Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Akari Therapeutics PlcAKTX · Entity 7692 | Interim CFO | May 01, 2024 | May 03, 2024 |
| COHERENT CORP.IIVI · Entity 1179 | Director | April 28, 2017 | April 28, 2017 |
| EyePoint, Inc.EYPT · Entity 5702 | Director | January 02, 2026 | January 06, 2026 |
| SWK Holdings CorpSWKH · Entity 9770 | Director | December 30, 2022 | January 04, 2023 |
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.
Akari Therapeutics Plc
Report date May 01, 2024 · Filed May 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 158,473,915 |
Reported balance
After 2024-05-01 transaction · row 1
1 source rowRow 1 · 2024-05-01 · Grant · Acquired 158,473,915 · Balance 158,473,915 F1: These shares represent restricted stock units ("RSUs") granted under the Issuer's 2023 Equity Incentive Plan, with each such RSU representing the right to receive one ordinary share, par value $0.0001. One-hundered percent (100%) of the RSUs shall vest on May 1, 2025 (first anniversary of the date of grant), subject to the Reporting Person's continued service with the Issuer on the vesting date. Notwithstanding the foregoing, should the Issuer terminate the Reporting Person for any reason other than for cause prior to the vesting date, the RSUs will continue to vest through the first anniversary of the date of grant or be accelerated, at the Issuer's option. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares represent restricted stock units ("RSUs") granted under the Issuer's 2023 Equity Incentive Plan, with each such RSU representing the right to receive one ordinary share, par value $0.0001. One-hundered percent (100%) of the RSUs shall vest on May 1, 2025 (first anniversary of the date of grant), subject to the Reporting Person's continued service with the Issuer on the vesting date. Notwithstanding the foregoing, should the Issuer terminate the Reporting Person for any reason other than for cause prior to the vesting date, the RSUs will continue to vest through the first anniversary of the date of grant or be accelerated, at the Issuer's option.
COHERENT CORP.
Report date April 28, 2017 · Filed April 28, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 30,546 |
Ending reported balance
After 2017-04-28 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-04-28 · Exercise / conversion · Acquired 2,500 · Balance 33,046 Row 2 · 2017-04-28 · Sale · Disposed 2,500 · Balance 30,546 F1: The sale transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 16, 2017. F2: Represents the weighted average of multiple sale transactions ranging in price from $32.8500 to $33.5000. The reporting person agrees to provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the Company or a security holder of the Company. |
| Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.42 · Expires 2018-02-09 | Direct | 17,500 |
Reported balance
After 2017-04-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-04-28 · Exercise / conversion · Disposed 2,500 · Balance 17,500 F3: The grant of these options previously was reported as covering 10,000 shares at an exercise price of $30.83 per share. These options were adjusted to reflect a 2-for-1 stock split that occurred on June 27, 2011. F4: These options vested in five equal annual installments beginning on February 9, 2009. |
Filing footnotes · ownership attribution and instrument terms
F1: The sale transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 16, 2017.
F2: Represents the weighted average of multiple sale transactions ranging in price from $32.8500 to $33.5000. The reporting person agrees to provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the Company or a security holder of the Company.
F3: The grant of these options previously was reported as covering 10,000 shares at an exercise price of $30.83 per share. These options were adjusted to reflect a 2-for-1 stock split that occurred on June 27, 2011.
F4: These options vested in five equal annual installments beginning on February 9, 2009.
EyePoint, Inc.
Report date January 02, 2026 · Filed January 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.48 · Expires 2036-01-02 | Direct | 40,000 |
Reported balance
After 2026-01-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-01-02 · Grant · Acquired 40,000 · Balance 40,000 |
SWK Holdings Corp
Report date December 30, 2022 · Filed January 04, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,182 |
Ending reported balance
After 2022-12-30 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-12-30 · Grant · Acquired 1,120 · Balance 5,403 F1: Consists of shares of common stock issued in connection with the Reporting Person's voluntary decision to receive shares in lieu of cash compensation for her services as a director, based on the $17.64 closing price of the common stock on December 30, 2022. Row 2 · 2022-12-30 · Grant · Acquired 779 · Balance 6,182 F2: Consists of restricted shares of common stock granted to the Reporting Person as compensation in advance for her services as a director, based on the $17.64 closing price of the common stock on December 30, 2022. The restricted shares vest on December 30, 2023, subject to the Reporting Person's continued service through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of shares of common stock issued in connection with the Reporting Person's voluntary decision to receive shares in lieu of cash compensation for her services as a director, based on the $17.64 closing price of the common stock on December 30, 2022.
