Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| COVETRUS, INC.CVET · Entity 123087 | Director | October 13, 2022 | October 13, 2022 |
| LEXMARK INTERNATIONAL INC /KY/LXK · Entity 180755 | Director | November 29, 2016 | November 30, 2016 |
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.
COVETRUS, INC.
Report date October 13, 2022 · Filed October 13, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-10-13 transaction · row 1
1 source rowRow 1 · 2022-10-13 · Disposition to issuer · Disposed 38,095 · Balance 0 F1: In connection with the merger of Corgi Merger Sub, Inc. ("Merger Sub") with and into the Issuer (the "Merger") pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2022, as amended from time to time, by and among the Issuer, Corgi Bidco, Inc. and Merger Sub, Inc. ("Merger Agreement"), shares of common stock, par value $0.01 per share, of the Issuer (the "Shares" and each a "Share"), were converted into the right to receive $21.00 per Share in cash, without interest (the "Merger Consideration"). |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2022-10-13 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-10-13 · Disposition to issuer · Disposed 14,638 · Balance 0 F2: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. F3: Pursuant to the Merger Agreement, outstanding RSUs vested (to the extent unvested) and were terminated and cancelled in exchange for the right to receive a lump sum cash payment equal to (x) the number of Shares underlying such RSUs immediately prior to the effective time of the Merger, multiplied by (y) the Merger Consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the merger of Corgi Merger Sub, Inc. ("Merger Sub") with and into the Issuer (the "Merger") pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2022, as amended from time to time, by and among the Issuer, Corgi Bidco, Inc. and Merger Sub, Inc. ("Merger Agreement"), shares of common stock, par value $0.01 per share, of the Issuer (the "Shares" and each a "Share"), were converted into the right to receive $21.00 per Share in cash, without interest (the "Merger Consideration").
F2: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof.
F3: Pursuant to the Merger Agreement, outstanding RSUs vested (to the extent unvested) and were terminated and cancelled in exchange for the right to receive a lump sum cash payment equal to (x) the number of Shares underlying such RSUs immediately prior to the effective time of the Merger, multiplied by (y) the Merger Consideration.
LEXMARK INTERNATIONAL INC /KY/
Report date November 29, 2016 · Filed November 30, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2016-11-29 transaction · row 1
1 source rowRow 1 · 2016-11-29 · Disposition to issuer · Disposed 31,594 · Balance 0 F1: Represents shares of Class A Common Stock and restricted stock units, including associated dividend equivalent units, disposed of pursuant to the agreement and plan of merger (the "Merger Agreement") by and among the issuer, Ninestar Holdings Company Limited, Ninestar Group Company Limited, Ninestar Lexmark Company Limited and Apex Technology Co., Ltd. in exchange for $40.50 cash per share, without interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Class A Common Stock and restricted stock units, including associated dividend equivalent units, disposed of pursuant to the agreement and plan of merger (the "Merger Agreement") by and among the issuer, Ninestar Holdings Company Limited, Ninestar Group Company Limited, Ninestar Lexmark Company Limited and Apex Technology Co., Ltd. in exchange for $40.50 cash per share, without interest.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
OptiNose, Inc.
