ARRIS shareholders in accordance with the Scheme and the Acquisition Agreement to CommScope, and the ARRIS shareholders ceased to have any rights with respect to their Ordinary Shares, except their right to receive $31.75 per Ordinary Share. This represents shares disposed of upon consummation of the Acquisition. |
| Restricted SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2019-04-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-04-04 · Disposition to issuer · Disposed 18,725 · Balance 0 F2: At the Effective Time, this performance-based restricted stock unit grant, which provided for vesting between 0 and 200% of the grant amount based on the Company's shareholder return as compared to the NASDAQ Composite shareholder return over a three-year measurement period, was deemed to have satisfied its performance-based vesting conditions at the target level, and was cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of Ordinary Shares subject to such performance-based restricted stock units. F3: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. |
| Restricted SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2019-04-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-04-04 · Disposition to issuer · Disposed 33,870 · Balance 0 F4: At the Effective Time, this performance-based restricted stock unit grant, which provided for vesting between 0 and 200% of the grant amount based on the Company's shareholder return as compared to the NASDAQ Composite shareholder return over a three-year measurement period, was deemed to have satisfied its performance-based vesting conditions at a level that results in performance vesting at 150% of the target level, and was cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of Ordinary Shares subject to such performance-based restricted stock units. F3: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. |
| Restricted SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2020-07-07 | Direct | 4,934 |
Reported balance
After 2019-04-04 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-04-04 · Disposition to issuer · Disposed 6,031 · Balance 4,934 F5: At the Effective Time, 55% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of restricted stock units being so cancelled and converted. |
| Restricted SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2020-07-07 | Direct | 0 |
Reported balance
After 2019-04-04 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-04-04 · Disposition to issuer · Disposed 4,934 · Balance 0 F6: At the Effective Time, 45% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were assumed and converted into restricted stock units denominated in shares of CommScope Common Stock equal to (i) the number of restricted stock units being so converted multiplied by (ii) an exchange ratio, (A) the numerator of which is $31.75 and (B) the denominator of which is the volume-weighted average price per share of CommScope's Common Stock for the 20 trading days prior to the Effective Time of $22.0581, but otherwise remained subject to the original terms and vesting schedule associated with such assumed restricted stock unit. |
| Restricted SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2021-03-29 | Direct | 4,213 |
Reported balance
After 2019-04-04 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-04-04 · Disposition to issuer · Disposed 5,150 · Balance 4,213 F5: At the Effective Time, 55% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of restricted stock units being so cancelled and converted. |
| Restricted SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2021-03-29 | Direct | 0 |
Reported balance
After 2019-04-04 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-04-04 · Disposition to issuer · Disposed 4,213 · Balance 0 F6: At the Effective Time, 45% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were assumed and converted into restricted stock units denominated in shares of CommScope Common Stock equal to (i) the number of restricted stock units being so converted multiplied by (ii) an exchange ratio, (A) the numerator of which is $31.75 and (B) the denominator of which is the volume-weighted average price per share of CommScope's Common Stock for the 20 trading days prior to the Effective Time of $22.0581, but otherwise remained subject to the original terms and vesting schedule associated with such assumed restricted stock unit. |
| Restricted SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2022-03-30 | Direct | 7,621 |
Reported balance
After 2019-04-04 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-04-04 · Disposition to issuer · Disposed 9,314 · Balance 7,621 F5: At the Effective Time, 55% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of restricted stock units being so cancelled and converted. |
| Restricted SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2022-03-30 | Direct | 0 |
Reported balance
After 2019-04-04 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2019-04-04 · Disposition to issuer · Disposed 7,621 · Balance 0 F6: At the Effective Time, 45% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were assumed and converted into restricted stock units denominated in shares of CommScope Common Stock equal to (i) the number of restricted stock units being so converted multiplied by (ii) an exchange ratio, (A) the numerator of which is $31.75 and (B) the denominator of which is the volume-weighted average price per share of CommScope's Common Stock for the 20 trading days prior to the Effective Time of $22.0581, but otherwise remained subject to the original terms and vesting schedule associated with such assumed restricted stock unit. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of that certain Bid Conduct Agreement (the "Acquisition Agreement") between ARRIS International plc ("ARRIS") and CommScope Holding Company, Inc. ("CommScope"), CommScope agreed to acquire all of the issued and to be issued Ordinary Shares of ARRIS (the "Acquisition") for $31.75 per Ordinary Share by means of a court-sanctioned scheme of arrangement (the "Scheme"). On April 4, 2019, at the effective time of the Scheme (the "Effective Time"), each Ordinary Share then outstanding was automatically transferred from ARRIS shareholders in accordance with the Scheme and the Acquisition Agreement to CommScope, and the ARRIS shareholders ceased to have any rights with respect to their Ordinary Shares, except their right to receive $31.75 per Ordinary Share. This represents shares disposed of upon consummation of the Acquisition.
