Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ChargePoint Holdings, Inc.CHPT · Entity 6581 | Chief Financial Officer | September 21, 2023 | September 25, 2023 |
| EMCORE CORPEMKR · Entity 82711 | Director | April 09, 2024 | April 10, 2024 |
| Energous CorpWATT · Entity 7121 | Director | August 09, 2019 | August 13, 2019 |
| Terra Innovatum Global N.V.NKLR · Entity 5383 | Director | October 09, 2025 | October 10, 2025 |
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.
ChargePoint Holdings, Inc.
Report date September 21, 2023 · Filed September 25, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,973,546 |
Reported balance
After 2023-09-21 transaction · row 1
1 source rowRow 1 · 2023-09-21 · Sale · Disposed 16,799 · Balance 1,973,546 F1: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. F2: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $5.03 to $5.12. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 197,335 |
Reported balance
Holding disclosure · report date 2023-09-21 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 197,335 F3: The shares are held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.
F2: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $5.03 to $5.12. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
F3: The shares are held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee.
EMCORE CORP
Report date April 09, 2024 · Filed April 10, 2024 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table I · non-derivative | Direct | 31,386 |
Reported balance
After 2024-04-09 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2024-04-09 · Grant · Acquired 23,219 · Balance 31,386 F1: Each restricted stock unit represents a contingent right to receive one share of EMCORE common stock. The restricted stock units were issued pursuant to the EMCORE Corporation 2019 Equity Incentive Plan (the "Equity Plan") in accordance with EMCORE's Director Compensation Policy. The restricted stock units vest as to all of the underlying shares on the earliest of (i) the first anniversary of the grant date, (ii) the date immediately prior to the Issuer's 2025 annual meeting of shareholders, (iii) the consummation of a Change in Control (as defined in the Equity Plan) or (iv) the non-employee director's death or termination of service on the Board due to Disability (as defined in the Equity Plan), in each case subject to the Reporting Person's continued service as a non-employee director through the vesting date. F2: Reflects a correction in the number of shares of common stock reported as beneficially owned by the Reporting Person in a Form 4 previously filed on April 10, 2024 due to an inadvertent error that appeared in such Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of EMCORE common stock. The restricted stock units were issued pursuant to the EMCORE Corporation 2019 Equity Incentive Plan (the "Equity Plan") in accordance with EMCORE's Director Compensation Policy. The restricted stock units vest as to all of the underlying shares on the earliest of (i) the first anniversary of the grant date, (ii) the date immediately prior to the Issuer's 2025 annual meeting of shareholders, (iii) the consummation of a Change in Control (as defined in the Equity Plan) or (iv) the non-employee director's death or termination of service on the Board due to Disability (as defined in the Equity Plan), in each case subject to the Reporting Person's continued service as a non-employee director through the vesting date.
F2: Reflects a correction in the number of shares of common stock reported as beneficially owned by the Reporting Person in a Form 4 previously filed on April 10, 2024 due to an inadvertent error that appeared in such Form 4.
Energous Corp
Report date August 09, 2019 · Filed August 13, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 89,003 |
Reported balance
After 2019-08-09 transaction · row 1
1 source rowRow 1 · 2019-08-09 · Other · Disposed 2,556 · Balance 89,003 F1: Exempt pursuant to Section 16b-3(d)-(e). On August 9, 2019 the reporting person and the Issuer entered into the Restricted Stock Unit Rescission Agreement, previously approved by the Nominating and Corporate Governance Committee and the Board of Directors, rescinding 2,556 shares of common stock inadvertently issued to the reporting person pursuant to the restricted stock units grant on January 2, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: Exempt pursuant to Section 16b-3(d)-(e). On August 9, 2019 the reporting person and the Issuer entered into the Restricted Stock Unit Rescission Agreement, previously approved by the Nominating and Corporate Governance Committee and the Board of Directors, rescinding 2,556 shares of common stock inadvertently issued to the reporting person pursuant to the restricted stock units grant on January 2, 2018.
Terra Innovatum Global N.V.
Report date October 09, 2025 · Filed October 10, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2025-10-09 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Gigamon Inc.
