organization · Reporting owner
SoftBank Group Capital Ltd
Disclosed activity across 5 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Airspan Networks Holdings Inc.MIMO · Entity 110488 | 10% owner | August 13, 2021 | August 23, 2021 |
| SoFi Technologies, Inc.SOFI · Entity 3232 | Director · 10% owner | July 21, 2021 | July 23, 2021 |
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.
Airspan Networks Holdings Inc.
Report date August 13, 2021 · Filed August 23, 2021
Jointly reported with SOFTBANK GROUP CORP.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy SoftBank Group Capital Ltd | 13,783,886 |
Reported balance
Holding disclosure · report date 2021-08-13 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 13,783,886 F1: Includes 12,783,886 shares of common stock received in exchange for preferred shares and warrants of Airspan Networks Inc., a Delaware corporation ("Airspan"), pursuant to the Agreement and Plan of Merger, dated as of March 8, 2021, as amended (the "Merger Agreement"), by and among New Beginnings Acquisition Corp., a Delaware corporation ("New Beginnings"), Artemis Merger Sub Corp. ("Merger Sub") and Airspan (and upon consummation of the business combination, the surviving Issuer as renamed "Airspan Networks Holdings, Inc."). F2: Also includes 1,000,000 shares of common stock acquired from the Issuer for an aggregate purchase price of $10,000,000 pursuant to the Subscription Agreement, dated as of March 8, 2021, between the Issuer and SoftBank Group Capital Ltd ("SBGC"), as an investor in the private investment in public equity investment in the Issuer occurring substantially concurrently with the closing of the business combination. F3: The shares are directly held by SBGC. SBGC is a wholly owned subsidiary of SoftBank Group Corp. ("SoftBank"). SoftBank may be deemed to have voting and dispositive power with respect to the shares held by SBGC. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 12,783,886 shares of common stock received in exchange for preferred shares and warrants of Airspan Networks Inc., a Delaware corporation ("Airspan"), pursuant to the Agreement and Plan of Merger, dated as of March 8, 2021, as amended (the "Merger Agreement"), by and among New Beginnings Acquisition Corp., a Delaware corporation ("New Beginnings"), Artemis Merger Sub Corp. ("Merger Sub") and Airspan (and upon consummation of the business combination, the surviving Issuer as renamed "Airspan Networks Holdings, Inc.").
F2: Also includes 1,000,000 shares of common stock acquired from the Issuer for an aggregate purchase price of $10,000,000 pursuant to the Subscription Agreement, dated as of March 8, 2021, between the Issuer and SoftBank Group Capital Ltd ("SBGC"), as an investor in the private investment in public equity investment in the Issuer occurring substantially concurrently with the closing of the business combination.
F3: The shares are directly held by SBGC. SBGC is a wholly owned subsidiary of SoftBank Group Corp. ("SoftBank"). SoftBank may be deemed to have voting and dispositive power with respect to the shares held by SBGC. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
SoFi Technologies, Inc.
Report date July 21, 2021 · Filed July 23, 2021
Jointly reported with SOFTBANK GROUP CORP., SB SONIC HOLDCO (UK) LTD, Delaware Project 10 L.L.C.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy SB Sonic Holdco (UK) Ltd | 0 |
Reported balance
After 2021-07-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-07-14 · Other · Disposed 64,685,234 · Balance 0 F1: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank. F2: The shares initially reported as acquired in the Form 4 filed on June 2, 2021 were adjusted by the Issuer as a result of a post transaction review. The shares reported herein reflect the number of shares acquired by SBGC (less the shares disposed to the Issuer on May 28, 2021, as reported on the Form 4 filed on June 2, 2021) and SB Sonic in the business combination. |
| Common StockSEC Table I · non-derivative | IndirectBy SoftBank Group Capital Ltd | 0 |
Reported balance
After 2021-07-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-07-14 · Other · Disposed 53,110,699 · Balance 0 F1: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank. F2: The shares initially reported as acquired in the Form 4 filed on June 2, 2021 were adjusted by the Issuer as a result of a post transaction review. The shares reported herein reflect the number of shares acquired by SBGC (less the shares disposed to the Issuer on May 28, 2021, as reported on the Form 4 filed on June 2, 2021) and SB Sonic in the business combination. |
| Common StockSEC Table I · non-derivative | IndirectBy Delaware Project 10 L.L.C. | 117,795,933 |
Reported balance
After 2021-07-14 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-07-14 · Other · Acquired 117,795,933 · Balance 117,795,933 F1: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank. F3: Michel Combes and Carlos Carniero de Medeiros, each a member of the board of directors of the Issuer, were elected as representatives of SoftBank, SBGC, SB Sonic, and now DE Project 10. Messrs. Combes and Medeiros serve as managers of DE Project 10 and in other roles at SoftBank entities. As a result, each of these entities is a director by deputization for Section 16 purposes. F4: The shares are directly held by DE Project 10. SoftBank may be deemed to have voting and dispositive power with respect to the shares held by DE Project 10. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank.
F2: The shares initially reported as acquired in the Form 4 filed on June 2, 2021 were adjusted by the Issuer as a result of a post transaction review. The shares reported herein reflect the number of shares acquired by SBGC (less the shares disposed to the Issuer on May 28, 2021, as reported on the Form 4 filed on June 2, 2021) and SB Sonic in the business combination.
F3: Michel Combes and Carlos Carniero de Medeiros, each a member of the board of directors of the Issuer, were elected as representatives of SoftBank, SBGC, SB Sonic, and now DE Project 10. Messrs. Combes and Medeiros serve as managers of DE Project 10 and in other roles at SoftBank entities. As a result, each of these entities is a director by deputization for Section 16 purposes.
F4: The shares are directly held by DE Project 10. SoftBank may be deemed to have voting and dispositive power with respect to the shares held by DE Project 10. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Guardant Health, Inc.
Report date October 09, 2018 · Filed October 11, 2018
Jointly reported with SOFTBANK GROUP CORP.
Section 16 reporting ended · disclosed 2018-10-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 2,033,990 |
Reported balance
After 2018-10-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-10-09 · Conversion · Acquired 2,033,990 · Balance 2,033,990 F1: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date. F2: The shares are directly held by SoftBank Group Capital Limited, a wholly owned subsidiary of SoftBank Group Corp., a Japanese kabushiki kaisha. SoftBank Group Corp. may be deemed to have voting and dispositive power with respect to the shares held by SoftBank Group Capital Limited. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| SERIES D PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-10-09 · Conversion · Disposed 2,033,990 · Balance 0 F1: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date. F2: The shares are directly held by SoftBank Group Capital Limited, a wholly owned subsidiary of SoftBank Group Corp., a Japanese kabushiki kaisha. SoftBank Group Corp. may be deemed to have voting and dispositive power with respect to the shares held by SoftBank Group Capital Limited. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date.
F2: The shares are directly held by SoftBank Group Capital Limited, a wholly owned subsidiary of SoftBank Group Corp., a Japanese kabushiki kaisha. SoftBank Group Corp. may be deemed to have voting and dispositive power with respect to the shares held by SoftBank Group Capital Limited. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Lemonade, Inc.