F2: At the Effective Time, this performance-based restricted stock unit grant, which provided for vesting between 0 and 200% of the grant amount based on the Company's shareholder return as compared to the NASDAQ Composite shareholder return over a three-year measurement period, was deemed to have satisfied its performance-based vesting conditions at the target level, and was cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of Ordinary Shares subject to such performance-based restricted stock units.
F3: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
F4: At the Effective Time, this performance-based restricted stock unit grant, which provided for vesting between 0 and 200% of the grant amount based on the Company's shareholder return as compared to the NASDAQ Composite shareholder return over a three-year measurement period, was deemed to have satisfied its performance-based vesting conditions at a level that results in performance vesting at 150% of the target level, and was cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of Ordinary Shares subject to such performance-based restricted stock units.
F5: At the Effective Time, 55% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of restricted stock units being so cancelled and converted.
F6: At the Effective Time, 45% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were assumed and converted into restricted stock units denominated in shares of CommScope Common Stock equal to (i) the number of restricted stock units being so converted multiplied by (ii) an exchange ratio, (A) the numerator of which is $31.75 and (B) the denominator of which is the volume-weighted average price per share of CommScope's Common Stock for the 20 trading days prior to the Effective Time of $22.0581, but otherwise remained subject to the original terms and vesting schedule associated with such assumed restricted stock unit.
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 |
|---|---|---|---|---|---|---|
| March 16, 2026 Filed Mar 19, 2026 01:48 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 18,756 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-114858 · ownership.xml · derivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,756 Underlying: Common Stock · 18,756 shares Expires 2027-02-15 F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2027. Vested shares will be delivered to the reporting person on or immediately following February 15, 2027. Read SEC document |
| February 15, 2026 Filed Feb 18, 2026 22:55 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 16,143 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-057570 · ownership.xml · derivative · entry 2 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,143 shares Expires 2026-02-15 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 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. Read SEC document |
| February 15, 2026 Filed Feb 18, 2026 22:55 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 16,143 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-057570 · ownership.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,983 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 |
| August 01, 2025 Filed Aug 4, 2025 21:02 UTC | HARMONIC INC. HLIT · Entity 4789 | PurchaseCommon Stock | 2,000 | $8.25 | $16,500.00 |
DisclosureSEC source: 0000950170-25-102125 · ownership.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,840 F1 · kind: These shares were acquired by Mr. Whalen in an open market purchase of Harmonic Inc. Common Stock. Read SEC document |
| May 30, 2025 Filed Jun 2, 2025 23:41 UTC | HARMONIC INC. HLIT · Entity 4789 | PurchaseCommon Stock | 2,000 | $8.99 | $17,980.00 |
DisclosureSEC source: 0000950170-25-080497 · ownership.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,840 F1 · kind: These shares were acquired by Mr. Whalen in an open market purchase of Harmonic Inc. Common Stock. Read SEC document |
| February 25, 2025 Filed Feb 27, 2025 01:40 UTC | HARMONIC INC. HLIT · Entity 4789 | PurchaseCommon Stock | 1,000 | $9.99 | $9,990.00 |
DisclosureSEC source: 0000950170-25-028199 · ownership.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,840 F1 · kind: These shares were acquired by Mr. Whalen in an open market purchase of Harmonic Inc. Common Stock. Read SEC document |
| February 24, 2025 Filed Feb 25, 2025 01:34 UTC | HARMONIC INC. HLIT · Entity 4789 | PurchaseCommon Stock | 1,000 | $10.08 | $10,079.30 |
DisclosureSEC source: 0000950170-25-025971 · ownership.xml · nonDerivative · entry 2 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,840 F1 · kind: These shares were acquired by Mr. Whalen in an open market purchase of Harmonic Inc. Common Stock. Read SEC document |
| February 24, 2025 Filed Feb 25, 2025 01:34 UTC | HARMONIC INC. HLIT · Entity 4789 | PurchaseCommon Stock | 2,000 | $10.19 | $20,379.60 |