Report date December 27, 2017 · Filed December 27, 2017
Section 16 reporting ended · disclosed 2017-12-27. 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 |
Reported balance
After 2017-12-27 transaction · row 1
1 source rowRow 1 · 2017-12-27 · Other · Disposed 69,930 · Balance 0 F1: Certain of these securities were restricted stock units ("RSUs") that represented the Reporting Person's right to receive shares of Common Stock of the Issuer. The RSUs were cancelled pursuant to that certain Merger Agreement, dated October 26, 2017, between the Issuer, Ginsberg Holdco, Inc. and Ginsberg Merger Sub, Inc. (the "Merger Agreement"), in exchange for a cash payment of $38.50 per share. F2: Disposed of pursuant to the Merger Agreement, in exchange for a cash payment of $38.50 per share. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $57.45 · Expires 2023-11-14 | Direct | 0 |
Reported balance
After 2017-12-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-12-27 · Disposition to issuer · Disposed 100,000 · Balance 0 F3: The option, which provided for vesting of 25% of the option on October 27, 2017 with the remaining shares vesting in thirty six equal monthly installments thereafter, was cancelled pursuant to the Merger Agreement. |
| Performance SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2017-12-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-12-27 · Disposition to issuer · Disposed 25,000 · Balance 0 F4: The performance shares, which reflected the target number and were to be based on the achievement of certain performance metrics for 2017 and for which the Reporting Person was eligible to receive up to 200% of the target number based on the achievement of the performance metrics, was cancelled pursuant to the Merger Agreement for no consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain of these securities were restricted stock units ("RSUs") that represented the Reporting Person's right to receive shares of Common Stock of the Issuer. The RSUs were cancelled pursuant to that certain Merger Agreement, dated October 26, 2017, between the Issuer, Ginsberg Holdco, Inc. and Ginsberg Merger Sub, Inc. (the "Merger Agreement"), in exchange for a cash payment of $38.50 per share.
F2: Disposed of pursuant to the Merger Agreement, in exchange for a cash payment of $38.50 per share.
F3: The option, which provided for vesting of 25% of the option on October 27, 2017 with the remaining shares vesting in thirty six equal monthly installments thereafter, was cancelled pursuant to the Merger Agreement.
F4: The performance shares, which reflected the target number and were to be based on the achievement of certain performance metrics for 2017 and for which the Reporting Person was eligible to receive up to 200% of the target number based on the achievement of the performance metrics, was cancelled pursuant to the Merger Agreement for no consideration.
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 |
|---|---|---|---|---|---|---|
| April 09, 2024 Filed Apr 10, 2024 16:35 UTC Amendment | EMCORE CORP EMKR · Entity 82711 | GrantRestricted Stock Units | 23,219 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-24-006537 · marketforms-65531.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,386 F1 · price: Each restricted stock unit represents a contingent right to receive one share of EMCORE common stock. The restricted stock units were issued pursuant to the EMCORE Corporation 2019 Equity Incentive Plan (the "Equity Plan") in accordance with EMCORE's Director Compensation Policy. The restricted stock units vest as to all of the underlying shares on the earliest of (i) the first anniversary of the grant date, (ii) the date immediately prior to the Issuer's 2025 annual meeting of shareholders, (iii) the consummation of a Change in Control (as defined in the Equity Plan) or (iv) the non-employee director's death or termination of service on the Board due to Disability (as defined in the Equity Plan), in each case subject to the Reporting Person's continued service as a non-employee director through the vesting date. F2 · balance_after: Reflects a correction in the number of shares of common stock reported as beneficially owned by the Reporting Person in a Form 4 previously filed on April 10, 2024 due to an inadvertent error that appeared in such Form 4. Read SEC document |
| April 09, 2024 Filed Apr 10, 2024 16:12 UTC | EMCORE CORP EMKR · Entity 82711 | GrantRestricted Stock Units | 23,219 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-24-006521 · marketforms-65500.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 104,892 F1 · price: Each restricted stock unit represents a contingent right to receive one share of EMCORE common stock. The restricted stock units were issued pursuant to the EMCORE Corporation 2019 Equity Incentive Plan (the "Equity Plan") in accordance with EMCORE's Director Compensation Policy. The restricted stock units vest as to all of the underlying shares on the earliest of (i) the first anniversary of the grant date, (ii) the date immediately prior to the Issuer's 2025 annual meeting of shareholders, (iii) the consummation of a Change in Control (as defined in the Equity Plan) or (iv) the non-employee director's death or termination of service on the Board due to Disability (as defined in the Equity Plan), in each case subject to the Reporting Person's continued service as a non-employee director through the vesting date. Read SEC document |
| September 21, 2023 Filed Sep 25, 2023 20:40 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 16,799 | $5.03 | $84,532.57 |