Report date May 21, 2025 · Filed May 21, 2025
Section 16 reporting ended · disclosed 2025-05-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.60 · Expires 2034-06-06 | Direct | 0 |
Reported balance
After 2025-05-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-05-21 · Disposition to issuer · Disposed 5,000 · Balance 0 F1: On March 19, 2025, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Paratek Pharmaceuticals, Inc., a Delaware corporation ("Parent"), and Orca Merger Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the terms of the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent upon consummation of the merger (the "Effective Time'). F2: At the Effective Time, each outstanding share of Common Stock was automatically converted into the right to receive (i) $9.00 in cash, without interest (the "Cash Consideration") and (ii) one contractual contingent value right ("CVR") per share representing the right to receive two contingent payments of up to $5.00 in cash upon achievement of specified milestones, as specified further in the CVR Agreement, by and among Parent and Equiniti Trust Company, LLC, as rights agent. F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised stock option, whether vested or unvested, was converted into the right to receive (i) an amount in cash, without interest, equal to the excess, if any of (A) the Cash Consideration over (B) the exercise price per share of such stock option; provided that, (1) each stock option with an exercise price per share that is greater than $14.00 (the sum of the Cash Consideration and the maximum amount payable under the CVR) was cancelled for no consideration and (2) each stock option with an exercise price per share that is greater than the amount of the Cash Consideration but less than $14.00 was canceled and converted into the right to receive one CVR with the amount payable pursuant to such CVR, if any, reduced by the amount by which the exercise price per share of such stock option exceeds the Cash Consideration). |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.70 · Expires 2033-06-08 | Direct | 0 |
Reported balance
After 2025-05-21 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-05-21 · Disposition to issuer · Disposed 3,566 · Balance 0 F1: On March 19, 2025, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Paratek Pharmaceuticals, Inc., a Delaware corporation ("Parent"), and Orca Merger Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the terms of the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent upon consummation of the merger (the "Effective Time'). F2: At the Effective Time, each outstanding share of Common Stock was automatically converted into the right to receive (i) $9.00 in cash, without interest (the "Cash Consideration") and (ii) one contractual contingent value right ("CVR") per share representing the right to receive two contingent payments of up to $5.00 in cash upon achievement of specified milestones, as specified further in the CVR Agreement, by and among Parent and Equiniti Trust Company, LLC, as rights agent. F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised stock option, whether vested or unvested, was converted into the right to receive (i) an amount in cash, without interest, equal to the excess, if any of (A) the Cash Consideration over (B) the exercise price per share of such stock option; provided that, (1) each stock option with an exercise price per share that is greater than $14.00 (the sum of the Cash Consideration and the maximum amount payable under the CVR) was cancelled for no consideration and (2) each stock option with an exercise price per share that is greater than the amount of the Cash Consideration but less than $14.00 was canceled and converted into the right to receive one CVR with the amount payable pursuant to such CVR, if any, reduced by the amount by which the exercise price per share of such stock option exceeds the Cash Consideration). |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.25 · Expires 2032-06-08 | Direct | 0 |
Reported balance
After 2025-05-21 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-05-21 · Disposition to issuer · Disposed 2,133 · Balance 0 F1: On March 19, 2025, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Paratek Pharmaceuticals, Inc., a Delaware corporation ("Parent"), and Orca Merger Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the terms of the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent upon consummation of the merger (the "Effective Time'). F2: At the Effective Time, each outstanding share of Common Stock was automatically converted into the right to receive (i) $9.00 in cash, without interest (the "Cash Consideration") and (ii) one contractual contingent value right ("CVR") per share representing the right to receive two contingent payments of up to $5.00 in cash upon achievement of specified milestones, as specified further in the CVR Agreement, by and among Parent and Equiniti Trust Company, LLC, as rights agent. F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised stock option, whether vested or unvested, was converted into the right to receive (i) an amount in cash, without interest, equal to the excess, if any of (A) the Cash Consideration over (B) the exercise price per share of such stock option; provided that, (1) each stock option with an exercise price per share that is greater than $14.00 (the sum of the Cash Consideration and the maximum amount payable under the CVR) was cancelled for no consideration and (2) each stock option with an exercise price per share that is greater than the amount of the Cash Consideration but less than $14.00 was canceled and converted into the right to receive one CVR with the amount payable pursuant to such CVR, if any, reduced by the amount by which the exercise price per share of such stock option exceeds the Cash Consideration). |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $53.10 · Expires 2031-06-09 | Direct | 0 |