DisclosureSEC source: 0000950170-25-025971 · ownership.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,840 F1 · kind: These shares were acquired by Mr. Whalen in an open market purchase of Harmonic Inc. Common Stock. Read SEC document |
| February 20, 2025 Filed Feb 25, 2025 01:34 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 16,143 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-025971 · ownership.xml · derivative · entry 3 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,143 Underlying: Common Stock · 16,143 shares Expires 2026-02-15 F2 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F3 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2026. Vested shares will be delivered to the reporting person on or immediately following February 15, 2026. Read SEC document |
| February 15, 2025 Filed Feb 19, 2025 22:59 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 5,840 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-023433 · ownership.xml · derivative · entry 2 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,840 shares Expires 2025-02-15 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 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. Read SEC document |
| February 15, 2025 Filed Feb 19, 2025 22:59 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 5,840 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-023433 · ownership.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,840 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 |
| August 21, 2024 Filed Aug 23, 2024 22:05 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 5,840 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-100279 · ownership.xml · derivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,840 Underlying: Common Stock · 5,840 shares Expires 2025-02-15 F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2025. Vested shares will be delivered to the reporting person on or immediately following February 15, 2025. Read SEC document |
| February 17, 2023 Filed Feb 21, 2023 21:56 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 10,446 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-011242 · doc4.xml · derivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,446 Underlying: Common Stock · 10,446 shares Expires 2024-02-15 F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2024. Vested shares will be delivered to the reporting person on or immediately following February 15, 2024. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 22:27 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 14,395 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-010806 · doc4.xml · derivative · entry 2 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,395 shares Expires 2023-02-15 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 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 22:27 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 14,395 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-010806 · doc4.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,518 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2023. These restricted stock units were initially granted to the Reporting Person on 2/17/2022, and were identified on a Form 4 filed by the Reporting Person on 2/22/2022. Read SEC document |
| February 17, 2022 Filed Feb 22, 2022 22:01 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 14,395 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-011740 · doc4.xml · derivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,395 Underlying: Common Stock · 14,395 shares Expires 2023-02-15 F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2023. Vested shares will be delivered to the reporting person on or immediately following February 15, 2023. Read SEC document |
| February 15, 2022 Filed Feb 18, 2022 02:36 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 10,123 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-011078 · doc4.xml · derivative · entry 2 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,123 shares Expires 2022-02-15 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 15, 2022 Filed Feb 18, 2022 02:36 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 10,123 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-011078 · doc4.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,123 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2022. These restricted stock units were initially granted to the Reporting Person on 08/02/2021, and were identified on a Form 4 filed by the Reporting Person on 08/04/2021. Read SEC document |
| August 02, 2021 Filed Aug 4, 2021 20:16 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 10,123 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-049612 · doc4.xml · derivative · entry 1 Whalen Daniel T · CIK 0001689876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,123 Underlying: Common Stock · 10,123 shares Expires 2022-02-15 F1 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2022. Vested shares will be delivered to the reporting person on or immediately following February 15, 2022. Read SEC document |
