Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CytoDyn Inc.CYDY · Entity 5856 | Director | June 25, 2020 | June 27, 2020 |
| Rezolute, Inc.ANTB · Entity 1990 | Director | March 08, 2017 | March 15, 2017 |
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.
CytoDyn Inc.
Report date June 25, 2020 · Filed June 27, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Non-qualified Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $6.15 · Expires 2030-06-25 | Direct | 225,000 |
Reported balance
After 2020-06-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-06-25 · Grant · Acquired 225,000 · Balance 225,000 F1: 56,250 shares vest on August 31, 2020; the balance vests in equal amounts on November 30, 2020, February 28, 2021 and May 31, 2021, subject to amendment to the equity incentive plan. |
Filing footnotes · ownership attribution and instrument terms
F1: 56,250 shares vest on August 31, 2020; the balance vests in equal amounts on November 30, 2020, February 28, 2021 and May 31, 2021, subject to amendment to the equity incentive plan.
Rezolute, Inc.
Report date March 08, 2017 · Filed March 15, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy LRFA | 1,811,415 |
Last balance in matching sequence
After 2017-03-10 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 3 · 2017-03-08 · Purchase · Acquired 5,000 · Balance 1,801,415 F2: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC. Row 4 · 2017-03-09 · Purchase · Acquired 5,000 · Balance 1,806,415 F2: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC. Row 5 · 2017-03-10 · Purchase · Acquired 5,000 · Balance 1,811,415 F2: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC. |
| Common StockSEC Table I · non-derivative | IndirectBy Welch Group | 28,100 |
Reported balance
Holding disclosure · report date 2017-03-08 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 28,100 F1: The Reporting Person is General Partner of Welch Group, LP and has voting and dispositive power of the shares of the Issuer's common stock owned by Welch Group, LP. |
| Common StockSEC Table I · non-derivative | Direct | 15,000 |
Reported balance
Holding disclosure · report date 2017-03-08 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 15,000 |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is General Partner of Welch Group, LP and has voting and dispositive power of the shares of the Issuer's common stock owned by Welch Group, LP.
F2: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Infinera Corp
Report date February 28, 2025 · Filed March 03, 2025
Section 16 reporting ended · disclosed 2025-03-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 532,871 |
Reported balance
After 2025-02-28 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2025-02-28 · Exercise / conversion · Acquired 100,001 · Balance 532,871 F1: Shares of Company common stock reported are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which the Reporting Person is a trustee. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2025-02-28 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2025-02-28 · Disposition to issuer · Disposed 532,871 · Balance 0 F2: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of June 27, 2024, by and among Nokia Corporation, Neptune of America Corporation and Infinera Corporation ("Company"), referred to as the "Merger Agreement". F3: Each share of Company common stock held by the Reporting Person was automatically cancelled, extinguished and converted into the right to receive the consideration provided in the Merger Agreement. F1: Shares of Company common stock reported are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which the Reporting Person is a trustee. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2025-02-28 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2025-02-28 · Disposition to issuer · Disposed 2,500 · Balance 0 F2: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of June 27, 2024, by and among Nokia Corporation, Neptune of America Corporation and Infinera Corporation ("Company"), referred to as the "Merger Agreement". F3: Each share of Company common stock held by the Reporting Person was automatically cancelled, extinguished and converted into the right to receive the consideration provided in the Merger Agreement. F4: Shares of Company common stock held directly by the Reporting Person as a trustee for his children. The Reporting Person disclaims beneficial ownership of the shares held in trust for his children, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares held in trust for his children for purposes of Section 16 or for any other purpose. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-02-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-02-28 · Exercise / conversion · Disposed 100,001 · Balance 0 F5: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock. F6: Includes shares of Company common stock underlying previously reported unvested RSUs which immediately prior to the Effective Time (as defined in the Merger Agreement) of the merger fully vested and converted automatically into the right to receive the consideration provided in the Merger Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of Company common stock reported are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which the Reporting Person is a trustee.