F2: Consists of restricted shares of common stock granted to the Reporting Person as compensation in advance for her services as a director, based on the $17.64 closing price of the common stock on December 30, 2022. The restricted shares vest on December 30, 2023, subject to the Reporting Person's continued service through such vesting date.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Renovacor, Inc.
Report date December 01, 2022 · Filed December 05, 2022
Section 16 reporting ended · disclosed 2022-12-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2022-12-01 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2022-12-01 · Disposition to issuer · Disposed 18,800 · Balance 0 F1: Represents shares of common stock underlying Company Time-Vesting RSUs (as defined in the Agreement and Plan of Merger, dated as of September 19, 2022, by and among the Issuer, Rocket Pharmaceuticals, Inc. ("Rocket") and the other parties thereto (the "Merger Agreement")). Each unvested RSU outstanding immediately prior to the First Effective Time (as defined in the Merger Agreement) was accelerated, cancelled and converted into the right to receive a number of Rocket common stock, rounded to the nearest whole number, equal to the number of shares of Issuer common stock underlying such Company Time-Vesting RSU multiplied by the Exchange Ratio (as defined in the Merger Agreement). Row 2 · 2022-12-01 · Grant · Acquired 4,329 · Balance 4,329 F2: Represents shares of common stock underlying restricted stock units granted pursuant to that certain Agreement and Plan of Merger, dated as of March 22, 2021, by and among the Issuer, Renovacor Holdings, Inc. and CHAQ 2 Merger Sub, Inc. (the "SPAC Merger Agreement") as Earnout RSU Awards (as defined in the SPAC Merger Agreement). Pursuant to the terms of the SPAC Merger Agreement, the Earnout RSU Awards have fully vested upon the consummation of the merger. Row 3 · 2022-12-01 · Disposition to issuer · Disposed 4,329 · Balance 0 F3: The shares underlying the Earnout RSU Awards were cancelled and converted into the right to receive the Per Share Merger Consideration (as defined in the Merger Agreement). |
| Stock OptionSEC Table II · derivative / convertible security · Expires 2031-01-25 | Direct | 0 |
Reported balance
After 2022-12-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-12-01 · Disposition to issuer · Disposed 10,936 · Balance 0 F4: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio, rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent. F5: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement. |
| Stock OptionSEC Table II · derivative / convertible security · Expires 2031-09-03 | Direct | 0 |
Reported balance
After 2022-12-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-12-01 · Disposition to issuer · Disposed 14,553 · Balance 0 F4: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio, rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent. F5: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement. |
| Stock OptionSEC Table II · derivative / convertible security · Expires 2032-01-24 | Direct | 0 |
Reported balance
After 2022-12-01 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2022-12-01 · Disposition to issuer · Disposed 37,575 · Balance 0 F4: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio, rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent. F5: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement. |
| Stock OptionSEC Table II · derivative / convertible security · Expires 2032-06-17 | Direct | 0 |
Reported balance
After 2022-12-01 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2022-12-01 · Disposition to issuer · Disposed 155,325 · Balance 0 F4: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio, rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent. F5: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock underlying Company Time-Vesting RSUs (as defined in the Agreement and Plan of Merger, dated as of September 19, 2022, by and among the Issuer, Rocket Pharmaceuticals, Inc. ("Rocket") and the other parties thereto (the "Merger Agreement")). Each unvested RSU outstanding immediately prior to the First Effective Time (as defined in the Merger Agreement) was accelerated, cancelled and converted into the right to receive a number of Rocket common stock, rounded to the nearest whole number, equal to the number of shares of Issuer common stock underlying such Company Time-Vesting RSU multiplied by the Exchange Ratio (as defined in the Merger Agreement).