Report date May 12, 2025 · Filed May 15, 2025
Section 16 reporting ended · disclosed 2025-05-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 7,111,441 |
Ending reported balance
After 2025-05-13 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2025-05-12 · Sale · Disposed 177,762 · Balance 7,820,961 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.76 to $31.9985. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 2 · 2025-05-12 · Sale · Disposed 277,835 · Balance 7,543,126 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 3 · 2025-05-12 · Sale · Disposed 44,403 · Balance 7,498,723 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.00 to $33.45. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 4 · 2025-05-13 · Sale · Disposed 310,190 · Balance 7,188,533 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.52 to $32.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 5 · 2025-05-13 · Sale · Disposed 77,092 · Balance 7,111,441 F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.00 to $33.20. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range 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 $31.76 to $31.9985. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.00 to $33.45. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.52 to $32.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.00 to $33.20. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
T-Mobile US, Inc.
Report date June 26, 2020 · Filed June 26, 2020
Jointly reported with SOFTBANK GROUP CORP., Delaware Project 4 L.L.C., Delaware Project 6 L.L.C.
Section 16 reporting ended · disclosed 2020-04-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy SoftBank Group Capital Ltd | 150,459,023 |
Reported balance
After 2020-06-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-06-26 · Disposition to issuer · Disposed 154,147,026 · Balance 150,459,023 F1: Marcelo Claure, Stephen Kappes, each members of the Board of Directors of the Issuer, and Ronald D. Fisher, who resigned from the Board of Directors on June 22, 2020, were elected as representatives of Softbank Group Corp. ("SoftBank"), SoftBank Group Capital Ltd ("SBGC"), Delaware Project 4 L.L.C. ("Project 4 LLC") and Delaware Project 6 L.L.C. ("Project 6 LLC"). As a result, each of these entities is a director by deputization for Section 16 purposes. F2: The shares were sold to the Issuer pursuant to a Share Repurchase Agreement, dated as of June 22, 2020 (the "Share Repurchase Agreement"), between SBGC and the Issuer. The Issuer sold 154,147,026 shares of common stock in a registered public offering that closed on June 26, 2020, the net proceeds of which were used by the Issuer to purchase an equal number of shares of Common Stock from SBGC. |
| Common StockSEC Table I · non-derivative | IndirectBy SoftBank Group Capital Ltd | 131,041,623 |
Reported balance
After 2020-06-26 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-06-26 · Disposition to issuer · Disposed 19,417,400 · Balance 131,041,623 F1: Marcelo Claure, Stephen Kappes, each members of the Board of Directors of the Issuer, and Ronald D. Fisher, who resigned from the Board of Directors on June 22, 2020, were elected as representatives of Softbank Group Corp. ("SoftBank"), SoftBank Group Capital Ltd ("SBGC"), Delaware Project 4 L.L.C. ("Project 4 LLC") and Delaware Project 6 L.L.C. ("Project 6 LLC"). As a result, each of these entities is a director by deputization for Section 16 purposes. F2: The shares were sold to the Issuer pursuant to a Share Repurchase Agreement, dated as of June 22, 2020 (the "Share Repurchase Agreement"), between SBGC and the Issuer. The Issuer sold 154,147,026 shares of common stock in a registered public offering that closed on June 26, 2020, the net proceeds of which were used by the Issuer to purchase an equal number of shares of Common Stock from SBGC. F6: Reflects the acquisition from the Issuer, in accordance with the Share Repurchase Agreement, and as partial consideration, together with a $1,667,167,222.80 cash payment from the Issuer, for the 19,417,400 shares of Common Stock reported on this Form 4, a contingent value right note (the "CVR Note") in the aggregate principal amount of $2,000,000,000. Pursuant to the CVR Note, the Trust will deliver on the Exchange Date (June 1, 2023, which may be extended as provided for in the CVR Note) a number of shares of Common Stock with respect to each $1,000 principal amount of the CVR Note determined by an exchange rate set forth in the CVR Note. The exchange rate is based on the daily volume weighted average price of a share of Common Stock during the 40 trading days preceding June 1, 2023. |
| Common StockSEC Table I · non-derivative | IndirectBy SoftBank Group Capital Ltd | 111,291,623 |
Reported balance
After 2020-06-26 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-06-26 · Disposition to issuer · Disposed 19,750,000 · Balance 111,291,623 F1: Marcelo Claure, Stephen Kappes, each members of the Board of Directors of the Issuer, and Ronald D. Fisher, who resigned from the Board of Directors on June 22, 2020, were elected as representatives of Softbank Group Corp. ("SoftBank"), SoftBank Group Capital Ltd ("SBGC"), Delaware Project 4 L.L.C. ("Project 4 LLC") and Delaware Project 6 L.L.C. ("Project 6 LLC"). As a result, each of these entities is a director by deputization for Section 16 purposes. F3: Represents the number of shares of Common Stock subject to a rights offering by the Issuer pursuant to which it issued holders of record of Common Stock as of 5:00 pm on June 25, 2020 the right to purchase 0.05 shares of Common Stock at $103.00 per share, up to an aggregate of 19,750,000 shares. Pursuant to the Share Repurchase Agreement, SBGC agreed to sell an aggregate of up to 19,750,000 shares to the Issuer, to the extent such shares are issued in the rights offering. |
| Common StockSEC Table I · non-derivative | IndirectBy Delaware Project 6 L.L.C. | 106,291,623 |
Reported balance
After 2020-06-26 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2020-06-26 · Disposition to issuer · Disposed 5,000,000 · Balance 106,291,623 F1: Marcelo Claure, Stephen Kappes, each members of the Board of Directors of the Issuer, and Ronald D. Fisher, who resigned from the Board of Directors on June 22, 2020, were elected as representatives of Softbank Group Corp. ("SoftBank"), SoftBank Group Capital Ltd ("SBGC"), Delaware Project 4 L.L.C. ("Project 4 LLC") and Delaware Project 6 L.L.C. ("Project 6 LLC"). As a result, each of these entities is a director by deputization for Section 16 purposes. F4: Represents the number of shares of Common Stock that the Issuer agreed to sell to an entity controlled by Marcelo Claure for $103.00 per share, subject to receipt of necessary regulatory approvals. Pursuant to the Share Repurchase Agreement, SBGC has agreed to sell to the Issuer 5,000,000 shares upon the closing of such sale to Mr. Claure at the same price per share. F5: Reflects the transfer of 106,291,623 shares of Common Stock to Project 6 LLC. As a result, Project 6 LLC directly owns 106,291,623 shares of Common Stock. Project 6 LLC and SBGC are wholly owned subsidiaries of SoftBank. As a result, SoftBank may be deemed to beneficially own the shares of Common Stock owned directly by Project 6 LLC. Project 4 LLC expressly disclaims the beneficial ownership of the shares of Common Stock owned by Project 6 LLC, Project 6 LLC expressly disclaims beneficial ownership with respect to the CVR Note owned by Project 4 LLC, and SBGC expressly disclaims beneficial ownership with respect to the CVR Note owned by Project 4 LLC and the shares of Common Stock owned by Project 6 LLC. |
| Contingent Value Right Note (right to acquire)SEC Table II · derivative / convertible security | IndirectBy Delaware Project 4 L.L.C. | Not disclosed |
Reported balance
After 2020-06-26 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-06-26 · Grant · Acquired Not disclosed · Balance Not disclosed F6: Reflects the acquisition from the Issuer, in accordance with the Share Repurchase Agreement, and as partial consideration, together with a $1,667,167,222.80 cash payment from the Issuer, for the 19,417,400 shares of Common Stock reported on this Form 4, a contingent value right note (the "CVR Note") in the aggregate principal amount of $2,000,000,000. Pursuant to the CVR Note, the Trust will deliver on the Exchange Date (June 1, 2023, which may be extended as provided for in the CVR Note) a number of shares of Common Stock with respect to each $1,000 principal amount of the CVR Note determined by an exchange rate set forth in the CVR Note. The exchange rate is based on the daily volume weighted average price of a share of Common Stock during the 40 trading days preceding June 1, 2023. F7: (Continued from footnote 6) The maximum number of shares of Common Stock that can be received pursuant to the CVR Note is approximately 3,566,400. The number of shares of Common Stock deliverable under the CVR Note is subject to acceleration and adjustment in certain circumstances. |
Filing footnotes · ownership attribution and instrument terms
F1: Marcelo Claure, Stephen Kappes, each members of the Board of Directors of the Issuer, and Ronald D. Fisher, who resigned from the Board of Directors on June 22, 2020, were elected as representatives of Softbank Group Corp. ("SoftBank"), SoftBank Group Capital Ltd ("SBGC"), Delaware Project 4 L.L.C. ("Project 4 LLC") and Delaware Project 6 L.L.C. ("Project 6 LLC"). As a result, each of these entities is a director by deputization for Section 16 purposes.