F2: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of June 27, 2024, by and among Nokia Corporation, Neptune of America Corporation and Infinera Corporation ("Company"), referred to as the "Merger Agreement".
F3: Each share of Company common stock held by the Reporting Person was automatically cancelled, extinguished and converted into the right to receive the consideration provided in the Merger Agreement.
F4: Shares of Company common stock held directly by the Reporting Person as a trustee for his children. The Reporting Person disclaims beneficial ownership of the shares held in trust for his children, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares held in trust for his children for purposes of Section 16 or for any other purpose.
F5: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock.
F6: Includes shares of Company common stock underlying previously reported unvested RSUs which immediately prior to the Effective Time (as defined in the Merger Agreement) of the merger fully vested and converted automatically into the right to receive the consideration provided in the Merger Agreement.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 31, 2019 Filed Aug 2, 2019 21:30 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 1,000,000 | Not disclosed Strike: $0.30 | Not disclosed |
DisclosureSEC source: 0000899243-19-020923 · doc4.xml · derivative · entry 3 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,000,000 shares Expires 2023-12-28 F2 · price: On July 31, 2019, the Company completed a Warrant Tender Offer in which LRFA participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document |
| July 31, 2019 Filed Aug 2, 2019 21:30 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantCommon Stock | 500,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-020923 · doc4.xml · nonDerivative · entry 2 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,502,202 F2 · price: On July 31, 2019, the Company completed a Warrant Tender Offer in which LRFA participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document |
| July 31, 2019 Filed Aug 2, 2019 21:30 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 1,000,000 | $0.30 | $300,000.00 |
DisclosureSEC source: 0000899243-19-020923 · doc4.xml · nonDerivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,002,202 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 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document |
| June 18, 2019 Filed Jun 20, 2019 01:08 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantStock Options (right to buy) · Derivative | 100,000 | $0.00 Strike: $0.52 | $0.00 |
DisclosureSEC source: 0000899243-19-017518 · doc4.xml · derivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-06-18 F1 · derivative.exercise_date: The options will vest in four equal quarterly installments, commencing on September 1, 2019. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrants (Right to Buy) · Derivative | 384,615 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · derivative · entry 18 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 384,615 shares Expires 2022-09-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · ownership.nature: The reported securities of the Company are held by David Welch Tr Ua 03/02/2000 Welch Charitable Remainder Unitrust Agreement II (the "Trust"), for which Dr. Welch is a trustee. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrants (Right to Buy) · Derivative | 384,615 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · derivative · entry 17 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 384,615 Underlying: Common Stock · 384,615 shares Expires 2022-09-08 F3 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with LRFA and the Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F2 · ownership.nature: The reported securities of the Company are held by David Welch Tr Ua 03/02/2000 Welch Charitable Remainder Unitrust Agreement II (the "Trust"), for which Dr. Welch is a trustee. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrants (Right to Buy) · Derivative | 384,615 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · derivative · entry 16 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 384,615 shares Expires 2022-09-08 F3 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with LRFA and the Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F2 · ownership.nature: The reported securities of the Company are held by David Welch Tr Ua 03/02/2000 Welch Charitable Remainder Unitrust Agreement II (the "Trust"), for which Dr. Welch is a trustee. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 500,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · derivative · entry 15 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2023-09-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · ownership.nature: The reported securities of the Company are held by David Welch Tr Ua 03/02/2000 Welch Charitable Remainder Unitrust Agreement II (the "Trust"), for which Dr. Welch is a trustee. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 500,000 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · derivative · entry 14 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2023-09-14 F3 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with LRFA and the Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F2 · ownership.nature: The reported securities of the Company are held by David Welch Tr Ua 03/02/2000 Welch Charitable Remainder Unitrust Agreement II (the "Trust"), for which Dr. Welch is a trustee. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 500,000 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · derivative · entry 13 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2023-09-14 F3 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with LRFA and the Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F2 · ownership.nature: The reported securities of the Company are held by David Welch Tr Ua 03/02/2000 Welch Charitable Remainder Unitrust Agreement II (the "Trust"), for which Dr. Welch is a trustee. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 600,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · derivative · entry 12 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 600,000 shares Expires 2023-02-16 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 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 600,000 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · derivative · entry 11 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 600,000 Underlying: Common Stock · 600,000 shares Expires 2023-02-16 F3 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with LRFA and the Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 600,000 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · derivative · entry 10 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 600,000 shares Expires 2023-02-16 F3 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with LRFA and the Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 166,666 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · derivative · entry 9 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 166,666 shares Expires 2021-01-28 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 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 166,666 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · derivative · entry 8 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 166,666 Underlying: Common Stock · 166,666 shares Expires 2021-01-28 F3 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with LRFA and the Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 166,666 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · derivative · entry 7 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 166,666 shares Expires 2021-01-28 F3 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with LRFA and the Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantCommon Stock | 442,307 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · nonDerivative · entry 6 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,002,202 F3 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with LRFA and the Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F2 · ownership.nature: The reported securities of the Company are held by David Welch Tr Ua 03/02/2000 Welch Charitable Remainder Unitrust Agreement II (the "Trust"), for which Dr. Welch is a trustee. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantCommon Stock | 383,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · nonDerivative · entry 5 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,112,332 F3 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with LRFA and the Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 384,615 | $0.40 | $153,846.00 |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · nonDerivative · entry 4 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,559,895 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · ownership.nature: The reported securities of the Company are held by David Welch Tr Ua 03/02/2000 Welch Charitable Remainder Unitrust Agreement II (the "Trust"), for which Dr. Welch is a trustee. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 500,000 | $0.40 | $200,000.00 |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · nonDerivative · entry 3 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,175,280 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · ownership.nature: The reported securities of the Company are held by David Welch Tr Ua 03/02/2000 Welch Charitable Remainder Unitrust Agreement II (the "Trust"), for which Dr. Welch is a trustee. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 600,000 | $0.40 | $240,000.00 |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · nonDerivative · entry 2 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,729,999 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 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 166,666 | $0.40 | $66,666.40 |
DisclosureSEC source: 0000899243-19-013097 · doc4.xml · nonDerivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,129,999 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 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 05, 2019 Filed May 8, 2019 09:01 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 17,188 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000042 · wf-form4_155732045906327.xml · derivative · entry 19 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,562 Underlying: Common Stock · 17,188 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. F7 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation. F11 · derivative.exercise_date: These RSUs vest in three annual installments beginning on May 5, 2019. F11 · derivative.expiration_date: These RSUs vest in three annual installments beginning on May 5, 2019. Read SEC document |
| May 05, 2019 Filed May 8, 2019 09:01 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 28,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000042 · wf-form4_155732045906327.xml · derivative · entry 18 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,415 Underlying: Common Stock · 28,708 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. F7 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation. F10 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2018. F10 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2018. Read SEC document |