| February 18, 2020 Filed Feb 19, 2020 21:42 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | PurchaseCommon Stock | 6,500 | $8.71 | $56,594.85 |
DisclosureSEC source: 0001773229-20-000010 · primary_doc.xml · nonDerivative · entry 2 Whalen Daniel T · CIK 0001689876 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,700 Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 21:42 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | PurchaseCommon Stock | 13,500 | $8.95 | $120,772.35 |
DisclosureSEC source: 0001773229-20-000010 · primary_doc.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,200 Read SEC document |
| October 11, 2019 Filed Oct 15, 2019 14:52 UTC | ADTRAN Holdings, Inc. ADTN · Entity 5331 | GrantCommon Stock | 9,700 | $8.81 | $85,457.00 |
DisclosureSEC source: 0001770330-19-000015 · primary_doc.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · Chief Product Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,700 F1 · security: Represents a grant of restricted stock units that vest in four equal and annual installments beginning on the first anniversary date of the grant. Read SEC document |
| April 04, 2019 Filed Apr 9, 2019 01:58 UTC | ARRIS International plc ARRS · Entity 158436 | Disposition to issuerRestricted Shares · Derivative | 7,621 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001127602-19-015030 · form4.xml · derivative · entry 9 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 7,621 shares Expires 2022-03-30 F6 · price: At the Effective Time, 45% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were assumed and converted into restricted stock units denominated in shares of CommScope Common Stock equal to (i) the number of restricted stock units being so converted multiplied by (ii) an exchange ratio, (A) the numerator of which is $31.75 and (B) the denominator of which is the volume-weighted average price per share of CommScope's Common Stock for the 20 trading days prior to the Effective Time of $22.0581, but otherwise remained subject to the original terms and vesting schedule associated with such assumed restricted stock unit. F6 · derivative.exercise_date: At the Effective Time, 45% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were assumed and converted into restricted stock units denominated in shares of CommScope Common Stock equal to (i) the number of restricted stock units being so converted multiplied by (ii) an exchange ratio, (A) the numerator of which is $31.75 and (B) the denominator of which is the volume-weighted average price per share of CommScope's Common Stock for the 20 trading days prior to the Effective Time of $22.0581, but otherwise remained subject to the original terms and vesting schedule associated with such assumed restricted stock unit. Read SEC document |
| April 04, 2019 Filed Apr 9, 2019 01:58 UTC | ARRIS International plc ARRS · Entity 158436 | Disposition to issuerRestricted Shares · Derivative | 9,314 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001127602-19-015030 · form4.xml · derivative · entry 8 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,621 Underlying: Ordinary Shares · 9,314 shares Expires 2022-03-30 F5 · price: At the Effective Time, 55% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of restricted stock units being so cancelled and converted. F5 · derivative.exercise_date: At the Effective Time, 55% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of restricted stock units being so cancelled and converted. Read SEC document |
| April 04, 2019 Filed Apr 9, 2019 01:58 UTC | ARRIS International plc ARRS · Entity 158436 | Disposition to issuerRestricted Shares · Derivative | 4,213 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001127602-19-015030 · form4.xml · derivative · entry 7 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 4,213 shares Expires 2021-03-29 F6 · price: At the Effective Time, 45% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were assumed and converted into restricted stock units denominated in shares of CommScope Common Stock equal to (i) the number of restricted stock units being so converted multiplied by (ii) an exchange ratio, (A) the numerator of which is $31.75 and (B) the denominator of which is the volume-weighted average price per share of CommScope's Common Stock for the 20 trading days prior to the Effective Time of $22.0581, but otherwise remained subject to the original terms and vesting schedule associated with such assumed restricted stock unit. F6 · derivative.exercise_date: At the Effective Time, 45% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were assumed and converted into restricted stock units denominated in shares of CommScope Common Stock equal to (i) the number of restricted stock units being so converted multiplied by (ii) an exchange ratio, (A) the numerator of which is $31.75 and (B) the denominator of which is the volume-weighted average price per share of CommScope's Common Stock for the 20 trading days prior to the Effective Time of $22.0581, but otherwise remained subject to the original terms and vesting schedule associated with such assumed restricted stock unit. Read SEC document |