F2: The shares were sold to the Issuer pursuant to a Share Repurchase Agreement, dated as of June 22, 2020 (the "Share Repurchase Agreement"), between SBGC and the Issuer. The Issuer sold 154,147,026 shares of common stock in a registered public offering that closed on June 26, 2020, the net proceeds of which were used by the Issuer to purchase an equal number of shares of Common Stock from SBGC.
F3: Represents the number of shares of Common Stock subject to a rights offering by the Issuer pursuant to which it issued holders of record of Common Stock as of 5:00 pm on June 25, 2020 the right to purchase 0.05 shares of Common Stock at $103.00 per share, up to an aggregate of 19,750,000 shares. Pursuant to the Share Repurchase Agreement, SBGC agreed to sell an aggregate of up to 19,750,000 shares to the Issuer, to the extent such shares are issued in the rights offering.
F4: Represents the number of shares of Common Stock that the Issuer agreed to sell to an entity controlled by Marcelo Claure for $103.00 per share, subject to receipt of necessary regulatory approvals. Pursuant to the Share Repurchase Agreement, SBGC has agreed to sell to the Issuer 5,000,000 shares upon the closing of such sale to Mr. Claure at the same price per share.
F5: Reflects the transfer of 106,291,623 shares of Common Stock to Project 6 LLC. As a result, Project 6 LLC directly owns 106,291,623 shares of Common Stock. Project 6 LLC and SBGC are wholly owned subsidiaries of SoftBank. As a result, SoftBank may be deemed to beneficially own the shares of Common Stock owned directly by Project 6 LLC. Project 4 LLC expressly disclaims the beneficial ownership of the shares of Common Stock owned by Project 6 LLC, Project 6 LLC expressly disclaims beneficial ownership with respect to the CVR Note owned by Project 4 LLC, and SBGC expressly disclaims beneficial ownership with respect to the CVR Note owned by Project 4 LLC and the shares of Common Stock owned by Project 6 LLC.
F6: Reflects the acquisition from the Issuer, in accordance with the Share Repurchase Agreement, and as partial consideration, together with a $1,667,167,222.80 cash payment from the Issuer, for the 19,417,400 shares of Common Stock reported on this Form 4, a contingent value right note (the "CVR Note") in the aggregate principal amount of $2,000,000,000. Pursuant to the CVR Note, the Trust will deliver on the Exchange Date (June 1, 2023, which may be extended as provided for in the CVR Note) a number of shares of Common Stock with respect to each $1,000 principal amount of the CVR Note determined by an exchange rate set forth in the CVR Note. The exchange rate is based on the daily volume weighted average price of a share of Common Stock during the 40 trading days preceding June 1, 2023.
F7: (Continued from footnote 6) The maximum number of shares of Common Stock that can be received pursuant to the CVR Note is approximately 3,566,400. The number of shares of Common Stock deliverable under the CVR Note is subject to acceleration and adjustment in certain circumstances.
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 |
|---|---|---|---|---|---|---|
| May 13, 2025 Filed May 15, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 77,092 | $33.03 | $2,546,641.71 |
DisclosureSEC source: 0001641172-25-010427 · ownership.xml · nonDerivative · entry 5 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,111,441 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.00 to $33.20. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 13, 2025 Filed May 15, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 310,190 | $32.79 | $10,172,091.69 |
DisclosureSEC source: 0001641172-25-010427 · ownership.xml · nonDerivative · entry 4 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,188,533 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.52 to $32.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 12, 2025 Filed May 15, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 44,403 | $33.12 | $1,470,658.44 |
DisclosureSEC source: 0001641172-25-010427 · ownership.xml · nonDerivative · entry 3 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,498,723 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.00 to $33.45. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 12, 2025 Filed May 15, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 277,835 | $32.32 | $8,980,071.74 |
DisclosureSEC source: 0001641172-25-010427 · ownership.xml · nonDerivative · entry 2 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,543,126 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 12, 2025 Filed May 15, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 177,762 | $31.92 | $5,673,594.20 |
DisclosureSEC source: 0001641172-25-010427 · ownership.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,820,961 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.76 to $31.9985. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 09, 2025 Filed May 13, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 471,960 | $31.15 | $14,701,034.84 |
DisclosureSEC source: 0001641172-25-009790 · ownership.xml · nonDerivative · entry 3 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,998,723 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.07 to $31.71. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 08, 2025 Filed May 13, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 420,976 | $31.29 | $13,170,528.84 |
DisclosureSEC source: 0001641172-25-009790 · ownership.xml · nonDerivative · entry 2 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,470,683 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.00 to $31.625. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 08, 2025 Filed May 13, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 79,024 | $30.87 | $2,439,407.66 |
DisclosureSEC source: 0001641172-25-009790 · ownership.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,891,659 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.55 to $30.9992. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 07, 2025 Filed May 10, 2025 01:04 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 16,829 | $32.01 | $538,669.36 |
DisclosureSEC source: 0001641172-25-009539 · ownership.xml · nonDerivative · entry 3 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,970,683 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.06. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 07, 2025 Filed May 10, 2025 01:04 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 152,910 | $31.51 | $4,817,964.74 |
DisclosureSEC source: 0001641172-25-009539 · ownership.xml · nonDerivative · entry 2 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,987,512 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.00 to $31.9995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 07, 2025 Filed May 10, 2025 01:04 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 146,383 | $30.66 | $4,488,249.16 |
DisclosureSEC source: 0001641172-25-009539 · ownership.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,140,422 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.55 to $30.98. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 06, 2025 Filed May 8, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 15,231 | $32.29 | $491,828.79 |
DisclosureSEC source: 0001641172-25-009112 · ownership.xml · nonDerivative · entry 4 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,286,805 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.56. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 06, 2025 Filed May 8, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 253,805 | $31.44 | $7,980,669.80 |
DisclosureSEC source: 0001641172-25-009112 · ownership.xml · nonDerivative · entry 3 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,302,036 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.00 to $31.9967. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 06, 2025 Filed May 8, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 61,928 | $30.80 | $1,907,289.51 |
DisclosureSEC source: 0001641172-25-009112 · ownership.xml · nonDerivative · entry 2 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,555,841 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.55 to $30.9993. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 05, 2025 Filed May 8, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 398,215 | $30.27 | $12,054,684.84 |