DisclosureSEC source: 0000905148-23-001007 · form4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,973,546 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $5.03 to $5.12. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| September 11, 2023 Filed Sep 12, 2023 20:39 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 15 | $5.73 | $85.95 |
DisclosureSEC source: 0000905148-23-000909 · form4.xml · nonDerivative · entry 4 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,990,345 F5 · kind: Represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the acquisition of shares acquired under the ESPP. Read SEC document |
| September 08, 2023 Filed Sep 12, 2023 20:39 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,476,060 | Not disclosed Strike: $0.56 | Not disclosed |
DisclosureSEC source: 0000905148-23-000909 · form4.xml · derivative · entry 6 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,476,060 shares Expires 2028-07-06 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. F8 · price: The Stock Option was received in exchange for an option to purchase shares of common stock of ChargePoint, Inc. in connection with the merger pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020. F7 · derivative.exercise_date: The Stock Option is fully vested. Read SEC document |
| September 08, 2023 Filed Sep 12, 2023 20:39 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | GrantCommon Stock | 264 | $4.86 | $1,283.57 |
DisclosureSEC source: 0000905148-23-000909 · form4.xml · nonDerivative · entry 3 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,990,360 F3 · kind: The shares were acquired under the Issuer's Employee Stock Purchase Plan (the "ESPP") in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). F4 · price: The purchase price reflects a 15% discount to the closing price of the Issuer's Common Stock on the purchase date pursuant to the provisions of the ESPP. Read SEC document |
| September 08, 2023 Filed Sep 12, 2023 20:39 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 556,255 | $5.84 | $3,246,192.93 |
DisclosureSEC source: 0000905148-23-000909 · form4.xml · nonDerivative · entry 2 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,990,096 F1 · kind: These shares were sold in connection with a cashless exercise of, and to cover tax obligations related to, the exercised option reported herein. F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $5.72 to $6.025. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 2 of this Form 4. Read SEC document |
| September 08, 2023 Filed Sep 12, 2023 20:39 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | Exercise / conversionCommon Stock | 1,476,060 | $0.56 | $826,593.60 |
DisclosureSEC source: 0000905148-23-000909 · form4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,546,351 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 |
| June 21, 2023 Filed Jun 23, 2023 16:32 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 16,178 | $8.03 | $129,922.28 |
DisclosureSEC source: 0001140361-23-031199 · form4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,070,291 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $8.03 to $8.16. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| March 21, 2023 Filed Mar 22, 2023 16:21 UTC | EMCORE CORP EMKR · Entity 82711 | SaleCommon Stock | 4,484 | $1.10 | $4,954.37 |
DisclosureSEC source: 0001214659-23-004098 · marketforms-60964.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 81,673 F1 · security: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 27, 2021. F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 27, 2021. F2 · price: Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $1.10 to $1.115 per share. The Reporting Person hereby undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price. Read SEC document |
| March 21, 2023 Filed Mar 23, 2023 16:31 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 14,476 | $9.40 | $136,074.40 |
DisclosureSEC source: 0001140361-23-013429 · form4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,086,469 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. Read SEC document |
| March 10, 2023 Filed Mar 13, 2023 17:06 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 108 | $10.16 | $1,097.28 |
DisclosureSEC source: 0001567619-23-004941 · doc1.xml · nonDerivative · entry 2 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,100,945 F3 · kind: The sale reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the acquisition of shares acquired under the ESPP. Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 17:06 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | GrantCommon Stock | 1,739 | $8.66 | $15,062.35 |
DisclosureSEC source: 0001567619-23-004941 · doc1.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,101,053 F1 · kind: The shares were acquired under the Issuer's Employee Stock Purchase Plan (the "ESPP") in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). F2 · price: The purchase price reflects a 15% discount to the closing price of the Issuer's Common Stock on the purchase date pursuant to the provisions of the ESPP. Read SEC document |
| December 21, 2022 Filed Dec 23, 2022 17:01 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 13,805 | $9.53 | $131,561.65 |
DisclosureSEC source: 0001140361-22-046889 · form4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,099,314 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. Read SEC document |
| November 10, 2022 Filed Nov 14, 2022 21:09 UTC Amendment | ChargePoint Holdings, Inc. CHPT · Entity 6581 | OtherWarrant (right to buy) · Derivative | 87,821 | $0.00 Strike: $6.03 | $0.00 |