F2: Represents shares of common stock underlying restricted stock units granted pursuant to that certain Agreement and Plan of Merger, dated as of March 22, 2021, by and among the Issuer, Renovacor Holdings, Inc. and CHAQ 2 Merger Sub, Inc. (the "SPAC Merger Agreement") as Earnout RSU Awards (as defined in the SPAC Merger Agreement). Pursuant to the terms of the SPAC Merger Agreement, the Earnout RSU Awards have fully vested upon the consummation of the merger.
F3: The shares underlying the Earnout RSU Awards were cancelled and converted into the right to receive the Per Share Merger Consideration (as defined in the Merger Agreement).
F4: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio, rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent.
F5: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement.
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 |
|---|---|---|---|---|---|---|
| January 02, 2026 Filed Jan 6, 2026 16:05 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $17.48 | $0.00 |
DisclosureSEC source: 0001225165-26-000002 · primarydocument.xml · derivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2036-01-02 Read SEC document |
| January 03, 2025 Filed Jan 7, 2025 16:04 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $8.26 | $0.00 |
DisclosureSEC source: 0001562180-25-000231 · primarydocument.xml · derivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2035-01-03 Read SEC document |
| August 20, 2024 Filed Aug 21, 2024 16:32 UTC | EyePoint, Inc. EYPT · Entity 5702 | PurchaseCommon Stock | 2,567 | $7.79 | $19,996.93 |
DisclosureSEC source: 0001562180-24-006440 · primarydocument.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,967 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.77 to $7.81. The reporting person undertakes to provide EyePoint Pharmaceuticals Inc., any security holder of EyePoint Pharmaceuticals Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| May 01, 2024 Filed May 3, 2024 16:46 UTC | Akari Therapeutics Plc AKTX · Entity 7692 | GrantOrdinary Shares, par value $0.0001 per share | 158,473,915 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-053000 · ownership.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Interim CFO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 158,473,915 F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Issuer's 2023 Equity Incentive Plan, with each such RSU representing the right to receive one ordinary share, par value $0.0001. One-hundered percent (100%) of the RSUs shall vest on May 1, 2025 (first anniversary of the date of grant), subject to the Reporting Person's continued service with the Issuer on the vesting date. Notwithstanding the foregoing, should the Issuer terminate the Reporting Person for any reason other than for cause prior to the vesting date, the RSUs will continue to vest through the first anniversary of the date of grant or be accelerated, at the Issuer's option. Read SEC document |
| January 05, 2024 Filed Jan 9, 2024 20:54 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantStock Option (Right to Buy) · Derivative | 25,014 | $0.00 Strike: $20.40 | $0.00 |
DisclosureSEC source: 0001562180-24-000393 · primarydocument.xml · derivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,014 Underlying: Common Stock · 25,014 shares Expires 2034-01-04 Read SEC document |
| June 20, 2023 Filed Jun 22, 2023 09:19 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantStock Option (Right to Buy) · Derivative | 13,000 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001562180-23-005449 · primarydocument.xml · derivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,000 Underlying: Common Stock · 13,000 shares Expires 2033-06-19 Read SEC document |
| June 20, 2023 Filed Jun 22, 2023 09:19 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantStock Option (Right to Buy) · Derivative | 26,100 | $0.00 Strike: $3.26 | $0.00 |
DisclosureSEC source: 0001562180-23-005449 · primarydocument.xml · derivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,100 Underlying: Common Stock · 26,100 shares Expires 2033-06-19 Read SEC document |
| February 09, 2023 Filed Feb 13, 2023 17:06 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionRestricted Stock Units · Derivative | 3,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-001336 · primarydocument.xml · derivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Fully vested on the one-year anniversary of the grant date. F1 · derivative.expiration_date: Fully vested on the one-year anniversary of the grant date. Read SEC document |
| February 09, 2023 Filed Feb 13, 2023 17:06 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-001336 · primarydocument.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,400 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 |
| December 30, 2022 Filed Jan 4, 2023 22:15 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 779 | $17.64 | $13,741.56 |