DisclosureSEC source: 0001641172-25-009112 · ownership.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,617,769 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.6345. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 02, 2025 Filed May 7, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 422,177 | $30.17 | $12,738,008.88 |
DisclosureSEC source: 0001641172-25-008906 · ownership.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,015,984 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.52. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| April 29, 2025 Filed May 2, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 13,815 | $30.01 | $414,534.27 |
DisclosureSEC source: 0001641172-25-008144 · ownership.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,438,161 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.05. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| April 28, 2025 Filed May 1, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 500 | $30.00 | $15,000.00 |
DisclosureSEC source: 0001641172-25-007959 · ownership.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,451,976 Read SEC document |
| March 26, 2025 Filed Mar 29, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 42,160 | $37.22 | $1,569,300.60 |
DisclosureSEC source: 0001641172-25-001403 · ownership.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,452,476 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.00 to $37.67. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 24, 2025 Filed Mar 27, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 6,729 | $38.03 | $255,907.23 |
DisclosureSEC source: 0001641172-25-000812 · ownership.xml · nonDerivative · entry 3 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,494,636 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.00 to $38.0335. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 24, 2025 Filed Mar 27, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 112,714 | $37.15 | $4,187,099.67 |
DisclosureSEC source: 0001641172-25-000812 · ownership.xml · nonDerivative · entry 2 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,501,365 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.00 to $37.96. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 24, 2025 Filed Mar 27, 2025 01:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 85,132 | $36.90 | $3,141,660.25 |
DisclosureSEC source: 0001641172-25-000812 · ownership.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,614,079 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.75 to $36.9979. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 18, 2024 Filed Dec 21, 2024 02:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 7,067 | $43.02 | $304,052.02 |
DisclosureSEC source: 0001493152-24-051154 · ownership.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,699,211 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.00 to $43.085. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 17, 2024 Filed Dec 19, 2024 02:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 31,967 | $44.21 | $1,413,254.68 |
DisclosureSEC source: 0001493152-24-050671 · ownership.xml · nonDerivative · entry 6 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,706,278 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.00 to $44.38. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 17, 2024 Filed Dec 19, 2024 02:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 525,324 | $43.31 | $22,749,996.34 |
DisclosureSEC source: 0001493152-24-050671 · ownership.xml · nonDerivative · entry 5 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,738,245 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.00 to $43.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 16, 2024 Filed Dec 19, 2024 02:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 254,815 | $43.81 | $11,163,598.04 |
DisclosureSEC source: 0001493152-24-050671 · ownership.xml · nonDerivative · entry 4 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,263,569 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.50 to $44.215. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 16, 2024 Filed Dec 19, 2024 02:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 17,225 | $46.39 | $799,115.98 |
DisclosureSEC source: 0001493152-24-050671 · ownership.xml · nonDerivative · entry 3 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,518,384 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.01 to $46.76. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 16, 2024 Filed Dec 19, 2024 02:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 59,469 | $45.14 | $2,684,216.57 |
DisclosureSEC source: 0001493152-24-050671 · ownership.xml · nonDerivative · entry 2 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,535,609 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 16, 2024 Filed Dec 19, 2024 02:00 UTC | Lemonade, Inc. LMND · Entity 4057 | SaleCommon stock | 388,306 | $44.37 | $17,230,806.94 |
DisclosureSEC source: 0001493152-24-050671 · ownership.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,595,078 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.00 to $44.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| July 14, 2021 Filed Jul 23, 2021 21:43 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | OtherCommon Stock | 117,795,933 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-21-006693 · form4.xml · nonDerivative · entry 3 SOFTBANK GROUP CORP · CIK 0001065521 · Director · 10% owner SoftBank Group Capital Ltd · CIK 0001755163 · Director · 10% owner SB SONIC HOLDCO (UK) LTD · CIK 0001864932 · Director · 10% owner Delaware Project 10 L.L.C. · CIK 0001872350 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Delaware Project 10 L.L.C. Disclosed balance after: 117,795,933 F1 · kind: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank. F1 · price: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank. F1 · balance_after: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank. F3 · ownership.nature: Michel Combes and Carlos Carniero de Medeiros, each a member of the board of directors of the Issuer, were elected as representatives of SoftBank, SBGC, SB Sonic, and now DE Project 10. Messrs. Combes and Medeiros serve as managers of DE Project 10 and in other roles at SoftBank entities. As a result, each of these entities is a director by deputization for Section 16 purposes. F4 · ownership.nature: The shares are directly held by DE Project 10. SoftBank may be deemed to have voting and dispositive power with respect to the shares held by DE Project 10. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| July 14, 2021 Filed Jul 23, 2021 21:43 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | OtherCommon Stock | 53,110,699 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-21-006693 · form4.xml · nonDerivative · entry 2 SOFTBANK GROUP CORP · CIK 0001065521 · Director · 10% owner SoftBank Group Capital Ltd · CIK 0001755163 · Director · 10% owner SB SONIC HOLDCO (UK) LTD · CIK 0001864932 · Director · 10% owner Delaware Project 10 L.L.C. · CIK 0001872350 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SoftBank Group Capital Ltd Disclosed balance after: 0 F1 · kind: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank. F2 · shares: The shares initially reported as acquired in the Form 4 filed on June 2, 2021 were adjusted by the Issuer as a result of a post transaction review. The shares reported herein reflect the number of shares acquired by SBGC (less the shares disposed to the Issuer on May 28, 2021, as reported on the Form 4 filed on June 2, 2021) and SB Sonic in the business combination. F1 · price: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank. F1 · balance_after: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank. Read SEC document |