DisclosureSEC source: 0001140361-22-041526 · form4.xml · derivative · entry 2 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 0 Underlying: Common Stock · 87,821 shares Expires 2030-08-06 F1 · date: On September 23, 2022, the Reporting Person filed a Form 4 that inadvertently reported the exercise of the Warrant for 87,821 shares of Common Stock on September 22, 2022, but such exercise did not in fact occur until November 10, 2022. F1 · balance_after: On September 23, 2022, the Reporting Person filed a Form 4 that inadvertently reported the exercise of the Warrant for 87,821 shares of Common Stock on September 22, 2022, but such exercise did not in fact occur until November 10, 2022. F2 · ownership.nature: The shares are held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee. Read SEC document |
| November 10, 2022 Filed Nov 14, 2022 21:09 UTC Amendment | ChargePoint Holdings, Inc. CHPT · Entity 6581 | OtherCommon Stock | 87,821 | $6.03 | $529,560.63 |
DisclosureSEC source: 0001140361-22-041526 · form4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 197,335 F1 · date: On September 23, 2022, the Reporting Person filed a Form 4 that inadvertently reported the exercise of the Warrant for 87,821 shares of Common Stock on September 22, 2022, but such exercise did not in fact occur until November 10, 2022. F2 · ownership.nature: The shares are held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee. Read SEC document |
| September 22, 2022 Filed Sep 23, 2022 17:40 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | OtherWarrant (right to buy) · Derivative | 87,821 | Not disclosed Strike: $6.03 | Not disclosed |
DisclosureSEC source: 0000899243-22-031914 · doc4.xml · derivative · entry 3 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 0 Underlying: Common Stock · 87,821 shares Expires 2030-08-06 F4 · price: The Warrant was received in exchange for a warrant to purchase 88,121 shares of common stock of ChargePoint, Inc. in connection with the merger pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020. The Warrant is held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee. F4 · ownership.nature: The Warrant was received in exchange for a warrant to purchase 88,121 shares of common stock of ChargePoint, Inc. in connection with the merger pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020. The Warrant is held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee. Read SEC document |
| September 22, 2022 Filed Sep 23, 2022 17:40 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | OtherCommon Stock | 87,821 | $6.03 | $529,560.63 |
DisclosureSEC source: 0000899243-22-031914 · doc4.xml · nonDerivative · entry 2 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 197,335 F3 · ownership.nature: The shares are held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee. Read SEC document |
| September 21, 2022 Filed Sep 23, 2022 17:40 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 15,005 | $16.00 | $240,065.00 |
DisclosureSEC source: 0000899243-22-031914 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,113,119 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $15.88 to $16.06. The Reporting Person has provided to the issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| September 12, 2022 Filed Sep 13, 2022 17:40 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 63 | $17.79 | $1,120.77 |
DisclosureSEC source: 0000899243-22-030954 · doc4.xml · nonDerivative · entry 2 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,128,124 F3 · kind: The sale reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the acquisition of shares acquired under the ESPP. Read SEC document |
| September 09, 2022 Filed Sep 13, 2022 17:40 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | GrantCommon Stock | 1,016 | $14.64 | $14,871.19 |
DisclosureSEC source: 0000899243-22-030954 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,128,187 F1 · kind: The shares were acquired under the Issuer's Employee Stock Purchase Plan (the "ESPP") in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). F2 · price: The purchase price reflects a 15% discount to the closing price of the Issuer's Common Stock on the purchase date pursuant to the provisions of the ESPP. Read SEC document |
| June 22, 2022 Filed Jun 24, 2022 16:31 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 7,886 | $13.63 | $107,478.29 |
DisclosureSEC source: 0000899243-22-023980 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,127,171 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $13.6241 to $13.6325. The Reporting Person has provided to the issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 20:17 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | GrantCommon Stock | 358,166 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-021110 · doc4.xml · nonDerivative · entry 2 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,135,057 F2 · shares: The Reporting Person was granted performance restricted stock units ("PRSUs"), which represent a contingent right to receive one share of Common Stock for each PRSU. The actual PRSUs awarded shall be earned upon the Issuer's common stock achieving certain price per share targets, as determined upon certification of the Issuer's Compensation & Organizational Development Committee. If earned, the eligible PRSUs will vest over a 5-year period commencing on June 20, 2022 with respect to 1/20th quarterly thereafter, provided that the Reporting Person remains in continuous service on each such vesting date. Quarterly vesting dates are September 20, December 20, March 20 and June 20. F2 · price: The Reporting Person was granted performance restricted stock units ("PRSUs"), which represent a contingent right to receive one share of Common Stock for each PRSU. The actual PRSUs awarded shall be earned upon the Issuer's common stock achieving certain price per share targets, as determined upon certification of the Issuer's Compensation & Organizational Development Committee. If earned, the eligible PRSUs will vest over a 5-year period commencing on June 20, 2022 with respect to 1/20th quarterly thereafter, provided that the Reporting Person remains in continuous service on each such vesting date. Quarterly vesting dates are September 20, December 20, March 20 and June 20. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 20:17 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | GrantCommon Stock | 331,272 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-021110 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 776,891 F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"), which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a 5-year period commencing on June 20, 2022 with respect to 1/20th quarterly thereafter, provided that the Reporting Person remains in continuous service on each such vesting date. Quarterly vesting dates are September 20, December 20, March 20 and June 20. F1 · price: The Reporting Person was granted restricted stock units ("RSUs"), which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs are subject to a service-based vesting requirement, which shall be satisfied over a 5-year period commencing on June 20, 2022 with respect to 1/20th quarterly thereafter, provided that the Reporting Person remains in continuous service on each such vesting date. Quarterly vesting dates are September 20, December 20, March 20 and June 20. Read SEC document |
| May 17, 2022 Filed May 19, 2022 17:00 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | Exercise / conversionStock Option (right to buy) · Derivative | 50,196 | Not disclosed Strike: $0.56 | Not disclosed |
DisclosureSEC source: 0000899243-22-018860 · doc4.xml · derivative · entry 3 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,476,060 Underlying: Common Stock · 50,196 shares Expires 2028-07-05 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 · price: The Stock Option was received in exchange for an option to purchase shares of common stock of ChargePoint, Inc. in connection with the merger pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020. F2 · derivative.exercise_date: The Stock Option vests in 48 equal monthly installments from May 29, 2018, subject to the Reporting Person's continuous service through each vesting date. Read SEC document |
| May 17, 2022 Filed May 19, 2022 17:00 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | Exercise / conversionCommon Stock | 50,196 | $0.56 | $28,109.76 |
DisclosureSEC source: 0000899243-22-018860 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 445,619 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 |
| March 22, 2022 Filed Mar 24, 2022 16:21 UTC | EMCORE CORP EMKR · Entity 82711 | SaleCommon Stock | 4,484 | $3.81 | $17,084.04 |
DisclosureSEC source: 0001214659-22-004335 · marketforms-55843.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,157 F1 · security: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 27, 2021. F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 27, 2021. F2 · price: Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $3.791 to $3.85 per share. The Reporting Person hereby undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price. Read SEC document |
| March 22, 2022 Filed Mar 24, 2022 17:01 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 8,100 | $17.92 | $145,143.09 |
DisclosureSEC source: 0000899243-22-012107 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 395,423 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $17.74 to $18.2702. The Reporting Person has provided to the issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| March 10, 2022 Filed Mar 14, 2022 20:28 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 49 | $17.47 | $856.03 |
DisclosureSEC source: 0000899243-22-010949 · doc4.xml · nonDerivative · entry 2 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 403,523 F3 · kind: The sale reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the acquisition of shares acquired under the ESPP. F2 · balance_after: The purchase price reflects a 15% discount to the closing price of the Issuer's Common Stock on the purchase date pursuant to the provisions of the ESPP. Read SEC document |
| March 09, 2022 Filed Mar 14, 2022 20:28 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | GrantCommon Stock | 785 | $14.85 | $11,656.86 |
DisclosureSEC source: 0000899243-22-010949 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 403,572 F1 · kind: The shares were acquired under the Issuer's Employee Stock Purchase Plan (the "ESPP") in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). F2 · price: The purchase price reflects a 15% discount to the closing price of the Issuer's Common Stock on the purchase date pursuant to the provisions of the ESPP. Read SEC document |
| December 30, 2021 Filed Jan 4, 2022 17:00 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | Exercise / conversionStock Option (right to buy) · Derivative | 55,000 | $0.00 Strike: $0.56 | $0.00 |
DisclosureSEC source: 0000899243-22-000533 · doc4.xml · derivative · entry 4 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,526,256 Underlying: Common Stock · 55,000 shares Expires 2028-07-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The Stock Option vests in 48 equal monthly installments from May 29, 2018, subject to the Reporting Person's continuous service through each vesting date. Read SEC document |