| April 04, 2019 Filed Apr 9, 2019 01:58 UTC | ARRIS International plc ARRS · Entity 158436 | Disposition to issuerRestricted Shares · Derivative | 5,150 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001127602-19-015030 · form4.xml · derivative · entry 6 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,213 Underlying: Ordinary Shares · 5,150 shares Expires 2021-03-29 F5 · price: At the Effective Time, 55% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of restricted stock units being so cancelled and converted. F5 · derivative.exercise_date: At the Effective Time, 55% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of restricted stock units being so cancelled and converted. Read SEC document |
| April 04, 2019 Filed Apr 9, 2019 01:58 UTC | ARRIS International plc ARRS · Entity 158436 | Disposition to issuerRestricted Shares · Derivative | 4,934 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001127602-19-015030 · form4.xml · derivative · entry 5 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 4,934 shares Expires 2020-07-07 F6 · price: At the Effective Time, 45% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were assumed and converted into restricted stock units denominated in shares of CommScope Common Stock equal to (i) the number of restricted stock units being so converted multiplied by (ii) an exchange ratio, (A) the numerator of which is $31.75 and (B) the denominator of which is the volume-weighted average price per share of CommScope's Common Stock for the 20 trading days prior to the Effective Time of $22.0581, but otherwise remained subject to the original terms and vesting schedule associated with such assumed restricted stock unit. F6 · derivative.exercise_date: At the Effective Time, 45% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were assumed and converted into restricted stock units denominated in shares of CommScope Common Stock equal to (i) the number of restricted stock units being so converted multiplied by (ii) an exchange ratio, (A) the numerator of which is $31.75 and (B) the denominator of which is the volume-weighted average price per share of CommScope's Common Stock for the 20 trading days prior to the Effective Time of $22.0581, but otherwise remained subject to the original terms and vesting schedule associated with such assumed restricted stock unit. Read SEC document |
| April 04, 2019 Filed Apr 9, 2019 01:58 UTC | ARRIS International plc ARRS · Entity 158436 | Disposition to issuerRestricted Shares · Derivative | 6,031 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001127602-19-015030 · form4.xml · derivative · entry 4 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,934 Underlying: Ordinary Shares · 6,031 shares Expires 2020-07-07 F5 · price: At the Effective Time, 55% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of restricted stock units being so cancelled and converted. F5 · derivative.exercise_date: At the Effective Time, 55% of the Ordinary Shares subject to this restricted stock unit grant, which provided for vesting in four equal annual installments beginning one year from the date of grant, were cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of restricted stock units being so cancelled and converted. Read SEC document |
| April 04, 2019 Filed Apr 9, 2019 01:58 UTC | ARRIS International plc ARRS · Entity 158436 | Disposition to issuerRestricted Shares · Derivative | 33,870 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001127602-19-015030 · form4.xml · derivative · entry 3 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 33,870 shares Expires not disclosed F4 · price: At the Effective Time, this performance-based restricted stock unit grant, which provided for vesting between 0 and 200% of the grant amount based on the Company's shareholder return as compared to the NASDAQ Composite shareholder return over a three-year measurement period, was deemed to have satisfied its performance-based vesting conditions at a level that results in performance vesting at 150% of the target level, and was cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of Ordinary Shares subject to such performance-based restricted stock units. F4 · derivative.exercise_date: At the Effective Time, this performance-based restricted stock unit grant, which provided for vesting between 0 and 200% of the grant amount based on the Company's shareholder return as compared to the NASDAQ Composite shareholder return over a