| July 14, 2021 Filed Jul 23, 2021 21:43 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | OtherCommon Stock | 64,685,234 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-21-006693 · form4.xml · nonDerivative · entry 1 SOFTBANK GROUP CORP · CIK 0001065521 · Director · 10% owner SoftBank Group Capital Ltd · CIK 0001755163 · Director · 10% owner SB SONIC HOLDCO (UK) LTD · CIK 0001864932 · Director · 10% owner Delaware Project 10 L.L.C. · CIK 0001872350 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SB Sonic Holdco (UK) Ltd Disclosed balance after: 0 F1 · kind: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank. F2 · shares: The shares initially reported as acquired in the Form 4 filed on June 2, 2021 were adjusted by the Issuer as a result of a post transaction review. The shares reported herein reflect the number of shares acquired by SBGC (less the shares disposed to the Issuer on May 28, 2021, as reported on the Form 4 filed on June 2, 2021) and SB Sonic in the business combination. F1 · price: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank. F1 · balance_after: The shares were originally held by SoftBank Group Capital Ltd. ("SBGC") and SB Sonic HoldCo (UK) Limited ("SB Sonic"), each wholly owned subsidiaries of SoftBank Group Corp. ("SoftBank"). On July 21, 2021, SoftBank transferred the shares from SBGC and SB Sonic to Delaware Project 10 L.L.C. ("DE Project 10"), also a wholly owned subsidiary of SoftBank. Read SEC document |
| May 28, 2021 Filed Jun 3, 2021 00:59 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | Disposition to issuerCommon Stock | 15,000,000 | $10.00 | $150,000,000.00 |
DisclosureSEC source: 0001062993-21-005315 · form4.xml · nonDerivative · entry 3 SOFTBANK GROUP CORP · CIK 0001065521 · Director · 10% owner SoftBank Group Capital Ltd · CIK 0001755163 · Director · 10% owner SB SONIC HOLDCO (UK) LTD · CIK 0001864932 · Director · 10% owner CARNEIRO DE MEDEIROS CARLOS HENRIQUE · CIK 0001862136 · Director Combes Michel · CIK 0001708849 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SoftBank Group Capital Ltd Disclosed balance after: 53,111,494 F2 · shares: The shares were sold to the Issuer pursuant to a Share Repurchase Agreement, dated as of May 28, 2021, between SoftBank Group Capital Ltd ("SBGC") and the Issuer in accordance with the terms of the Merger Agreement. F3 · balance_after: Under the Issuer's Certificate of Incorporation, the SoftBank Holders (as defined below) have the right to convert their shares into non-voting common stock ("Non-Voting Shares") of the Issuer. Further, pursuant to the Issuer's Certificate of Incorporation and a shareholders' agreement with the Issuer and certain other parties, in the event the Issuer becomes a bank holding company within the meaning of the Bank Holding Company Act of 1956, then the minimum number of shares held by the SoftBank Holders will automatically be converted into an equal number of Non-Voting Shares so that the SoftBank Holders, together with their affiliates, would not own or control, or be deemed to own or control, collectively, greater than 24.9% (or 14.9%, if required by the Board of Governors of the Federal Reserve Board) of the voting power of any class of voting securities of the Issuer. F4 · ownership.nature: Michel Combes and Carlos Carniero de Medeiros, each a member of the board of directors of the Issuer, were elected as representatives of SoftBank Group Corp. ("SoftBank"), SBGC and SB Sonic HoldCo (UK) Limited ("SB Sonic" and together with SBGC, the "SoftBank Holders"). As a result, each of these entities is a director by deputization for Section 16 purposes. F5 · ownership.nature: The shares are directly held by SBGC and SB Sonic. SoftBank may be deemed to have voting and dispositive power with respect to the shares held by SBGC and SB Sonic. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| May 28, 2021 Filed Jun 3, 2021 00:59 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | GrantCommon Stock | 64,685,237 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-21-005315 · form4.xml · nonDerivative · entry 2 SOFTBANK GROUP CORP · CIK 0001065521 · Director · 10% owner SoftBank Group Capital Ltd · CIK 0001755163 · Director · 10% owner SB SONIC HOLDCO (UK) LTD · CIK 0001864932 · Director · 10% owner CARNEIRO DE MEDEIROS CARLOS HENRIQUE · CIK 0001862136 · Director Combes Michel · CIK 0001708849 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SB Sonic Holdco (UK) Ltd Disclosed balance after: 64,685,237 F1 · price: Received in exchange for shares of Social Finance Inc., a Delaware corporation ("Social Finance"), pursuant to the Agreement and Plan of Merger, dated as of January 7, 2021, as amended (the "Merger Agreement"), by and among Social Capital Hedosophia Holdings Corp. V, a Cayman Islands corporation ("Social Capital"), Plutus Merger Sub Inc. ("Merger Sub") and Social Finance (and upon consummation of the business combination, the surviving Issuer as renamed "SoFi Technologies, Inc."). F3 · balance_after: Under the Issuer's Certificate of Incorporation, the SoftBank Holders (as defined below) have the right to convert their shares into non-voting common stock ("Non-Voting Shares") of the Issuer. Further, pursuant to the Issuer's Certificate of Incorporation and a shareholders' agreement with the Issuer and certain other parties, in the event the Issuer becomes a bank holding company within the meaning of the Bank Holding Company Act of 1956, then the minimum number of shares held by the SoftBank Holders will automatically be converted into an equal number of Non-Voting Shares so that the SoftBank Holders, together with their affiliates, would not own or control, or be deemed to own or control, collectively, greater than 24.9% (or 14.9%, if required by the Board of Governors of the Federal Reserve Board) of the voting power of any class of voting securities of the Issuer. F4 · ownership.nature: Michel Combes and Carlos Carniero de Medeiros, each a member of the board of directors of the Issuer, were elected as representatives of SoftBank Group Corp. ("SoftBank"), SBGC and SB Sonic HoldCo (UK) Limited ("SB Sonic" and together with SBGC, the "SoftBank Holders"). As a result, each of these entities is a director by deputization for Section 16 purposes. F5 · ownership.nature: The shares are directly held by SBGC and SB Sonic. SoftBank may be deemed to have voting and dispositive power with respect to the shares held by SBGC and SB Sonic. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| May 28, 2021 Filed Jun 3, 2021 00:59 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | GrantCommon Stock | 68,111,494 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-21-005315 · form4.xml · nonDerivative · entry 1 SOFTBANK GROUP CORP · CIK 0001065521 · Director · 10% owner SoftBank Group Capital Ltd · CIK 0001755163 · Director · 10% owner SB SONIC HOLDCO (UK) LTD · CIK 0001864932 · Director · 10% owner CARNEIRO DE MEDEIROS CARLOS HENRIQUE · CIK 0001862136 · Director Combes Michel · CIK 0001708849 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SoftBank Group Capital Ltd Disclosed balance after: 68,111,494 F1 · price: Received in exchange for shares of Social Finance Inc., a Delaware corporation ("Social Finance"), pursuant to the Agreement and Plan of Merger, dated as of January 7, 2021, as amended (the "Merger Agreement"), by and among Social Capital Hedosophia Holdings Corp. V, a Cayman Islands corporation ("Social Capital"), Plutus Merger Sub Inc. ("Merger Sub") and Social Finance (and upon consummation of the business combination, the surviving Issuer as renamed "SoFi Technologies, Inc."). F3 · balance_after: Under the Issuer's Certificate of Incorporation, the SoftBank Holders (as defined below) have the right to convert their shares into non-voting common stock ("Non-Voting Shares") of the Issuer. Further, pursuant to the Issuer's Certificate of Incorporation and a shareholders' agreement with the Issuer and certain other parties, in the event the Issuer becomes a bank holding company within the meaning of the Bank Holding Company Act of 1956, then the minimum number of shares held by the SoftBank Holders will automatically be converted into an equal number of Non-Voting Shares so that the SoftBank Holders, together with their affiliates, would not own or control, or be deemed to own or control, collectively, greater than 24.9% (or 14.9%, if required by the Board of Governors of the Federal Reserve Board) of the voting power of any class of voting securities of the Issuer. F4 · ownership.nature: Michel Combes and Carlos Carniero de Medeiros, each a member of the board of directors of the Issuer, were elected as representatives of SoftBank Group Corp. ("SoftBank"), SBGC and SB Sonic HoldCo (UK) Limited ("SB Sonic" and together with SBGC, the "SoftBank Holders"). As a result, each of these entities is a director by deputization for Section 16 purposes. F5 · ownership.nature: The shares are directly held by SBGC and SB Sonic. SoftBank may be deemed to have voting and dispositive power with respect to the shares held by SBGC and SB Sonic. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 26, 2020 Filed Jun 26, 2020 21:58 UTC | T-Mobile US, Inc. TMUS · Entity 2064 | GrantContingent Value Right Note (right to acquire) · Derivative | Not disclosed | Not disclosed | $2,000,000,000.00 |