Reported balance
After 2025-05-21 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-05-21 · Disposition to issuer · Disposed 962 · Balance 0 F1: On March 19, 2025, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Paratek Pharmaceuticals, Inc., a Delaware corporation ("Parent"), and Orca Merger Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the terms of the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent upon consummation of the merger (the "Effective Time'). F2: At the Effective Time, each outstanding share of Common Stock was automatically converted into the right to receive (i) $9.00 in cash, without interest (the "Cash Consideration") and (ii) one contractual contingent value right ("CVR") per share representing the right to receive two contingent payments of up to $5.00 in cash upon achievement of specified milestones, as specified further in the CVR Agreement, by and among Parent and Equiniti Trust Company, LLC, as rights agent. F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised stock option, whether vested or unvested, was converted into the right to receive (i) an amount in cash, without interest, equal to the excess, if any of (A) the Cash Consideration over (B) the exercise price per share of such stock option; provided that, (1) each stock option with an exercise price per share that is greater than $14.00 (the sum of the Cash Consideration and the maximum amount payable under the CVR) was cancelled for no consideration and (2) each stock option with an exercise price per share that is greater than the amount of the Cash Consideration but less than $14.00 was canceled and converted into the right to receive one CVR with the amount payable pursuant to such CVR, if any, reduced by the amount by which the exercise price per share of such stock option exceeds the Cash Consideration). |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $84.75 · Expires 2030-06-10 | Direct | 0 |
Reported balance
After 2025-05-21 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-05-21 · Disposition to issuer · Disposed 962 · Balance 0 F1: On March 19, 2025, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Paratek Pharmaceuticals, Inc., a Delaware corporation ("Parent"), and Orca Merger Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the terms of the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent upon consummation of the merger (the "Effective Time'). F2: At the Effective Time, each outstanding share of Common Stock was automatically converted into the right to receive (i) $9.00 in cash, without interest (the "Cash Consideration") and (ii) one contractual contingent value right ("CVR") per share representing the right to receive two contingent payments of up to $5.00 in cash upon achievement of specified milestones, as specified further in the CVR Agreement, by and among Parent and Equiniti Trust Company, LLC, as rights agent. F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised stock option, whether vested or unvested, was converted into the right to receive (i) an amount in cash, without interest, equal to the excess, if any of (A) the Cash Consideration over (B) the exercise price per share of such stock option; provided that, (1) each stock option with an exercise price per share that is greater than $14.00 (the sum of the Cash Consideration and the maximum amount payable under the CVR) was cancelled for no consideration and (2) each stock option with an exercise price per share that is greater than the amount of the Cash Consideration but less than $14.00 was canceled and converted into the right to receive one CVR with the amount payable pursuant to such CVR, if any, reduced by the amount by which the exercise price per share of such stock option exceeds the Cash Consideration). |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $99.00 · Expires 2029-06-06 | Direct | 0 |
Reported balance
After 2025-05-21 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2025-05-21 · Disposition to issuer · Disposed 962 · Balance 0 F1: On March 19, 2025, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Paratek Pharmaceuticals, Inc., a Delaware corporation ("Parent"), and Orca Merger Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the terms of the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent upon consummation of the merger (the "Effective Time'). F2: At the Effective Time, each outstanding share of Common Stock was automatically converted into the right to receive (i) $9.00 in cash, without interest (the "Cash Consideration") and (ii) one contractual contingent value right ("CVR") per share representing the right to receive two contingent payments of up to $5.00 in cash upon achievement of specified milestones, as specified further in the CVR Agreement, by and among Parent and Equiniti Trust Company, LLC, as rights agent. F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised stock option, whether vested or unvested, was converted into the right to receive (i) an amount in cash, without interest, equal to the excess, if any of (A) the Cash Consideration over (B) the exercise price per share of such stock option; provided that, (1) each stock option with an exercise price per share that is greater than $14.00 (the sum of the Cash Consideration and the maximum amount payable under the CVR) was cancelled for no consideration and (2) each stock option with an exercise price per share that is greater than the amount of the Cash Consideration but less than $14.00 was canceled and converted into the right to receive one CVR with the amount payable pursuant to such CVR, if any, reduced by the amount by which the exercise price per share of such stock option exceeds the Cash Consideration). |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $263.85 · Expires 2028-02-22 | Direct | 0 |