| December 30, 2021 Filed Jan 4, 2022 17:00 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | Exercise / conversionCommon Stock | 55,000 | $0.56 | $30,800.00 |
DisclosureSEC source: 0000899243-22-000533 · doc4.xml · nonDerivative · entry 2 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402,787 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, 2021 Filed Jan 4, 2022 17:00 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 11,000 | $18.78 | $206,529.40 |
DisclosureSEC source: 0000899243-22-000533 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 347,787 F1 · kind: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $18.77 to $18.8004. The Reporting Person has provided to the issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range. F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $18.77 to $18.8004. The Reporting Person has provided to the issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| December 21, 2021 Filed Dec 23, 2021 18:14 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 10,530 | $18.06 | $190,171.80 |
DisclosureSEC source: 0000899243-21-049665 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 358,787 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. Read SEC document |
| September 22, 2021 Filed Sep 24, 2021 20:46 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 10,901 | $20.15 | $219,657.33 |
DisclosureSEC source: 0000899243-21-037697 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 369,317 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $20.15 to $20.2308. The Reporting Person has provided to the issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range. F3 · balance_after: On July 2, 2021, the reporting person filed a Form 4 which inadvertently underreported the total number of shares of Common Stock directly held by the reporting person. The amount of securities beneficially owned as set forth in this Column 5 has been corrected to reflect the reporting person's current holdings after giving effect to this sale. Read SEC document |
| August 25, 2021 Filed Aug 25, 2021 17:44 UTC | EMCORE CORP EMKR · Entity 82711 | SaleCommon Stock | 17,000 | $7.51 | $127,670.00 |
DisclosureSEC source: 0001214659-21-009000 · marketforms-53661.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,641 F1 · security: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 27, 2021. F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 27, 2021. F2 · price: Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $7.42 to $7.60 per share. The Reporting Person hereby undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 19:37 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | OtherCommon Stock | 5,930 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-027362 · doc4.xml · nonDerivative · entry 3 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 109,514 F1 · kind: Pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020 (the "Business Combination Agreement"), among Switchback Energy Acquisition Corporation (since renamed "ChargePoint Holdings, Inc." and referred to herein as the "Issuer"), Lightning Merger Sub Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and ChargePoint, Inc., the Merger Sub merged with and into ChargePoint, Inc. (the "Merger"), the reporting persons became entitled to receive shares of the Issuer's Common Stock (the "Earnout Shares") following each of three Triggering Events (as defined in the Business Combination Agreement) that occur within five years of the February 26, 2021 closing of the Merger. F2 · kind: The third "Triggering Event" is the date on which the volume-weighted average closing sale price of the Issuer's Common Stock is greater than or equal to $30.00 for any ten trading days within any twenty consecutive trading day period. The third Triggering Event occurred, and pursuant to the terms of the Business Combination Agreement, the Earnout Shares reported on this Form 4 were issued on July 1, 2021. The issuance of shares as merger consideration in the Merger transaction, including the receipt of the Earnout Shares reported on this Form 4, was exempt under Rule 16b-3. F4 · ownership.nature: The Shares are held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 19:37 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | Tax withholdingCommon Stock | 17,262 | $35.69 | $616,080.78 |
DisclosureSEC source: 0000899243-21-027362 · doc4.xml · nonDerivative · entry 2 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,529 F3 · kind: The shares were withheld to satisfy tax withholding obligations. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 19:37 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | OtherCommon Stock | 34,817 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-027362 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,791 F1 · kind: Pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020 (the "Business Combination Agreement"), among Switchback Energy Acquisition Corporation (since renamed "ChargePoint Holdings, Inc." and referred to herein as the "Issuer"), Lightning Merger Sub Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and ChargePoint, Inc., the Merger Sub merged with and into ChargePoint, Inc. (the "Merger"), the reporting persons became entitled to receive shares of the Issuer's Common Stock (the "Earnout Shares") following each of three Triggering Events (as defined in the Business Combination Agreement) that occur within five years of the February 26, 2021 closing of the Merger. F2 · kind: The third "Triggering Event" is the date on which the volume-weighted average closing sale price of the Issuer's Common Stock is greater than or equal to $30.00 for any ten trading days within any twenty consecutive trading day period. The third Triggering Event occurred, and pursuant to the terms of the Business Combination Agreement, the Earnout Shares reported on this Form 4 were issued on July 1, 2021. The issuance of shares as merger consideration in the Merger transaction, including the receipt of the Earnout Shares reported on this Form 4, was exempt under Rule 16b-3. Read SEC document |