three-year measurement period, was deemed to have satisfied its performance-based vesting conditions at a level that results in performance vesting at 150% of the target level, and was cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of Ordinary Shares subject to such performance-based restricted stock units. F3 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| April 04, 2019 Filed Apr 9, 2019 01:58 UTC | ARRIS International plc ARRS · Entity 158436 | Disposition to issuerRestricted Shares · Derivative | 18,725 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001127602-19-015030 · form4.xml · derivative · entry 2 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 18,725 shares Expires not disclosed F2 · price: At the Effective Time, this performance-based restricted stock unit grant, which provided for vesting between 0 and 200% of the grant amount based on the Company's shareholder return as compared to the NASDAQ Composite shareholder return over a three-year measurement period, was deemed to have satisfied its performance-based vesting conditions at the target level, and was cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of Ordinary Shares subject to such performance-based restricted stock units. F2 · derivative.exercise_date: At the Effective Time, this performance-based restricted stock unit grant, which provided for vesting between 0 and 200% of the grant amount based on the Company's shareholder return as compared to the NASDAQ Composite shareholder return over a three-year measurement period, was deemed to have satisfied its performance-based vesting conditions at the target level, and was cancelled and converted into the right to receive cash equal to $31.75 multiplied by the number of Ordinary Shares subject to such performance-based restricted stock units. F3 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| April 04, 2019 Filed Apr 9, 2019 01:58 UTC | ARRIS International plc ARRS · Entity 158436 | Disposition to issuerOrdinary Shares | 23,160 | $31.75 | $735,330.00 |
DisclosureSEC source: 0001127602-19-015030 · form4.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to the terms of that certain Bid Conduct Agreement (the "Acquisition Agreement") between ARRIS International plc ("ARRIS") and CommScope Holding Company, Inc. ("CommScope"), CommScope agreed to acquire all of the issued and to be issued Ordinary Shares of ARRIS (the "Acquisition") for $31.75 per Ordinary Share by means of a court-sanctioned scheme of arrangement (the "Scheme"). On April 4, 2019, at the effective time of the Scheme (the "Effective Time"), each Ordinary Share then outstanding was automatically transferred from ARRIS shareholders in accordance with the Scheme and the Acquisition Agreement to CommScope, and the ARRIS shareholders ceased to have any rights with respect to their Ordinary Shares, except their right to receive $31.75 per Ordinary Share. This represents shares disposed of upon consummation of the Acquisition. Read SEC document |
| March 20, 2019 Filed Mar 22, 2019 21:25 UTC | ARRIS International plc ARRS · Entity 158436 | Exercise / conversionRestricted Shares · Derivative | 3,604 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-013031 · form4.xml · derivative · entry 8 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,935 Underlying: Ordinary Shares · 3,604 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 · shares: Effective March 20, 2019, the Compensation Committee accelerated the vesting of the Restricted Stock Units indicated. Any remaining vesting dates will remain on the anniversary of the original grant date. F4 · derivative.exercise_date: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F5 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| March 20, 2019 Filed Mar 22, 2019 21:25 UTC | ARRIS International plc ARRS · Entity 158436 | Exercise / conversionRestricted Shares · Derivative | 2,988 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-013031 · form4.xml · derivative · entry 7 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,363 Underlying: Ordinary Shares · 2,988 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 · shares: Effective March 20, 2019, the Compensation Committee accelerated the vesting of the Restricted Stock Units indicated. Any remaining vesting dates will remain on the anniversary of the original grant date. F4 · derivative.exercise_date: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F5 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| March 20, 2019 Filed Mar 22, 2019 21:25 UTC | ARRIS International plc ARRS · Entity 158436 | Exercise / conversionRestricted Shares · Derivative | 2,196 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-013031 · form4.xml · derivative · entry 6 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 2,196 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 · shares: Effective March 20, 2019, the Compensation Committee accelerated the vesting of the Restricted Stock Units indicated. Any remaining vesting dates will remain on the anniversary of the original grant date. F4 · derivative.exercise_date: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F5 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| March 20, 2019 Filed Mar 22, 2019 21:25 UTC | ARRIS International plc ARRS · Entity 158436 | Tax withholdingRestricted Shares · Derivative | 2,041 | $31.64 Strike: $0.00 | $64,577.24 |