| May 05, 2019 Filed May 8, 2019 09:01 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 21,712 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000042 · wf-form4_155732045906327.xml · derivative · entry 17 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,712 Underlying: Common Stock · 21,712 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. F7 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation. F9 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2017. F9 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2017. Read SEC document |
| May 05, 2019 Filed May 8, 2019 09:01 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 5,944 | $4.43 | $26,331.92 |
DisclosureSEC source: 0001138639-19-000042 · wf-form4_155732045906327.xml · nonDerivative · entry 6 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,499,291 F1 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Since Dr. Welch's last Form 4 filing on May 8, 2018: (i) 175,000 shares which were previously held directly by LRFA, LLC ("LRFA"), were re-registered and are now held directly by The Welch Family Trust; (ii) 71,400 shares, which were previously held directly by The Welch Group, L.P. ("The Welch Group"), were re-registered and are now held directly by The Welch Family Trust; and (iii) 596,750 shares, which were previously held directly by Alexandra J. Welch, TTEE Welch Family Heritage Trust I U/A DTD 9/24/2001 ("The Welch Family Heritage Trust"), were re-registered and are now held directly by The Welch Family Trust. Read SEC document |
| May 05, 2019 Filed May 8, 2019 09:01 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 17,188 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000042 · wf-form4_155732045906327.xml · nonDerivative · entry 5 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,505,235 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 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Since Dr. Welch's last Form 4 filing on May 8, 2018: (i) 175,000 shares which were previously held directly by LRFA, LLC ("LRFA"), were re-registered and are now held directly by The Welch Family Trust; (ii) 71,400 shares, which were previously held directly by The Welch Group, L.P. ("The Welch Group"), were re-registered and are now held directly by The Welch Family Trust; and (iii) 596,750 shares, which were previously held directly by Alexandra J. Welch, TTEE Welch Family Heritage Trust I U/A DTD 9/24/2001 ("The Welch Family Heritage Trust"), were re-registered and are now held directly by The Welch Family Trust. Read SEC document |
| May 05, 2019 Filed May 8, 2019 09:01 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 9,928 | $4.43 | $43,981.04 |
DisclosureSEC source: 0001138639-19-000042 · wf-form4_155732045906327.xml · nonDerivative · entry 4 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,488,047 F1 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Since Dr. Welch's last Form 4 filing on May 8, 2018: (i) 175,000 shares which were previously held directly by LRFA, LLC ("LRFA"), were re-registered and are now held directly by The Welch Family Trust; (ii) 71,400 shares, which were previously held directly by The Welch Group, L.P. ("The Welch Group"), were re-registered and are now held directly by The Welch Family Trust; and (iii) 596,750 shares, which were previously held directly by Alexandra J. Welch, TTEE Welch Family Heritage Trust I U/A DTD 9/24/2001 ("The Welch Family Heritage Trust"), were re-registered and are now held directly by The Welch Family Trust. Read SEC document |
| May 05, 2019 Filed May 8, 2019 09:01 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 28,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000042 · wf-form4_155732045906327.xml · nonDerivative · entry 3 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,497,975 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 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Since Dr. Welch's last Form 4 filing on May 8, 2018: (i) 175,000 shares which were previously held directly by LRFA, LLC ("LRFA"), were re-registered and are now held directly by The Welch Family Trust; (ii) 71,400 shares, which were previously held directly by The Welch Group, L.P. ("The Welch Group"), were re-registered and are now held directly by The Welch Family Trust; and (iii) 596,750 shares, which were previously held directly by Alexandra J. Welch, TTEE Welch Family Heritage Trust I U/A DTD 9/24/2001 ("The Welch Family Heritage Trust"), were re-registered and are now held directly by The Welch Family Trust. Read SEC document |
| May 05, 2019 Filed May 8, 2019 09:01 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 7,419 | $4.43 | $32,866.17 |
DisclosureSEC source: 0001138639-19-000042 · wf-form4_155732045906327.xml · nonDerivative · entry 2 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,469,267 F1 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Since Dr. Welch's last Form 4 filing on May 8, 2018: (i) 175,000 shares which were previously held directly by LRFA, LLC ("LRFA"), were re-registered and are now held directly by The Welch Family Trust; (ii) 71,400 shares, which were previously held directly by The Welch Group, L.P. ("The Welch Group"), were re-registered and are now held directly by The Welch Family Trust; and (iii) 596,750 shares, which were previously held directly by Alexandra J. Welch, TTEE Welch Family Heritage Trust I U/A DTD 9/24/2001 ("The Welch Family Heritage Trust"), were re-registered and are now held directly by The Welch Family Trust. Read SEC document |