DisclosureSEC source: 0000925421-20-000264 · edgar.xml · derivative · entry 5 SOFTBANK GROUP CORP · CIK 0001065521 · Director · 10% owner SoftBank Group Capital Ltd · CIK 0001755163 · Director · 10% owner Delaware Project 4 L.L.C. · CIK 0001815950 · Director · 10% owner Delaware Project 6 L.L.C. · CIK 0001815949 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Delaware Project 4 L.L.C. Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires not disclosed F6 · derivative.exercise_price: Reflects the acquisition from the Issuer, in accordance with the Share Repurchase Agreement, and as partial consideration, together with a $1,667,167,222.80 cash payment from the Issuer, for the 19,417,400 shares of Common Stock reported on this Form 4, a contingent value right note (the "CVR Note") in the aggregate principal amount of $2,000,000,000. Pursuant to the CVR Note, the Trust will deliver on the Exchange Date (June 1, 2023, which may be extended as provided for in the CVR Note) a number of shares of Common Stock with respect to each $1,000 principal amount of the CVR Note determined by an exchange rate set forth in the CVR Note. The exchange rate is based on the daily volume weighted average price of a share of Common Stock during the 40 trading days preceding June 1, 2023. F7 · derivative.exercise_price: (Continued from footnote 6) The maximum number of shares of Common Stock that can be received pursuant to the CVR Note is approximately 3,566,400. The number of shares of Common Stock deliverable under the CVR Note is subject to acceleration and adjustment in certain circumstances. F6 · reported_value: Reflects the acquisition from the Issuer, in accordance with the Share Repurchase Agreement, and as partial consideration, together with a $1,667,167,222.80 cash payment from the Issuer, for the 19,417,400 shares of Common Stock reported on this Form 4, a contingent value right note (the "CVR Note") in the aggregate principal amount of $2,000,000,000. Pursuant to the CVR Note, the Trust will deliver on the Exchange Date (June 1, 2023, which may be extended as provided for in the CVR Note) a number of shares of Common Stock with respect to each $1,000 principal amount of the CVR Note determined by an exchange rate set forth in the CVR Note. The exchange rate is based on the daily volume weighted average price of a share of Common Stock during the 40 trading days preceding June 1, 2023. F7 · reported_value: (Continued from footnote 6) The maximum number of shares of Common Stock that can be received pursuant to the CVR Note is approximately 3,566,400. The number of shares of Common Stock deliverable under the CVR Note is subject to acceleration and adjustment in certain circumstances. F6 · price: Reflects the acquisition from the Issuer, in accordance with the Share Repurchase Agreement, and as partial consideration, together with a $1,667,167,222.80 cash payment from the Issuer, for the 19,417,400 shares of Common Stock reported on this Form 4, a contingent value right note (the "CVR Note") in the aggregate principal amount of $2,000,000,000. Pursuant to the CVR Note, the Trust will deliver on the Exchange Date (June 1, 2023, which may be extended as provided for in the CVR Note) a number of shares of Common Stock with respect to each $1,000 principal amount of the CVR Note determined by an exchange rate set forth in the CVR Note. The exchange rate is based on the daily volume weighted average price of a share of Common Stock during the 40 trading days preceding June 1, 2023. F7 · price: (Continued from footnote 6) The maximum number of shares of Common Stock that can be received pursuant to the CVR Note is approximately 3,566,400. The number of shares of Common Stock deliverable under the CVR Note is subject to acceleration and adjustment in certain circumstances. F6 · derivative.exercise_date: Reflects the acquisition from the Issuer, in accordance with the Share Repurchase Agreement, and as partial consideration, together with a $1,667,167,222.80 cash payment from the Issuer, for the 19,417,400 shares of Common Stock reported on this Form 4, a contingent value right note (the "CVR Note") in the aggregate principal amount of $2,000,000,000. Pursuant to the CVR Note, the Trust will deliver on the Exchange Date (June 1, 2023, which may be extended as provided for in the CVR Note) a number of shares of Common Stock with respect to each $1,000 principal amount of the CVR Note determined by an exchange rate set forth in the CVR Note. The exchange rate is based on the daily volume weighted average price of a share of Common Stock during the 40 trading days preceding June 1, 2023. F7 · derivative.exercise_date: (Continued from footnote 6) The maximum number of shares of Common Stock that can be received pursuant to the CVR Note is approximately 3,566,400. The number of shares of Common Stock deliverable under the CVR Note is subject to acceleration and adjustment in certain circumstances. F6 · derivative.expiration_date: Reflects the acquisition from the Issuer, in accordance with the Share Repurchase Agreement, and as partial consideration, together with a $1,667,167,222.80 cash payment from the Issuer, for the 19,417,400 shares of Common Stock reported on this Form 4, a contingent value right note (the "CVR Note") in the aggregate principal amount of $2,000,000,000. Pursuant to the CVR Note, the Trust will deliver on the Exchange Date (June 1, 2023, which may be extended as provided for in the CVR Note) a number of shares of Common Stock with respect to each $1,000 principal amount of the CVR Note determined by an exchange rate set forth in the CVR Note. The exchange rate is based on the daily volume weighted average price of a share of Common Stock during the 40 trading days preceding June 1, 2023. F7 · derivative.expiration_date: (Continued from footnote 6) The maximum number of shares of Common Stock that can be received pursuant to the CVR Note is approximately 3,566,400. The number of shares of Common Stock deliverable under the CVR Note is subject to acceleration and adjustment in certain circumstances. F6 · derivative.underlying_shares: Reflects the acquisition from the Issuer, in accordance with the Share Repurchase Agreement, and as partial consideration, together with a $1,667,167,222.80 cash payment from the Issuer, for the 19,417,400 shares of Common Stock reported on this Form 4, a contingent value right note (the "CVR Note") in the aggregate principal amount of $2,000,000,000. Pursuant to the CVR Note, the Trust will deliver on the Exchange Date (June 1, 2023, which may be extended as provided for in the CVR Note) a number of shares of Common Stock with respect to each $1,000 principal amount of the CVR Note determined by an exchange rate set forth in the CVR Note. The exchange rate is based on the daily volume weighted average price of a share of Common Stock during the 40 trading days preceding June 1, 2023. F7 · derivative.underlying_shares: (Continued from footnote 6) The maximum number of shares of Common Stock that can be received pursuant to the CVR Note is approximately 3,566,400. The number of shares of Common Stock deliverable under the CVR Note is subject to acceleration and adjustment in certain circumstances. F6 · ownership.direct: Reflects the acquisition from the Issuer, in accordance with the Share Repurchase Agreement, and as partial consideration, together with a $1,667,167,222.80 cash payment from the Issuer, for the 19,417,400 shares of Common Stock reported on this Form 4, a contingent value right note (the "CVR Note") in the aggregate principal amount of $2,000,000,000. Pursuant to the CVR Note, the Trust will deliver on the Exchange Date (June 1, 2023, which may be extended as provided for in the CVR Note) a number of shares of Common Stock with respect to each $1,000 principal amount of the CVR Note determined by an exchange rate set forth in the CVR Note. The exchange rate is based on the daily volume weighted average price of a share of Common Stock during the 40 trading days preceding June 1, 2023. F7 · ownership.direct: (Continued from footnote 6) The maximum number of shares of Common Stock that can be received pursuant to the CVR Note is approximately 3,566,400. The number of shares of Common Stock deliverable under the CVR Note is subject to acceleration and adjustment in certain circumstances. Read SEC document |