DisclosureSEC source: 0001062993-23-000359 · form4.xml · nonDerivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,182 F2 · shares: Consists of restricted shares of common stock granted to the Reporting Person as compensation in advance for her services as a director, based on the $17.64 closing price of the common stock on December 30, 2022. The restricted shares vest on December 30, 2023, subject to the Reporting Person's continued service through such vesting date. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 22:15 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 1,120 | $17.64 | $19,756.80 |
DisclosureSEC source: 0001062993-23-000359 · form4.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,403 F1 · shares: Consists of shares of common stock issued in connection with the Reporting Person's voluntary decision to receive shares in lieu of cash compensation for her services as a director, based on the $17.64 closing price of the common stock on December 30, 2022. Read SEC document |
| December 01, 2022 Filed Dec 5, 2022 21:20 UTC | Renovacor, Inc. RCOR · Entity 114644 | Disposition to issuerStock Option · Derivative | 155,325 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-023379 · form4.xml · derivative · entry 7 DICICCO WENDY F · CIK 0001225165 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 155,325 shares Expires 2032-06-17 F4 · derivative.exercise_price: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio, rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent. F5 · derivative.exercise_date: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement. Read SEC document |
| December 01, 2022 Filed Dec 5, 2022 21:20 UTC | Renovacor, Inc. RCOR · Entity 114644 | Disposition to issuerStock Option · Derivative | 37,575 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-023379 · form4.xml · derivative · entry 6 DICICCO WENDY F · CIK 0001225165 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 37,575 shares Expires 2032-01-24 F4 · derivative.exercise_price: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio, rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent. F5 · derivative.exercise_date: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement. Read SEC document |
| December 01, 2022 Filed Dec 5, 2022 21:20 UTC | Renovacor, Inc. RCOR · Entity 114644 | Disposition to issuerStock Option · Derivative | 14,553 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-023379 · form4.xml · derivative · entry 5 DICICCO WENDY F · CIK 0001225165 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,553 shares Expires 2031-09-03 F4 · derivative.exercise_price: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio, rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent. F5 · derivative.exercise_date: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement. Read SEC document |
| December 01, 2022 Filed Dec 5, 2022 21:20 UTC | Renovacor, Inc. RCOR · Entity 114644 | Disposition to issuerStock Option · Derivative | 10,936 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-023379 · form4.xml · derivative · entry 4 DICICCO WENDY F · CIK 0001225165 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,936 shares Expires 2031-01-25 F4 · derivative.exercise_price: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio, rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent. F5 · derivative.exercise_date: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement. Read SEC document |
| December 01, 2022 Filed Dec 5, 2022 21:20 UTC | Renovacor, Inc. RCOR · Entity 114644 | Disposition to issuerCommon Stock | 4,329 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-22-023379 · form4.xml · nonDerivative · entry 3 DICICCO WENDY F · CIK 0001225165 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · price: The shares underlying the Earnout RSU Awards were cancelled and converted into the right to receive the Per Share Merger Consideration (as defined in the Merger Agreement). Read SEC document |
| December 01, 2022 Filed Dec 5, 2022 21:20 UTC | Renovacor, Inc. RCOR · Entity 114644 | GrantCommon Stock | 4,329 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-22-023379 · form4.xml · nonDerivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,329 F2 · price: Represents shares of common stock underlying restricted stock units granted pursuant to that certain Agreement and Plan of Merger, dated as of March 22, 2021, by and among the Issuer, Renovacor Holdings, Inc. and CHAQ 2 Merger Sub, Inc. (the "SPAC Merger Agreement") as Earnout RSU Awards (as defined in the SPAC Merger Agreement). Pursuant to the terms of the SPAC Merger Agreement, the Earnout RSU Awards have fully vested upon the consummation of the merger. Read SEC document |
| December 01, 2022 Filed Dec 5, 2022 21:20 UTC | Renovacor, Inc. RCOR · Entity 114644 | Disposition to issuerCommon Stock | 18,800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-22-023379 · form4.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Represents shares of common stock underlying Company Time-Vesting RSUs (as defined in the Agreement and Plan of Merger, dated as of September 19, 2022, by and among the Issuer, Rocket Pharmaceuticals, Inc. ("Rocket") and the other parties thereto (the "Merger Agreement")). Each unvested RSU outstanding immediately prior to the First Effective Time (as defined in the Merger Agreement) was accelerated, cancelled and converted into the right to receive a number of Rocket common stock, rounded to the nearest whole number, equal to the number of shares of Issuer common stock underlying such Company Time-Vesting RSU multiplied by the Exchange Ratio (as defined in the Merger Agreement). Read SEC document |