| May 05, 2019 Filed May 8, 2019 09:01 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 21,712 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000042 · wf-form4_155732045906327.xml · nonDerivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,476,686 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 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Since Dr. Welch's last Form 4 filing on May 8, 2018: (i) 175,000 shares which were previously held directly by LRFA, LLC ("LRFA"), were re-registered and are now held directly by The Welch Family Trust; (ii) 71,400 shares, which were previously held directly by The Welch Group, L.P. ("The Welch Group"), were re-registered and are now held directly by The Welch Family Trust; and (iii) 596,750 shares, which were previously held directly by Alexandra J. Welch, TTEE Welch Family Heritage Trust I U/A DTD 9/24/2001 ("The Welch Family Heritage Trust"), were re-registered and are now held directly by The Welch Family Trust. Read SEC document |
| March 27, 2019 Filed May 8, 2019 09:01 UTC | Infinera Corp INFN · Entity 82602 | GrantRestricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000042 · wf-form4_155732045906327.xml · derivative · entry 16 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires not disclosed F7 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation. F8 · derivative.exercise_date: These RSUs vest in three annual installments beginning on May 5, 2020. F8 · derivative.expiration_date: These RSUs vest in three annual installments beginning on May 5, 2020. Read SEC document |
| January 10, 2019 Filed Jan 15, 2019 00:50 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantStock Option (right to buy) · Derivative | 38,904 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0000899243-19-001150 · doc4.xml · derivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,904 Underlying: Common Stock · 38,904 shares Expires 2029-01-10 F1 · derivative.exercise_date: The option will vest commencing on March 1, 2019 with respect to 13,904 shares and on June 1, 2019 with respect to 25,000 shares. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:35 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 28,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000050 · wf-form4_152581170406714.xml · derivative · entry 22 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,123 Underlying: Common Stock · 114,831 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. F7 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Infinera Corporation common stock. F11 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2018. F11 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2018. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:35 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 21,713 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000050 · wf-form4_152581170406714.xml · derivative · entry 21 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,424 Underlying: Common Stock · 65,137 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. F7 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Infinera Corporation common stock. F10 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2017. F10 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2017. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:35 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 14,385 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000050 · wf-form4_152581170406714.xml · derivative · entry 20 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,385 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. F7 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Infinera Corporation common stock. F9 · derivative.exercise_date: These RSUs vest in full on May 5, 2018. F9 · derivative.expiration_date: These RSUs vest in full on May 5, 2018. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:35 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 9,590 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000050 · wf-form4_152581170406714.xml · derivative · entry 19 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,590 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. F7 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Infinera Corporation common stock. F8 · derivative.exercise_date: These RSUs vest in three annual installments beginning on May 5, 2016. F8 · derivative.expiration_date: These RSUs vest in three annual installments beginning on May 5, 2016. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:35 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 11,122 | $12.01 | $133,575.22 |
DisclosureSEC source: 0001138639-18-000050 · wf-form4_152581170406714.xml · nonDerivative · entry 8 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 611,824 F1 · ownership.nature: These shares are held directly by The Welch Family Trust, for which Dr. Welch is a trustee. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:35 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 28,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000050 · wf-form4_152581170406714.xml · nonDerivative · entry 7 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 622,946 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: These shares are held directly by The Welch Family Trust, for which Dr. Welch is a trustee. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:35 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 7,509 | $12.01 | $90,183.09 |
DisclosureSEC source: 0001138639-18-000050 · wf-form4_152581170406714.xml · nonDerivative · entry 6 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 594,238 F1 · ownership.nature: These shares are held directly by The Welch Family Trust, for which Dr. Welch is a trustee. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:35 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 21,713 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000050 · wf-form4_152581170406714.xml · nonDerivative · entry 5 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 601,747 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 · ownership.nature: These shares are held directly by The Welch Family Trust, for which Dr. Welch is a trustee. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:35 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 4,975 | $12.01 | $59,749.75 |