| June 26, 2020 Filed Jun 26, 2020 21:58 UTC | T-Mobile US, Inc. TMUS · Entity 2064 | Disposition to issuerCommon Stock | 5,000,000 | $103.00 | $515,000,000.00 |
DisclosureSEC source: 0000925421-20-000264 · edgar.xml · nonDerivative · entry 4 SOFTBANK GROUP CORP · CIK 0001065521 · Director · 10% owner SoftBank Group Capital Ltd · CIK 0001755163 · Director · 10% owner Delaware Project 4 L.L.C. · CIK 0001815950 · Director · 10% owner Delaware Project 6 L.L.C. · CIK 0001815949 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Delaware Project 6 L.L.C. Disclosed balance after: 106,291,623 F1 · kind: Marcelo Claure, Stephen Kappes, each members of the Board of Directors of the Issuer, and Ronald D. Fisher, who resigned from the Board of Directors on June 22, 2020, were elected as representatives of Softbank Group Corp. ("SoftBank"), SoftBank Group Capital Ltd ("SBGC"), Delaware Project 4 L.L.C. ("Project 4 LLC") and Delaware Project 6 L.L.C. ("Project 6 LLC"). As a result, each of these entities is a director by deputization for Section 16 purposes. F4 · kind: Represents the number of shares of Common Stock that the Issuer agreed to sell to an entity controlled by Marcelo Claure for $103.00 per share, subject to receipt of necessary regulatory approvals. Pursuant to the Share Repurchase Agreement, SBGC has agreed to sell to the Issuer 5,000,000 shares upon the closing of such sale to Mr. Claure at the same price per share. F5 · ownership.direct: Reflects the transfer of 106,291,623 shares of Common Stock to Project 6 LLC. As a result, Project 6 LLC directly owns 106,291,623 shares of Common Stock. Project 6 LLC and SBGC are wholly owned subsidiaries of SoftBank. As a result, SoftBank may be deemed to beneficially own the shares of Common Stock owned directly by Project 6 LLC. Project 4 LLC expressly disclaims the beneficial ownership of the shares of Common Stock owned by Project 6 LLC, Project 6 LLC expressly disclaims beneficial ownership with respect to the CVR Note owned by Project 4 LLC, and SBGC expressly disclaims beneficial ownership with respect to the CVR Note owned by Project 4 LLC and the shares of Common Stock owned by Project 6 LLC. Read SEC document |
| June 26, 2020 Filed Jun 26, 2020 21:58 UTC | T-Mobile US, Inc. TMUS · Entity 2064 | Disposition to issuerCommon Stock | 19,750,000 | $103.00 | $2,034,250,000.00 |
DisclosureSEC source: 0000925421-20-000264 · edgar.xml · nonDerivative · entry 3 SOFTBANK GROUP CORP · CIK 0001065521 · Director · 10% owner SoftBank Group Capital Ltd · CIK 0001755163 · Director · 10% owner Delaware Project 4 L.L.C. · CIK 0001815950 · Director · 10% owner Delaware Project 6 L.L.C. · CIK 0001815949 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SoftBank Group Capital Ltd Disclosed balance after: 111,291,623 F1 · kind: Marcelo Claure, Stephen Kappes, each members of the Board of Directors of the Issuer, and Ronald D. Fisher, who resigned from the Board of Directors on June 22, 2020, were elected as representatives of Softbank Group Corp. ("SoftBank"), SoftBank Group Capital Ltd ("SBGC"), Delaware Project 4 L.L.C. ("Project 4 LLC") and Delaware Project 6 L.L.C. ("Project 6 LLC"). As a result, each of these entities is a director by deputization for Section 16 purposes. F3 · kind: Represents the number of shares of Common Stock subject to a rights offering by the Issuer pursuant to which it issued holders of record of Common Stock as of 5:00 pm on June 25, 2020 the right to purchase 0.05 shares of Common Stock at $103.00 per share, up to an aggregate of 19,750,000 shares. Pursuant to the Share Repurchase Agreement, SBGC agreed to sell an aggregate of up to 19,750,000 shares to the Issuer, to the extent such shares are issued in the rights offering. F3 · shares: Represents the number of shares of Common Stock subject to a rights offering by the Issuer pursuant to which it issued holders of record of Common Stock as of 5:00 pm on June 25, 2020 the right to purchase 0.05 shares of Common Stock at $103.00 per share, up to an aggregate of 19,750,000 shares. Pursuant to the Share Repurchase Agreement, SBGC agreed to sell an aggregate of up to 19,750,000 shares to the Issuer, to the extent such shares are issued in the rights offering. Read SEC document |
| June 26, 2020 Filed Jun 26, 2020 21:58 UTC | T-Mobile US, Inc. TMUS · Entity 2064 | Disposition to issuerCommon Stock | 19,417,400 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000925421-20-000264 · edgar.xml · nonDerivative · entry 2 SOFTBANK GROUP CORP · CIK 0001065521 · Director · 10% owner SoftBank Group Capital Ltd · CIK 0001755163 · Director · 10% owner Delaware Project 4 L.L.C. · CIK 0001815950 · Director · 10% owner Delaware Project 6 L.L.C. · CIK 0001815949 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SoftBank Group Capital Ltd Disclosed balance after: 131,041,623 F1 · kind: Marcelo Claure, Stephen Kappes, each members of the Board of Directors of the Issuer, and Ronald D. Fisher, who resigned from the Board of Directors on June 22, 2020, were elected as representatives of Softbank Group Corp. ("SoftBank"), SoftBank Group Capital Ltd ("SBGC"), Delaware Project 4 L.L.C. ("Project 4 LLC") and Delaware Project 6 L.L.C. ("Project 6 LLC"). As a result, each of these entities is a director by deputization for Section 16 purposes. F2 · kind: The shares were sold to the Issuer pursuant to a Share Repurchase Agreement, dated as of June 22, 2020 (the "Share Repurchase Agreement"), between SBGC and the Issuer. The Issuer sold 154,147,026 shares of common stock in a registered public offering that closed on June 26, 2020, the net proceeds of which were used by the Issuer to purchase an equal number of shares of Common Stock from SBGC. F6 · kind: Reflects the acquisition from the Issuer, in accordance with the Share Repurchase Agreement, and as partial consideration, together with a $1,667,167,222.80 cash payment from the Issuer, for the 19,417,400 shares of Common Stock reported on this Form 4, a contingent value right note (the "CVR Note") in the aggregate principal amount of $2,000,000,000. Pursuant to the CVR Note, the Trust will deliver on the Exchange Date (June 1, 2023, which may be extended as provided for in the CVR Note) a number of shares of Common Stock with respect to each $1,000 principal amount of the CVR Note determined by an exchange rate set forth in the CVR Note. The exchange rate is based on the daily volume weighted average price of a share of Common Stock during the 40 trading days preceding June 1, 2023. F2 · price: The shares were sold to the Issuer pursuant to a Share Repurchase Agreement, dated as of June 22, 2020 (the "Share Repurchase Agreement"), between SBGC and the Issuer. The Issuer sold 154,147,026 shares of common stock in a registered public offering that closed on June 26, 2020, the net proceeds of which were used by the Issuer to purchase an equal number of shares of Common Stock from SBGC. F6 · price: Reflects the acquisition from the Issuer, in accordance with the Share Repurchase Agreement, and as partial consideration, together with a $1,667,167,222.80 cash payment from the Issuer, for the 19,417,400 shares of Common Stock reported on this Form 4, a contingent value right note (the "CVR Note") in the aggregate principal amount of $2,000,000,000. Pursuant to the CVR Note, the Trust will deliver on the Exchange Date (June 1, 2023, which may be extended as provided for in the CVR Note) a number of shares of Common Stock with respect to each $1,000 principal amount of the CVR Note determined by an exchange rate set forth in the CVR Note. The exchange rate is based on the daily volume weighted average price of a share of Common Stock during the 40 trading days preceding June 1, 2023. Read SEC document |