DisclosureSEC source: 0001127602-19-013031 · form4.xml · derivative · entry 5 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,539 Underlying: Ordinary Shares · 2,041 shares Expires not disclosed F3 · shares: Represents shares cash cancelled to cover payroll tax liability on vesting of previously granted restricted stock units. F4 · derivative.exercise_date: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F5 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| March 20, 2019 Filed Mar 22, 2019 21:25 UTC | ARRIS International plc ARRS · Entity 158436 | Tax withholdingRestricted Shares · Derivative | 1,693 | $31.64 Strike: $0.00 | $53,566.52 |
DisclosureSEC source: 0001127602-19-013031 · form4.xml · derivative · entry 4 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,351 Underlying: Ordinary Shares · 1,693 shares Expires not disclosed F3 · shares: Represents shares cash cancelled to cover payroll tax liability on vesting of previously granted restricted stock units. F4 · derivative.exercise_date: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F5 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| March 20, 2019 Filed Mar 22, 2019 21:25 UTC | ARRIS International plc ARRS · Entity 158436 | Tax withholdingRestricted Shares · Derivative | 1,244 | $31.64 Strike: $0.00 | $39,360.16 |
DisclosureSEC source: 0001127602-19-013031 · form4.xml · derivative · entry 3 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,196 Underlying: Ordinary Shares · 1,244 shares Expires not disclosed F3 · shares: Represents shares cash cancelled to cover payroll tax liability on vesting of previously granted restricted stock units. F4 · derivative.exercise_date: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F5 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| March 20, 2019 Filed Mar 22, 2019 21:25 UTC | ARRIS International plc ARRS · Entity 158436 | Exercise / conversionOrdinary Shares | 8,788 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-013031 · form4.xml · nonDerivative · entry 2 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,160 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 · shares: Effective March 20, 2019, the Compensation Committee accelerated the vesting of the Restricted Stock Units indicated. Any remaining vesting dates will remain on the anniversary of the original grant date. Read SEC document |
| February 28, 2019 Filed Mar 22, 2019 21:25 UTC | ARRIS International plc ARRS · Entity 158436 | OtherOrdinary Shares | 567 | $21.14 | $11,986.38 |
DisclosureSEC source: 0001127602-19-013031 · form4.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,372 F1 · shares: Shares acquired through the ARRIS International plc ESPP. Read SEC document |
| February 22, 2019 Filed Feb 26, 2019 21:38 UTC | ARRIS International plc ARRS · Entity 158436 | SaleOrdinary Shares | 9,560 | $31.64 | $302,478.40 |
DisclosureSEC source: 0001127602-19-008407 · form4.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.64 to $31.65, inclusive. The reporting person undertakes to provide issuer or any security holder of the issuer or the staff of the Security 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 |
| July 06, 2018 Filed Jul 11, 2018 00:09 UTC | ARRIS International plc ARRS · Entity 158436 | Exercise / conversionRestricted Shares · Derivative | 3,550 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-023057 · form4.xml · derivative · entry 4 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,965 Underlying: Ordinary Shares · 3,550 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 · shares: Represents the vested portion of a restricted stock unit grant converting to ordinary shares. F4 · derivative.exercise_date: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F5 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| July 06, 2018 Filed Jul 11, 2018 00:09 UTC | ARRIS International plc ARRS · Entity 158436 | Tax withholdingRestricted Shares · Derivative | 1,933 | $25.27 Strike: $0.00 | $48,846.91 |
