Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| DIH HOLDING US, INC.DHAI · Entity 75642 | Director | December 05, 2024 | December 09, 2024 |
| IRIDEX CORPIRIX · Entity 7882 | Director | June 14, 2023 | June 15, 2023 |
| NATUS MEDICAL INCBABY · Entity 125256 | Director | August 01, 2019 | August 02, 2019 |
| Personalis, Inc.PSNL · Entity 4572 | Director | May 17, 2022 | May 19, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
DIH HOLDING US, INC.
Report date December 05, 2024 · Filed December 09, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 52,817 |
Reported balance
After 2024-12-05 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-12-05 · Grant · Acquired 52,817 · Balance 52,817 F1: The shares are being issued as part of the Company's board compensation package which is comprised of both cash and stock compensation. These shares are being issued pursuant to that agreement under the Company's Equity Compensation Plan. This issuance is for 3 quarters of service, which equates to $75,000.14 and is based upon $1.42 per share |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are being issued as part of the Company's board compensation package which is comprised of both cash and stock compensation. These shares are being issued pursuant to that agreement under the Company's Equity Compensation Plan. This issuance is for 3 quarters of service, which equates to $75,000.14 and is based upon $1.42 per share
IRIDEX CORP
Report date June 14, 2023 · Filed June 15, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 101,711 |
Reported balance
After 2023-06-14 transaction · row 1
1 source rowRow 1 · 2023-06-14 · Grant · Acquired 39,267 · Balance 101,711 F1: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 14, 2024 or the date of the Issuer's next annual meeting of stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 14, 2024 or the date of the Issuer's next annual meeting of stockholders.
NATUS MEDICAL INC
Report date August 01, 2019 · Filed August 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par value per shareSEC Table I · non-derivative | Direct | 39,406 |
Reported balance
After 2019-08-01 transaction · row 1
1 source rowRow 1 · 2019-08-01 · Sale · Disposed 12,632 · Balance 39,406 F1: This transaction was executed in multiple trades at prices ranging from $31.75 to $32.10. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $31.75 to $32.10. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Personalis, Inc.
Report date May 17, 2022 · Filed May 19, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 43,506 |
Reported balance
After 2022-05-17 transaction · row 1
1 source rowRow 1 · 2022-05-17 · Grant · Acquired 10,770 · Balance 43,506 F1: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. 100% of the shares subject to the RSU shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders occurring after the grant date, subject to the reporting person's Continuous Service (as defined in the Company's 2019 Equity Incentive Plan) through the vesting date. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the RSU shall vest immediately prior to the effectiveness of such change in control. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.81 · Expires 2032-05-17 | Direct | 15,035 |
Reported balance
After 2022-05-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-05-17 · Grant · Acquired 15,035 · Balance 15,035 F3: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders occurring after the grant date, subject to the reporting person's Continuous Service (as defined in the Company's 2019 Equity Incentive Plan) through the vesting date. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 70,000 |
Reported balance
Holding disclosure · report date 2022-05-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 70,000 F2: The shares are held by Kenneth E. Ludlum Revocable Living Trust Under Agreement Dated April 19, 2013, for which the Reporting Person serves as trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. 100% of the shares subject to the RSU shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders occurring after the grant date, subject to the reporting person's Continuous Service (as defined in the Company's 2019 Equity Incentive Plan) through the vesting date. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the RSU shall vest immediately prior to the effectiveness of such change in control.
F2: The shares are held by Kenneth E. Ludlum Revocable Living Trust Under Agreement Dated April 19, 2013, for which the Reporting Person serves as trustee.
F3: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders occurring after the grant date, subject to the reporting person's Continuous Service (as defined in the Company's 2019 Equity Incentive Plan) through the vesting date. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control.