| June 26, 2020 Filed Jun 26, 2020 21:58 UTC | T-Mobile US, Inc. TMUS · Entity 2064 | Disposition to issuerCommon Stock | 154,147,026 | $101.46 | $15,638,986,522.83 |
DisclosureSEC source: 0000925421-20-000264 · edgar.xml · nonDerivative · entry 1 SOFTBANK GROUP CORP · CIK 0001065521 · Director · 10% owner SoftBank Group Capital Ltd · CIK 0001755163 · Director · 10% owner Delaware Project 4 L.L.C. · CIK 0001815950 · Director · 10% owner Delaware Project 6 L.L.C. · CIK 0001815949 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SoftBank Group Capital Ltd Disclosed balance after: 150,459,023 F1 · kind: Marcelo Claure, Stephen Kappes, each members of the Board of Directors of the Issuer, and Ronald D. Fisher, who resigned from the Board of Directors on June 22, 2020, were elected as representatives of Softbank Group Corp. ("SoftBank"), SoftBank Group Capital Ltd ("SBGC"), Delaware Project 4 L.L.C. ("Project 4 LLC") and Delaware Project 6 L.L.C. ("Project 6 LLC"). As a result, each of these entities is a director by deputization for Section 16 purposes. F2 · kind: The shares were sold to the Issuer pursuant to a Share Repurchase Agreement, dated as of June 22, 2020 (the "Share Repurchase Agreement"), between SBGC and the Issuer. The Issuer sold 154,147,026 shares of common stock in a registered public offering that closed on June 26, 2020, the net proceeds of which were used by the Issuer to purchase an equal number of shares of Common Stock from SBGC. Read SEC document |
| June 22, 2020 Filed Jun 25, 2020 00:08 UTC | T-Mobile US, Inc. TMUS · Entity 2064 | Disposition to issuerCall Option (obligation to sell) · Derivative | 44,905,479 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000925421-20-000261 · edgar.xml · derivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · Director · 10% owner SOFTBANK GROUP CORP · CIK 0001065521 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,905,479 Underlying: Common Stock · 44,905,479 shares Expires 2024-06-22 F1 · derivative.exercise_price: The exercise price per share of the call options is the lesser of (i) $106.90 and (ii) the volume weighted average price of the shares of common stock of the Issuer sold by SoftBank Group Capital Ltd ("SBGC") in one or more underwritten public offerings of Common Stock on or prior to December 22, 2020, which may include one or more "synthetic secondary offerings" undertaken through the Company, F2 · derivative.exercise_price: (Continued from footnote 1) in each case during the period beginning on June 22, 2020 and ending on the earlier of (x) December 22, 2020 and (y) the close of business on the business day immediately preceding the date of delivery of the first notice of exercise of the options, calculated after all discounts, commissions, spreads, fees or other similar amounts as determined by, or agreed to with, the underwriters, placement agents or other persons performing similar functions in connection with such public offerings. F3 · kind: Marcelo Claure, Stephen Kappes, each members of the Board of Directors of the Issuer, and Ronald D. Fisher, who resigned from the Board of Directors on June 22, 2020, were elected as representatives of Softbank Group Corp. ("SoftBank"), SBGC and the other SoftBank Parties (defined below). As a result, each of these entities is a director by deputization for Section 16 purposes. F4 · price: In connection with the transactions between or among SoftBank, Deutsche Telekom AG ("DT"), Claure Mobile LLC (the "Executive Purchaser"), SBGC, Delaware Project 4 L.L.C. ("Project 4 LLC"), Delaware Project 6 L.L.C. ("Project 6 LLC" and, together with SoftBank, SBGC and Project 4 LLC, the "SoftBank Parties") and the Issuer as described in the Master Framework Agreement by and among the SoftBank Parties, DT, the Executive Purchaser and the Issuer, dated June 22, 2020 (the "Master Framework Agreement"), F5 · price: (Continued from footnote 4) DT granted its consent under the Proxy, Lock-Up and ROFR Agreement, dated April 1, 2020, by and between SoftBank and DT, to certain transactions contemplated by the Master Framework Agreement, pursuant to a consent letter between DT and SoftBank, dated June 22, 2020 (the "Proxy Agreement Consent"). As a portion of the consideration for the Proxy Agreement Consent and as part of the transactions contemplated by the Master Framework Agreement, SoftBank granted the options to a subsidiary of the Issuer, which, in turn, issued a back-to-back call option to DT. F6 · ownership.direct: The derivative securities are directly held by SBGC, a wholly owned subsidiary of SoftBank. SoftBank disclaims beneficial ownership of the derivative securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 22:39 UTC | T-Mobile US, Inc. TMUS · Entity 2064 | OtherRight to acquire · Derivative | 48,751,557 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000925421-20-000155 · edgar.xml · derivative · entry 2 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner SOFTBANK GROUP CORP · CIK 0001065521 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,751,557 Underlying: Common Stock · 48,751,557 shares Expires not disclosed F1 · derivative.exercise_price: See remarks below. F1 · kind: See remarks below. F1 · price: See remarks below. F1 · derivative.exercise_date: See remarks below. F1 · derivative.expiration_date: See remarks below. F2 · ownership.direct: The shares are directly held by SoftBank Group Capital Ltd, a wholly owned subsidiary of SoftBank. SoftBank may be deemed to have voting and dispositive power with respect to the shares held by SoftBank Group Capital Ltd. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 22:39 UTC | T-Mobile US, Inc. TMUS · Entity 2064 | OtherCommon Stock | 48,751,557 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000925421-20-000155 · edgar.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner SOFTBANK GROUP CORP · CIK 0001065521 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 304,606,049 F1 · kind: See remarks below. F1 · price: See remarks below. F2 · ownership.direct: The shares are directly held by SoftBank Group Capital Ltd, a wholly owned subsidiary of SoftBank. SoftBank may be deemed to have voting and dispositive power with respect to the shares held by SoftBank Group Capital Ltd. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 09, 2018 Filed Oct 11, 2018 23:20 UTC | Guardant Health, Inc. GH · Entity 3238 | ConversionSERIES D PREFERRED STOCK · Derivative | 2,033,990 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-18-012505 · wf-form4_153930002073213.xml · derivative · entry 2 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner SOFTBANK GROUP CORP · CIK 0001065521 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: COMMON STOCK · 2,033,990 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date. F1 · price: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date. F1 · derivative.exercise_date: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date. F1 · derivative.expiration_date: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date. F2 · ownership.direct: The shares are directly held by SoftBank Group Capital Limited, a wholly owned subsidiary of SoftBank Group Corp., a Japanese kabushiki kaisha. SoftBank Group Corp. may be deemed to have voting and dispositive power with respect to the shares held by SoftBank Group Capital Limited. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 09, 2018 Filed Oct 11, 2018 23:20 UTC | Guardant Health, Inc. GH · Entity 3238 | ConversionCOMMON STOCK | 2,033,990 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-18-012505 · wf-form4_153930002073213.xml · nonDerivative · entry 1 SoftBank Group Capital Ltd · CIK 0001755163 · 10% owner SOFTBANK GROUP CORP · CIK 0001065521 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,033,990 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: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date. F2 · ownership.direct: The shares are directly held by SoftBank Group Capital Limited, a wholly owned subsidiary of SoftBank Group Corp., a Japanese kabushiki kaisha. SoftBank Group Corp. may be deemed to have voting and dispositive power with respect to the shares held by SoftBank Group Capital Limited. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. 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.