DisclosureSEC source: 0001127602-18-023057 · form4.xml · derivative · entry 3 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,515 Underlying: Ordinary Shares · 1,933 shares Expires not disclosed F3 · shares: Represents shares cash cancelled to cover payroll tax liability on vesting of previously granted restricted stock units. F4 · derivative.exercise_date: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F5 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| July 06, 2018 Filed Jul 11, 2018 00:09 UTC | ARRIS International plc ARRS · Entity 158436 | Exercise / conversionOrdinary Shares | 3,550 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-023057 · form4.xml · nonDerivative · entry 2 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,365 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 · shares: Represents the vested portion of a restricted stock unit grant converting to ordinary shares. Read SEC document |
| April 30, 2018 Filed Jul 11, 2018 00:09 UTC | ARRIS International plc ARRS · Entity 158436 | OtherOrdinary Shares | 877 | $23.21 | $20,355.17 |
DisclosureSEC source: 0001127602-18-023057 · form4.xml · nonDerivative · entry 1 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,815 F1 · shares: Shares acquired through the ARRIS International plc ESPP. Read SEC document |
| March 30, 2018 Filed Apr 6, 2018 01:00 UTC | ARRIS International plc ARRS · Entity 158436 | GrantRestricted Shares (T) 180330 · Derivative | 22,580 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001415889-18-000583 · form4-04052018_090428.xml · derivative · entry 3 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,580 Underlying: Ordinary Shares · 22,580 shares Expires not disclosed F3 · security: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F2 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| March 30, 2018 Filed Apr 6, 2018 01:00 UTC | ARRIS International plc ARRS · Entity 158436 | GrantRestricted Shares (P) 180330 · Derivative | 45,160 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001415889-18-000583 · form4-04052018_090428.xml · derivative · entry 2 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,160 Underlying: Ordinary Shares · 45,160 shares Expires not disclosed F1 · security: Represents a restricted stock unit grant that is performance-based and can vest between 0 and 200% of the grant amount based on the Company's shareholder return as compared to the NASDAQ Composite shareholder return over a three-year measurement period. Amount shown reflects maximum vesting of the award at the 200% level. F2 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 01:00 UTC | ARRIS International plc ARRS · Entity 158436 | Tax withholdingRestricted Shares (T) 170329 · Derivative | 1,651 | $26.27 Strike: $0.00 | $43,371.77 |
DisclosureSEC source: 0001415889-18-000516 · form4-04022018_090418.xml · derivative · entry 6 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,044 Underlying: Ordinary Shares · 15,695 shares Expires not disclosed F2 · security: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F4 · shares: Represents shares cash cancelled to cover payroll tax liability on vesting of previously granted restricted stock units. F3 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 01:00 UTC | ARRIS International plc ARRS · Entity 158436 | Exercise / conversionRestricted Shares (T) 170329 · Derivative | 3,030 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001415889-18-000516 · form4-04022018_090418.xml · derivative · entry 5 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,695 Underlying: Ordinary Shares · 18,725 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 · security: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F1 · shares: Represents the vested portion of a restricted stock unit grant converting to ordinary shares. F3 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 01:00 UTC | ARRIS International plc ARRS · Entity 158436 | Tax withholdingRestricted Shares (T) 150330 · Derivative | 1,213 | $26.27 Strike: $0.00 | $31,865.51 |
DisclosureSEC source: 0001415889-18-000516 · form4-04022018_090418.xml · derivative · entry 4 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,440 Underlying: Ordinary Shares · 4,653 shares Expires not disclosed F2 · security: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F4 · shares: Represents shares cash cancelled to cover payroll tax liability on vesting of previously granted restricted stock units. F3 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 01:00 UTC | ARRIS International plc ARRS · Entity 158436 | Exercise / conversionRestricted Shares (T) 150330 · Derivative | 2,227 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001415889-18-000516 · form4-04022018_090418.xml · derivative · entry 3 Whalen Daniel T · CIK 0001689876 · PRESIDENT, NETWORK AND CLOUD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,653 Underlying: Ordinary Shares · 6,880 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 · security: Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested. F1 · shares: Represents the vested portion of a restricted stock unit grant converting to ordinary shares. F3 · derivative.expiration_date: This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule. 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.