| June 23, 2021 Filed Jun 25, 2021 19:52 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | SaleCommon Stock | 22,311 | $32.22 | $718,900.58 |
DisclosureSEC source: 0000899243-21-026085 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 362,663 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $32.22 to $32.421. The Reporting Person has provided to the issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 20:00 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | GrantCommon Stock | 350,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-022164 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,974 F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"), each representing the right to receive one share of the issuer's common stock. The RSUs are subject to a service-based vesting requirement, which shall vest with respect to 12.5% on June 20, 2021 and 6.25% quarterly thereafter, provided that the Reporting Person remain in continuous service on each such vesting date. Quarterly vesting dates are September 20, December 20, March 20 and June 20. Read SEC document |
| March 19, 2021 Filed Mar 22, 2021 16:14 UTC | EMCORE CORP EMKR · Entity 82711 | GrantRestricted Stock Units | 33,632 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-21-003321 · marketforms-51874.xml · nonDerivative · entry 2 JACKSON REX S · CIK 0001249803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,641 F1 · price: Each restricted stock unit represents a contingent right to receive one share of EMCORE common stock. The restricted stock units were issued pursuant to the EMCORE Corporation 2019 Equity Incentive Plan in accordance with EMCORE's Director Compensation Policy. The restricted stock units vest as to 1/3 of the underlying shares on the earlier of (i) each of the first three anniversaries of the grant date or (ii) the day prior to the Issuer's annual meeting of shareholders for the applicable year, in each case subject to the Reporting Person's continued service as a non-employee director. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 19:40 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | OtherCommon Stock | 11,860 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-013206 · doc4.xml · nonDerivative · entry 3 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 103,584 F1 · kind: Pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020 (the "Business Combination Agreement"), among Switchback Energy Acquisition Corporation (since renamed "ChargePoint Holdings, Inc." and referred to herein as the "Issuer"), Lightning Merger Sub Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and ChargePoint, Inc., the Merger Sub merged with and into ChargePoint, Inc. (the "Merger"), the reporting persons became entitled to receive shares of the Issuer's Common Stock (the "Earnout Shares") following each of three Triggering Events (as defined in the Business Combination Agreement) that occur within five years of the February 26, 2021 closing of the Merger. F2 · kind: The three "Triggering Events" are (i) the date on which the volume-weighted average closing sale price of the Issuer's Common Stock is greater than or equal to $15.00 for any ten trading days within any twenty consecutive trading day period; (ii) the date on which the volume-weighted average closing sale price of the Issuer's Common Stock is greater than or equal to $20.00 for any ten trading days within any twenty consecutive trading day period; and (iii) the dates on which the volume-weighted average closing sale price of the Issuer's Common Stock is greater than or equal to $30.00 for any ten trading days within any twenty consecutive trading day period. In addition, Trigger Events may occur upon a Change of Control (as defined in the Business Combination Agreement). F3 · kind: The first two Triggering Events occurred on the same date, and pursuant to the terms of the Business Combination Agreement, the Earnout Shares reported on this Form 4 were issued on March 19, 2021. The issuance of the shares as merger consideration in the Merger transaction, including the receipt of the Earnout Shares reported on this Form 4, was exempt under Rule 16b-3. F5 · ownership.nature: The Shares are held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 19:40 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | Tax withholdingCommon Stock | 34,660 | $27.84 | $964,934.40 |
