Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Flux Power Holdings, Inc.FLUX · Entity 7921 | CFO and Secretary | September 15, 2025 | September 18, 2025 |
| Zovio IncZVO · Entity 124041 | EVP, Chief Financial Officer | May 31, 2022 | June 02, 2022 |
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.
Flux Power Holdings, Inc.
Report date September 15, 2025 · Filed September 18, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Pre-Funded Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 517 |
Reported balance
After 2025-09-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-09-15 · Purchase · Acquired 517 · Balance 517 F1: On September 15, 2025, the Reporting Person entered into an amended and restated securities purchase agreement with the Issuer pursuant to which the Reporting Person purchased 517 pre-funded warrants ("Pre-Funded Warrants") at a purchase price of $19.369 per Pre-Funded Warrant. The Reporting Person was also issued common stock warrants to purchase up to 2,433 shares of the Issuer's Common Stock. F2: The Pre-Funded Warrants are exercisable immediately from the date of issuance and expire when exercised in full. Each Pre-Funded Warrant is exercisable for 1 share of the Company's Series A Convertible Preferred Stock, which may be converted into shares of Common Stock at an initial conversion price of $2.058 as subject to adjustments. |
| Common Stock Purchase Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.72 · Expires 2030-09-15 | Direct | 2,433 |
Reported balance
After 2025-09-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-09-15 · Purchase · Acquired 2,433 · Balance 2,433 F1: On September 15, 2025, the Reporting Person entered into an amended and restated securities purchase agreement with the Issuer pursuant to which the Reporting Person purchased 517 pre-funded warrants ("Pre-Funded Warrants") at a purchase price of $19.369 per Pre-Funded Warrant. The Reporting Person was also issued common stock warrants to purchase up to 2,433 shares of the Issuer's Common Stock. F3: The Common Warrants have an initial exercise price of $1.715 and is exercisable immediately from the date of issuance and expire 5 years from the date of issuance. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 15, 2025, the Reporting Person entered into an amended and restated securities purchase agreement with the Issuer pursuant to which the Reporting Person purchased 517 pre-funded warrants ("Pre-Funded Warrants") at a purchase price of $19.369 per Pre-Funded Warrant. The Reporting Person was also issued common stock warrants to purchase up to 2,433 shares of the Issuer's Common Stock.
F2: The Pre-Funded Warrants are exercisable immediately from the date of issuance and expire when exercised in full. Each Pre-Funded Warrant is exercisable for 1 share of the Company's Series A Convertible Preferred Stock, which may be converted into shares of Common Stock at an initial conversion price of $2.058 as subject to adjustments.
F3: The Common Warrants have an initial exercise price of $1.715 and is exercisable immediately from the date of issuance and expire 5 years from the date of issuance.
Zovio Inc
Report date May 31, 2022 · Filed June 02, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 145,146 |
Ending reported balance
After 2022-05-31 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-05-31 · Exercise / conversion · Acquired 10,020 · Balance 148,611 F1: On May 31, 2022, 10,020 of the reporting person's restricted stock units were settled for an equal number of shares of the issuer's common stock Row 2 · 2022-05-31 · Tax withholding · Disposed 3,465 · Balance 145,146 |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2022-05-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-05-31 · Exercise / conversion · Disposed 10,020 · Balance 0 F2: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. F3: Subject to the reporting person's continuing service, the restricted stock units vest as follows: (i) 25% of the restricted stock units vest on the first anniversary of the vesting commencement date, and (ii) an additional 25% of the restricted stock units shall vest on each subsequent anniversary of the vesting commencement date. The vesting commencement date for the restricted stock units is May 31, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: On May 31, 2022, 10,020 of the reporting person's restricted stock units were settled for an equal number of shares of the issuer's common stock
F2: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
F3: Subject to the reporting person's continuing service, the restricted stock units vest as follows: (i) 25% of the restricted stock units vest on the first anniversary of the vesting commencement date, and (ii) an additional 25% of the restricted stock units shall vest on each subsequent anniversary of the vesting commencement date. The vesting commencement date for the restricted stock units is May 31, 2018.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 03, 2016 Filed Oct 4, 2016 17:57 UTC | Zovio Inc BPI · Entity 124041 | Exercise / conversionRestricted Stock Units · Derivative | 16,362 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-081756 · doc1.xml · derivative · entry 3 ROYAL KEVIN · CIK 0001185726 · EVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,361 Underlying: Common Stock · 16,362 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 represents a contingent right to receive one share of the issuer's common stock. F3 · derivative.exercise_date: Subject to the reporting person's continuing service, the restricted stock units vest as follows: (i) 50% of the restricted stock units vest on the first anniversary of the vesting commencement date, and (ii) the remaining 50% of the restricted stock units shall vest on the second anniversary of the vesting commencement date. The vesting commencement date for the restricted stock units is October 1, 2015. F3 · derivative.expiration_date: Subject to the reporting person's continuing service, the restricted stock units vest as follows: (i) 50% of the restricted stock units vest on the first anniversary of the vesting commencement date, and (ii) the remaining 50% of the restricted stock units shall vest on the second anniversary of the vesting commencement date. The vesting commencement date for the restricted stock units is October 1, 2015. Read SEC document |
| October 03, 2016 Filed Oct 4, 2016 17:57 UTC | Zovio Inc BPI · Entity 124041 | Tax withholdingCommon Stock | 6,149 | $6.87 | $42,243.63 |
DisclosureSEC source: 0001140361-16-081756 · doc1.xml · nonDerivative · entry 2 ROYAL KEVIN · CIK 0001185726 · EVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,213 Read SEC document |
| October 03, 2016 Filed Oct 4, 2016 17:57 UTC | Zovio Inc BPI · Entity 124041 | Exercise / conversionCommon Stock | 16,362 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-081756 · doc1.xml · nonDerivative · entry 1 ROYAL KEVIN · CIK 0001185726 · EVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,362 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On October 3, 2016, 16,362 of the reporting person's restricted stock units were settled for an equal number of shares of the issuer's common stock. 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.