DisclosureSEC source: 0001138639-18-000050 · wf-form4_152581170406714.xml · nonDerivative · entry 4 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 580,034 F1 · ownership.nature: These shares are held directly by The Welch Family Trust, for which Dr. Welch is a trustee. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:35 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 14,385 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000050 · wf-form4_152581170406714.xml · nonDerivative · entry 3 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 585,009 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: These shares are held directly by The Welch Family Trust, for which Dr. Welch is a trustee. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:35 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 3,317 | $12.01 | $39,837.17 |
DisclosureSEC source: 0001138639-18-000050 · wf-form4_152581170406714.xml · nonDerivative · entry 2 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 570,624 F1 · ownership.nature: These shares are held directly by The Welch Family Trust, for which Dr. Welch is a trustee. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:35 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 9,590 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000050 · wf-form4_152581170406714.xml · nonDerivative · entry 1 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 573,941 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 · ownership.nature: These shares are held directly by The Welch Family Trust, for which Dr. Welch is a trustee. Read SEC document |
| February 21, 2018 Filed Feb 23, 2018 17:05 UTC | Infinera Corp INFN · Entity 82602 | SaleCommon Stock | 35,407 | $10.01 | $354,307.23 |
DisclosureSEC source: 0001138639-18-000037 · wf-form4_151942342353030.xml · nonDerivative · entry 1 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 564,351 F1 · kind: This sale was made pursuant to a Rule 10b5-1 Trading Plan for The Welch Family Trust u/a dtd 04/03/1996 ("The Welch Family Trust"). F2 · price: This price represents the weighted average sale price of the shares sold by The Welch Family Trust in multiple transactions at prices ranging from $10.00 to $10.04 per share. Upon request by the staff of the Securities and Exchange Commission, Infinera Corporation (the "Company") or a security holder of the Company, Dr. Welch will provide full information regarding the number of shares sold at each separate price. F3 · ownership.nature: These shares are held directly by The Welch Family Trust, for which Dr. Welch is a trustee. Read SEC document |
| February 20, 2018 Filed Feb 20, 2018 18:16 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 81,683 | $0.00 Strike: $7.61 | $0.00 |
DisclosureSEC source: 0001138639-18-000033 · wf-form4_151916856402202.xml · derivative · entry 11 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 81,683 shares Expires 2018-02-28 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. F11 · derivative.exercise_date: This option is fully-vested. Read SEC document |
| February 20, 2018 Filed Feb 20, 2018 18:16 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,817 | $0.00 Strike: $7.61 | $0.00 |
DisclosureSEC source: 0001138639-18-000033 · wf-form4_151916856402202.xml · derivative · entry 10 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,817 shares Expires 2018-02-28 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. F11 · derivative.exercise_date: This option is fully-vested. Read SEC document |
| February 20, 2018 Filed Feb 20, 2018 18:16 UTC | Infinera Corp INFN · Entity 82602 | SaleCommon Stock | 64,593 | $10.06 | $649,979.98 |
DisclosureSEC source: 0001138639-18-000033 · wf-form4_151916856402202.xml · nonDerivative · entry 5 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 599,758 F5 · kind: This sale was made pursuant to a Rule 10b5-1 Trading Plan for The Welch Family Trust. F6 · price: This price represents the weighted average sale price of the shares sold by The Welch Family Trust in multiple transactions at prices ranging from $10.00 to $10.20 per share. Upon request by the staff of the Securities and Exchange Commission, the Company or a security holder of the Company, Dr. Welch will provide full information regarding the number of shares sold at each separate price. F2 · ownership.nature: These shares are held directly by The Welch Family Trust, for which Dr. Welch is a trustee. Read SEC document |
| February 20, 2018 Filed Feb 20, 2018 18:16 UTC | Infinera Corp INFN · Entity 82602 | SaleCommon Stock | 81,683 | $10.01 | $817,295.59 |
DisclosureSEC source: 0001138639-18-000033 · wf-form4_151916856402202.xml · nonDerivative · entry 4 Welch David F · CIK 0001399122 · Director · Chief Strategy & Tech. Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 664,351 F1 · kind: This exercise and sale was made pursuant to a Rule 10b5-1 Trading Plan for The Welch Family Trust u/a dtd 04/03/1996 ("The Welch Family Trust") in connection with stock options that were scheduled to expire on February 28, 2018. F4 · price: This price represents the weighted average sale price of the shares sold by The Welch Family Trust in multiple transactions at prices ranging from $9.68 to $10.20 per share. Upon request by the staff of the Securities and Exchange Commission, the Company or a security holder of the Company, Dr. Welch will provide full information regarding the number of shares sold at each separate price. F2 · ownership.nature: These shares are held directly by The Welch Family Trust, for which Dr. Welch is a trustee. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.