| September 30, 2022 Filed Oct 4, 2022 11:00 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 809 | $17.00 | $13,753.00 |
DisclosureSEC source: 0001062993-22-020197 · form4.xml · nonDerivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,283 F2 · shares: Consists of restricted shares of common stock granted to the Reporting Person as compensation in advance for her services as a director, based on the $17.00 closing price of the common stock on September 30, 2022. The restricted shares vest on September 30, 2023, subject to the Reporting Person's continued service through such vesting date. Read SEC document |
| September 30, 2022 Filed Oct 4, 2022 11:00 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 1,162 | $17.00 | $19,754.00 |
DisclosureSEC source: 0001062993-22-020197 · form4.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,474 F1 · shares: Consists of shares of common stock issued in connection with the Reporting Person's voluntary decision to receive shares in lieu of cash compensation for her services as a director, based on the $17.00 closing price of the common stock on September 30, 2022. Read SEC document |
| June 30, 2022 Filed Jul 5, 2022 21:48 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 1,137 | $17.47 | $19,863.39 |
DisclosureSEC source: 0000947871-22-000744 · ownership.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,312 F1 · shares: Includes the following compensation for the Reporting Person's services as a director: (1) 250 shares and (2) based on the $17.47 closing price of the common stock on June 30, 2022, 887 shares issued in connection with the Reporting Person's voluntary decision to receive shares in lieu of cash compensation. Read SEC document |
| June 17, 2022 Filed Jun 21, 2022 19:49 UTC | Renovacor, Inc. RCOR · Entity 114644 | GrantStock Option · Derivative | 155,325 | $0.00 Strike: $1.80 | $0.00 |
DisclosureSEC source: 0001062993-22-015292 · form4.xml · derivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,325 Underlying: Common Stock · 155,325 shares Expires 2032-06-17 F1 · derivative.exercise_date: The stock option will vest and become exercisable in full on June 17, 2026, with 25% vesting on June 17, 2023, and the remainder vesting in equal monthly installments for the remaining 36 months, subject to the continuous service of the Reporting Person on such vesting dates. Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 21:20 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 1,175 | $16.88 | $19,834.00 |
DisclosureSEC source: 0000947871-22-000437 · ownership.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,175 F1 · security: Includes the following compensation for Reporting Person's services as a director based on the $16.88 closing price of the common stock on March 31, 2022: (i) 250 shares and (ii) 925 restricted shares, which will fully vest on October 1, 2022. Read SEC document |
| February 09, 2022 Filed Feb 11, 2022 16:53 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantStock Option (Right to Buy) · Derivative | 11,000 | $0.00 Strike: $10.13 | $0.00 |
DisclosureSEC source: 0001562180-22-001418 · primarydocument.xml · derivative · entry 4 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2032-02-09 F2 · derivative.exercise_date: Will fully vest on the one-year anniversary of the grant date. Read SEC document |
| February 09, 2022 Filed Feb 11, 2022 16:53 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantRestricted Stock Units · Derivative | 3,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-001418 · primarydocument.xml · derivative · entry 3 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Underlying: Common Stock · 3,000 shares Expires not disclosed F2 · derivative.exercise_date: Will fully vest on the one-year anniversary of the grant date. F2 · derivative.expiration_date: Will fully vest on the one-year anniversary of the grant date. Read SEC document |
| February 09, 2022 Filed Feb 11, 2022 16:53 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionRestricted Stock Units · Derivative | 2,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-001418 · primarydocument.xml · derivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Fully vested on the one-year anniversary of the grant date. F1 · derivative.expiration_date: Fully vested on the one-year anniversary of the grant date. Read SEC document |
| February 09, 2022 Filed Feb 11, 2022 16:53 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-001418 · primarydocument.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,400 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 |
| January 24, 2022 Filed Jan 26, 2022 18:30 UTC | Renovacor, Inc. RCOR · Entity 114644 | GrantStock Option · Derivative | 37,575 | $0.00 Strike: $6.45 | $0.00 |