Reported balance
After 2025-05-21 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2025-05-21 · Disposition to issuer · Disposed 1,925 · Balance 0 F1: On March 19, 2025, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Paratek Pharmaceuticals, Inc., a Delaware corporation ("Parent"), and Orca Merger Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the terms of the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent upon consummation of the merger (the "Effective Time'). F2: At the Effective Time, each outstanding share of Common Stock was automatically converted into the right to receive (i) $9.00 in cash, without interest (the "Cash Consideration") and (ii) one contractual contingent value right ("CVR") per share representing the right to receive two contingent payments of up to $5.00 in cash upon achievement of specified milestones, as specified further in the CVR Agreement, by and among Parent and Equiniti Trust Company, LLC, as rights agent. F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised stock option, whether vested or unvested, was converted into the right to receive (i) an amount in cash, without interest, equal to the excess, if any of (A) the Cash Consideration over (B) the exercise price per share of such stock option; provided that, (1) each stock option with an exercise price per share that is greater than $14.00 (the sum of the Cash Consideration and the maximum amount payable under the CVR) was cancelled for no consideration and (2) each stock option with an exercise price per share that is greater than the amount of the Cash Consideration but less than $14.00 was canceled and converted into the right to receive one CVR with the amount payable pursuant to such CVR, if any, reduced by the amount by which the exercise price per share of such stock option exceeds the Cash Consideration). |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $337.50 · Expires 2028-06-07 | Direct | 0 |
Reported balance
After 2025-05-21 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2025-05-21 · Disposition to issuer · Disposed 962 · Balance 0 F1: On March 19, 2025, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Paratek Pharmaceuticals, Inc., a Delaware corporation ("Parent"), and Orca Merger Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the terms of the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent upon consummation of the merger (the "Effective Time'). F2: At the Effective Time, each outstanding share of Common Stock was automatically converted into the right to receive (i) $9.00 in cash, without interest (the "Cash Consideration") and (ii) one contractual contingent value right ("CVR") per share representing the right to receive two contingent payments of up to $5.00 in cash upon achievement of specified milestones, as specified further in the CVR Agreement, by and among Parent and Equiniti Trust Company, LLC, as rights agent. F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised stock option, whether vested or unvested, was converted into the right to receive (i) an amount in cash, without interest, equal to the excess, if any of (A) the Cash Consideration over (B) the exercise price per share of such stock option; provided that, (1) each stock option with an exercise price per share that is greater than $14.00 (the sum of the Cash Consideration and the maximum amount payable under the CVR) was cancelled for no consideration and (2) each stock option with an exercise price per share that is greater than the amount of the Cash Consideration but less than $14.00 was canceled and converted into the right to receive one CVR with the amount payable pursuant to such CVR, if any, reduced by the amount by which the exercise price per share of such stock option exceeds the Cash Consideration). |
Filing footnotes · ownership attribution and instrument terms
F1: On March 19, 2025, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Paratek Pharmaceuticals, Inc., a Delaware corporation ("Parent"), and Orca Merger Sub, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the terms of the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent upon consummation of the merger (the "Effective Time').
F2: At the Effective Time, each outstanding share of Common Stock was automatically converted into the right to receive (i) $9.00 in cash, without interest (the "Cash Consideration") and (ii) one contractual contingent value right ("CVR") per share representing the right to receive two contingent payments of up to $5.00 in cash upon achievement of specified milestones, as specified further in the CVR Agreement, by and among Parent and Equiniti Trust Company, LLC, as rights agent.
F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised stock option, whether vested or unvested, was converted into the right to receive (i) an amount in cash, without interest, equal to the excess, if any of (A) the Cash Consideration over (B) the exercise price per share of such stock option; provided that, (1) each stock option with an exercise price per share that is greater than $14.00 (the sum of the Cash Consideration and the maximum amount payable under the CVR) was cancelled for no consideration and (2) each stock option with an exercise price per share that is greater than the amount of the Cash Consideration but less than $14.00 was canceled and converted into the right to receive one CVR with the amount payable pursuant to such CVR, if any, reduced by the amount by which the exercise price per share of such stock option exceeds the Cash Consideration).