DisclosureSEC source: 0000899243-21-013206 · doc4.xml · nonDerivative · entry 2 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,974 F4 · kind: The shares were withheld to satisfy tax withholding obligations. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 19:40 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | OtherCommon Stock | 69,634 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-013206 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,634 F1 · kind: Pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020 (the "Business Combination Agreement"), among Switchback Energy Acquisition Corporation (since renamed "ChargePoint Holdings, Inc." and referred to herein as the "Issuer"), Lightning Merger Sub Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and ChargePoint, Inc., the Merger Sub merged with and into ChargePoint, Inc. (the "Merger"), the reporting persons became entitled to receive shares of the Issuer's Common Stock (the "Earnout Shares") following each of three Triggering Events (as defined in the Business Combination Agreement) that occur within five years of the February 26, 2021 closing of the Merger. F2 · kind: The three "Triggering Events" are (i) the date on which the volume-weighted average closing sale price of the Issuer's Common Stock is greater than or equal to $15.00 for any ten trading days within any twenty consecutive trading day period; (ii) the date on which the volume-weighted average closing sale price of the Issuer's Common Stock is greater than or equal to $20.00 for any ten trading days within any twenty consecutive trading day period; and (iii) the dates on which the volume-weighted average closing sale price of the Issuer's Common Stock is greater than or equal to $30.00 for any ten trading days within any twenty consecutive trading day period. In addition, Trigger Events may occur upon a Change of Control (as defined in the Business Combination Agreement). F3 · kind: The first two Triggering Events occurred on the same date, and pursuant to the terms of the Business Combination Agreement, the Earnout Shares reported on this Form 4 were issued on March 19, 2021. The issuance of the shares as merger consideration in the Merger transaction, including the receipt of the Earnout Shares reported on this Form 4, was exempt under Rule 16b-3. Read SEC document |
| March 18, 2021 Filed Mar 22, 2021 16:14 UTC | EMCORE CORP EMKR · Entity 82711 | Exercise / conversionRestricted Stock Units · Derivative | 36,986 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-003321 · marketforms-51874.xml · derivative · entry 3 JACKSON REX S · CIK 0001249803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 36,986 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 · derivative.exercise_price: Each restricted stock unit converts into a share of the Issuer's common stock on a one-for-one basis. F3 · derivative.exercise_date: On March 20, 2020, the Reporting Person was granted 36,986 restricted stock units, vesting in full on the earlier of (i) the day immediately prior to the Issuer's 2021 annual meeting of shareholders or (ii) March 20, 2021. F3 · derivative.expiration_date: On March 20, 2020, the Reporting Person was granted 36,986 restricted stock units, vesting in full on the earlier of (i) the day immediately prior to the Issuer's 2021 annual meeting of shareholders or (ii) March 20, 2021. Read SEC document |
| March 18, 2021 Filed Mar 22, 2021 16:14 UTC | EMCORE CORP EMKR · Entity 82711 | Exercise / conversionCommon Stock | 36,986 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-003321 · marketforms-51874.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,009 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 26, 2021 Filed Mar 2, 2021 17:01 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | GrantWarrant (right to buy) · Derivative | 87,821 | Not disclosed Strike: $6.03 | Not disclosed |
DisclosureSEC source: 0000899243-21-009009 · doc4.xml · derivative · entry 3 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 87,821 Underlying: Common Stock · 87,821 shares Expires 2030-08-06 F3 · price: The Warrant was received in exchange for a warrant to purchase 88,121 shares of common stock of ChargePoint, Inc. in connection with the Merger. The Warrant is held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 17:01 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | GrantStock Option (right to buy) · Derivative | 1,581,256 | Not disclosed Strike: $0.56 | Not disclosed |
DisclosureSEC source: 0000899243-21-009009 · doc4.xml · derivative · entry 2 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,581,256 Underlying: Common Stock · 1,581,256 shares Expires 2028-07-05 F2 · price: The Stock Option was received in exchange for an option to purchase 1,586,652 shares of common stock of ChargePoint, Inc. in connection with the Merger. The Stock Option vests in 48 equal monthly installments from May 29, 2018, subject to the Reporting Person's continuous service through each vesting date. F2 · derivative.exercise_date: The Stock Option was received in exchange for an option to purchase 1,586,652 shares of common stock of ChargePoint, Inc. in connection with the Merger. The Stock Option vests in 48 equal monthly installments from May 29, 2018, subject to the Reporting Person's continuous service through each vesting date. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 17:01 UTC | ChargePoint Holdings, Inc. CHPT · Entity 6581 | GrantCommon Stock | 91,724 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-009009 · doc4.xml · nonDerivative · entry 1 JACKSON REX S · CIK 0001249803 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 91,724 F1 · price: Pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020 (the "Business Combination Agreement"), among Switchback, Lightning Merger Sub Inc., a Delaware corporation and a wholly owned subsidiary of Switchback ("Merger Sub"), and ChargePoint, Inc., a Delaware corporation ("ChargePoint"), the Merger Sub merged with and into ChargePoint Holdings, Inc. (the "Merger"). On the closing date of the Merger, the price of ChargePoint's Common Stock was $30.83 per share. The Shares were received in exchange for 88,121 shares of Common Stock of ChargePoint, Inc. in connection with the Merger. The Shares are held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee. 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.