DisclosureSEC source: 0000899243-22-003303 · doc4.xml · derivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,575 Underlying: Common Stock · 37,575 shares Expires 2032-01-24 F2 · derivative.exercise_date: The stock option will vest and become exercisable in full on January 24, 2026, with 25% vesting on January 24, 2023, and the remainder vesting in equal monthly installments on the 24th of each month for the remaining 36 months, subject to the continuous service of the Reporting Person on such vesting date. Read SEC document |
| January 24, 2022 Filed Jan 26, 2022 18:30 UTC | Renovacor, Inc. RCOR · Entity 114644 | GrantCommon Stock | 18,800 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-003303 · doc4.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,129 F1 · shares: These restricted stock units will vest in four equal annual installments beginning on January 24, 2023, subject to continued service with the Company. Read SEC document |
| September 03, 2021 Filed Sep 8, 2021 19:00 UTC | Renovacor, Inc. RCOR · Entity 114644 | GrantOption · Derivative | 14,553 | $0.00 Strike: $7.73 | $0.00 |
DisclosureSEC source: 0001192482-21-000711 · edgar.xml · derivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,553 Underlying: Common Stock · 14,553 shares Expires 2031-09-03 F1 · derivative.exercise_date: 50% of this stock option will vest and become exercisable on April 1, 2022, and the remaining 50% will vest and become exercisable on September 3, 2022, subject to the Reporting Person's continued service as Interim Chief Financial Officer of the Issuer. The stock options will also vest in full if, prior to the vesting date, the Reporting Person is terminated without Cause (as defined in the Consulting Agreement by and between the Issuer and Danforth Advisors, LLC, dated September 27, 2019, as amended). Read SEC document |
| June 22, 2021 Filed Jun 23, 2021 17:29 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantStock Option (Right to Buy) · Derivative | 11,000 | $0.00 Strike: $13.13 | $0.00 |
DisclosureSEC source: 0001562180-21-004456 · primarydocument.xml · derivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2031-02-09 Read SEC document |
| June 22, 2021 Filed Jun 23, 2021 17:29 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantRestricted Stock Units · Derivative | 2,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001562180-21-004456 · primarydocument.xml · derivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 shares Expires not disclosed F1 · derivative.expiration_date: Will fully vest on the one-year anniversary of the grant date. Read SEC document |
| February 28, 2021 Filed Mar 2, 2021 19:22 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionRestricted Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001562180-21-001817 · primarydocument.xml · derivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,900 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.expiration_date: Fully vested on the one-year anniversary of the grant date. Read SEC document |
| February 28, 2021 Filed Mar 2, 2021 19:22 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionCommon Stock | 1,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-21-001817 · primarydocument.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,900 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 28, 2020 Filed Mar 3, 2020 18:03 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantStock Option (Right to Buy) · Derivative | 33,500 | $0.00 Strike: $1.29 | $0.00 |
DisclosureSEC source: 0001562180-20-002046 · primarydocument.xml · derivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,500 Underlying: Common Stock · 33,500 shares Expires 2030-02-28 Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 18:03 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantRestricted Stock Units · Derivative | 19,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001562180-20-002046 · primarydocument.xml · derivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,000 Underlying: Common Stock · 19,000 shares Expires not disclosed F1 · derivative.expiration_date: Will fully vest on the one-year anniversary of the grant date. Read SEC document |
| July 15, 2019 Filed Jul 16, 2019 16:39 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $1.51 | $0.00 |
DisclosureSEC source: 0001562180-19-003959 · primarydocument.xml · derivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2029-07-15 F1 · derivative.exercise_date: The option becomes exercisable in three equal annual installments beginning on July 15, 2020. Read SEC document |
| April 28, 2017 Filed Apr 28, 2017 22:26 UTC | COHERENT CORP. IIVI · Entity 1179 | Exercise / conversionOption (Right to Buy) · Derivative | 2,500 | $0.00 Strike: $15.42 | $0.00 |