PRINCIPAL FINANCIAL GROUP INC
Report date October 19, 2022 · Filed October 21, 2022
Section 16 reporting ended · disclosed 2022-10-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 35,747 |
Reported balance
After 2022-10-19 transaction · row 1
1 source rowRow 1 · 2022-10-19 · Sale · Disposed 1,000 · Balance 35,747 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.03, inclusive. The reporting person undertakes to provide Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.03, inclusive. The reporting person undertakes to provide Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
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 |
|---|---|---|---|---|---|---|
| February 22, 2018 Filed Feb 22, 2018 16:34 UTC | OptiNose, Inc. OPTN · Entity 79464 | GrantStock Option (Right to Buy) · Derivative | 28,879 | $0.00 Strike: $17.59 | $0.00 |
DisclosureSEC source: 0001494650-18-000015 · wf-form4_151933524990305.xml · derivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,879 Underlying: Common Stock · 28,879 shares Expires 2028-02-22 F1 · derivative.exercise_date: The option vests and becomes exercisable over a three-year period commencing on February 22, 2017. Thirty-three percent (33%) of the option vests and becomes exercisable on February 22, 2018, and thebalance vests in equal monthly installments (rounded down to the nearest whole share) over the remaining two years of the three-year period, subject to continued service with the Issuer. Read SEC document |
| February 22, 2018 Filed Jun 11, 2018 17:13 UTC Amendment | OptiNose, Inc. OPTN · Entity 79464 | GrantStock Option (Right to Buy) · Derivative | 28,879 | $0.00 Strike: $17.59 | $0.00 |
DisclosureSEC source: 0001494650-18-000060 · wf-form4a_152875157481853.xml · derivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,879 Underlying: Common Stock · 28,879 shares Expires 2028-02-22 F1 · derivative.exercise_date: Footnote No. 1 in the Form 4 originally filed on February 22, 2018 contained an error regarding the vesting schedule of the Stock Option (Right to Buy) granted to the Reporting Person on February 22, 2018. Footnote No. 1 is hereby corrected as follows: The option vests and becomes exercisable over a three-year period commencing on February 22, 2018. Thirty-three percent (33%) of the option vests and becomes exercisable on February 22, 2019, and the balance vests in equal monthly installments (rounded down to the nearest whole share) over the remaining two years of the three-year period, subject to continued service with the Issuer. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:30 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 286 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000005 · edgar.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,040 F1 · price: Grant of restricted stock units. Read SEC document |
| November 07, 2017 Filed Nov 13, 2017 14:39 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 3,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000280 · edgar.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,754 Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 19:32 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 302 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000230 · edgar.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,354 F1 · price: Grant of restricted stock units. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 20:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 295 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000176 · edgar.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,052 F1 · price: Grant of restricted stock units. Read SEC document |
| May 16, 2017 Filed May 18, 2017 14:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,032 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000135 · edgar.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,757 F1 · price: Grant of restricted stock units. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 19:13 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 277 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000090 · edgar.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,725 F1 · price: Grant of restricted stock units. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 22:46 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 242 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000062 · edgar.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,448 Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 21:46 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 282 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000641 · edgar.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,690 F1 · price: Grant of restricted stock units. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 12:02 UTC | LEXMARK INTERNATIONAL INC /KY/ LXK · Entity 180755 | Disposition to issuerClass A Common Stock | 31,594 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042385 · doc4.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Represents shares of Class A Common Stock and restricted stock units, including associated dividend equivalent units, disposed of pursuant to the agreement and plan of merger (the "Merger Agreement") by and among the issuer, Ninestar Holdings Company Limited, Ninestar Group Company Limited, Ninestar Lexmark Company Limited and Apex Technology Co., Ltd. in exchange for $40.50 cash per share, without interest. Read SEC document |
| November 10, 2016 Filed Dec 13, 2016 20:40 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 4,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000632 · edgar.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,408 Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:18 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 304 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000565 · edgar.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,708 F1 · price: Grant of restricted stock units. Read SEC document |
| September 16, 2016 Filed Sep 20, 2016 06:52 UTC | LEXMARK INTERNATIONAL INC /KY/ LXK · Entity 180755 | GrantClass A Common Stock | 170 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-039517 · doc4.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,594 F1 · shares: Represents dividend equivalent units (DEUs) accrued on restricted stock units (RSUs) granted to the Reporting Person under the Issuer's 2005 Non-Employee Director Stock Plan. DEUs are settled in shares of the Issuer's Class A Common Stock upon the settlement of the underlying RSUs. F2 · balance_after: 17,368 of these securities are RSUs, including associated DEUs, which have not yet settled. 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.