DisclosureSEC source: 0000820318-17-000002 · primary_doc.xml · derivative · entry 3 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 2,500 shares Expires 2018-02-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: The grant of these options previously was reported as covering 10,000 shares at an exercise price of $30.83 per share. These options were adjusted to reflect a 2-for-1 stock split that occurred on June 27, 2011. F3 · shares: The grant of these options previously was reported as covering 10,000 shares at an exercise price of $30.83 per share. These options were adjusted to reflect a 2-for-1 stock split that occurred on June 27, 2011. F4 · derivative.exercise_date: These options vested in five equal annual installments beginning on February 9, 2009. F3 · derivative.underlying_shares: The grant of these options previously was reported as covering 10,000 shares at an exercise price of $30.83 per share. These options were adjusted to reflect a 2-for-1 stock split that occurred on June 27, 2011. F3 · balance_after: The grant of these options previously was reported as covering 10,000 shares at an exercise price of $30.83 per share. These options were adjusted to reflect a 2-for-1 stock split that occurred on June 27, 2011. Read SEC document |
| April 28, 2017 Filed Apr 28, 2017 22:26 UTC | COHERENT CORP. IIVI · Entity 1179 | SaleCommon Stock | 2,500 | $33.19 | $82,970.00 |
DisclosureSEC source: 0000820318-17-000002 · primary_doc.xml · nonDerivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,546 F1 · kind: The sale transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 16, 2017. F2 · price: Represents the weighted average of multiple sale transactions ranging in price from $32.8500 to $33.5000. The reporting person agrees to provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the Company or a security holder of the Company. Read SEC document |
| April 28, 2017 Filed Apr 28, 2017 22:26 UTC | COHERENT CORP. IIVI · Entity 1179 | Exercise / conversionCommon Stock | 2,500 | $15.42 | $38,537.50 |
DisclosureSEC source: 0000820318-17-000002 · primary_doc.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,046 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 |
| January 31, 2017 Filed Feb 1, 2017 21:42 UTC | COHERENT CORP. IIVI · Entity 1179 | Exercise / conversionOption (Right to Buy) · Derivative | 3,000 | $0.00 Strike: $15.98 | $0.00 |
DisclosureSEC source: 0000820318-17-000001 · primary_doc.xml · derivative · entry 3 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,000 shares Expires 2017-02-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The options vested in five equal annual installments beginning on February 10, 2008. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:42 UTC | COHERENT CORP. IIVI · Entity 1179 | SaleCommon Stock | 3,000 | $36.33 | $108,975.00 |
DisclosureSEC source: 0000820318-17-000001 · primary_doc.xml · nonDerivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,546 Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:42 UTC | COHERENT CORP. IIVI · Entity 1179 | Exercise / conversionCommon Stock | 3,000 | $15.98 | $47,940.00 |
DisclosureSEC source: 0000820318-17-000001 · primary_doc.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,546 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 |
| December 23, 2016 Filed Dec 27, 2016 18:18 UTC | COHERENT CORP. IIVI · Entity 1179 | SaleCommon Stock | 4,400 | $29.36 | $129,169.92 |
DisclosureSEC source: 0000820318-16-000044 · primary_doc.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,546 F1 · kind: The sale reported in this Form 4 was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on September 26, 2016. F2 · price: Represents the weighted average of multiple sales transactions ranging in price from $29.20 to $29.45. The reporting person agrees to provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the Company or a security holder of the Company. Read SEC document |
| September 08, 2016 Filed Sep 9, 2016 20:15 UTC | COHERENT CORP. IIVI · Entity 1179 | Exercise / conversionOption (Right to Buy) · Derivative | 4,000 | $0.00 Strike: $15.98 | $0.00 |
DisclosureSEC source: 0000820318-16-000042 · primary_doc.xml · derivative · entry 3 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,400 Underlying: Common Stock · 4,000 shares Expires 2017-02-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option vested in 5 equal annual installments beginning on February 10, 2008. Read SEC document |
| September 08, 2016 Filed Sep 9, 2016 20:15 UTC | COHERENT CORP. IIVI · Entity 1179 | SaleCommon Stock | 4,000 | $22.30 | $89,199.60 |
DisclosureSEC source: 0000820318-16-000042 · primary_doc.xml · nonDerivative · entry 2 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,946 F1 · price: Represents the weighted average of multiple sales transactions ranging in price from $22.0772 to $22.52. The reporting person agrees to provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the Company or a security holder of the Company. Read SEC document |
| September 08, 2016 Filed Sep 9, 2016 20:15 UTC | COHERENT CORP. IIVI · Entity 1179 | Exercise / conversionCommon Stock | 4,000 | $15.98 | $63,920.00 |
DisclosureSEC source: 0000820318-16-000042 · primary_doc.xml · nonDerivative · entry 1 DICICCO WENDY F · CIK 0001225165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,946 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.