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 |
|---|---|---|---|---|---|---|
| December 05, 2024 Filed Dec 9, 2024 16:03 UTC | DIH HOLDING US, INC. DHAI · Entity 75642 | GrantClass A Common Stock | 52,817 | $1.42 | $75,000.14 |
DisclosureSEC source: 0001493152-24-049259 · ownership.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,817 F1 · kind: The shares are being issued as part of the Company's board compensation package which is comprised of both cash and stock compensation. These shares are being issued pursuant to that agreement under the Company's Equity Compensation Plan. This issuance is for 3 quarters of service, which equates to $75,000.14 and is based upon $1.42 per share F1 · shares: The shares are being issued as part of the Company's board compensation package which is comprised of both cash and stock compensation. These shares are being issued pursuant to that agreement under the Company's Equity Compensation Plan. This issuance is for 3 quarters of service, which equates to $75,000.14 and is based upon $1.42 per share F1 · price: The shares are being issued as part of the Company's board compensation package which is comprised of both cash and stock compensation. These shares are being issued pursuant to that agreement under the Company's Equity Compensation Plan. This issuance is for 3 quarters of service, which equates to $75,000.14 and is based upon $1.42 per share F1 · acquired: The shares are being issued as part of the Company's board compensation package which is comprised of both cash and stock compensation. These shares are being issued pursuant to that agreement under the Company's Equity Compensation Plan. This issuance is for 3 quarters of service, which equates to $75,000.14 and is based upon $1.42 per share F1 · balance_after: The shares are being issued as part of the Company's board compensation package which is comprised of both cash and stock compensation. These shares are being issued pursuant to that agreement under the Company's Equity Compensation Plan. This issuance is for 3 quarters of service, which equates to $75,000.14 and is based upon $1.42 per share Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 22:59 UTC | IRIDEX CORP IRIX · Entity 7882 | GrantCommon Stock | 39,267 | $1.91 | $74,999.97 |
DisclosureSEC source: 0001209191-23-037568 · doc4.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,711 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 14, 2024 or the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| June 15, 2022 Filed Jun 16, 2022 21:44 UTC | IRIDEX CORP IRIX · Entity 7882 | GrantCommon Stock | 27,472 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-037554 · doc4.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,444 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 15, 2023 or the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| May 17, 2022 Filed May 19, 2022 19:01 UTC | Personalis, Inc. PSNL · Entity 4572 | GrantStock Option (right to buy) · Derivative | 15,035 | $0.00 Strike: $4.81 | $0.00 |
DisclosureSEC source: 0001209191-22-030753 · doc4.xml · derivative · entry 3 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,035 Underlying: Common Stock · 15,035 shares Expires 2032-05-17 F3 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders occurring after the grant date, subject to the reporting person's Continuous Service (as defined in the Company's 2019 Equity Incentive Plan) through the vesting date. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control. Read SEC document |
| May 17, 2022 Filed May 19, 2022 19:01 UTC | Personalis, Inc. PSNL · Entity 4572 | GrantCommon Stock | 10,770 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-030753 · doc4.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,506 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. 100% of the shares subject to the RSU shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders occurring after the grant date, subject to the reporting person's Continuous Service (as defined in the Company's 2019 Equity Incentive Plan) through the vesting date. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the RSU shall vest immediately prior to the effectiveness of such change in control. Read SEC document |
| June 16, 2021 Filed Jun 21, 2021 23:30 UTC | IRIDEX CORP IRIX · Entity 7882 | GrantCommon Stock | 5,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-042268 · doc4.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,972 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 16, 2022 or the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| May 14, 2021 Filed May 18, 2021 16:25 UTC | Personalis, Inc. PSNL · Entity 4572 | GrantStock Option (right to buy) · Derivative | 4,229 | $0.00 Strike: $19.74 | $0.00 |
DisclosureSEC source: 0001209191-21-033492 · doc4.xml · derivative · entry 3 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,229 Underlying: Common Stock · 4,229 shares Expires 2031-05-14 F3 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control. Read SEC document |
| May 14, 2021 Filed May 18, 2021 16:25 UTC | Personalis, Inc. PSNL · Entity 4572 | GrantCommon Stock | 2,736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-033492 · doc4.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,736 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. 100% of the shares subject to the RSU shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the RSU shall vest immediately prior to the effectiveness of such change in control. Read SEC document |
| August 14, 2020 Filed Aug 18, 2020 21:35 UTC | Personalis, Inc. PSNL · Entity 4572 | SaleCommon Stock | 6,470 | $20.42 | $132,117.40 |
DisclosureSEC source: 0001209191-20-047391 · doc4.xml · nonDerivative · entry 2 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The weighted average sale price for the transaction reported was $20.42, and the range of prices was between $20.40 and $20.48 per share. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided. Read SEC document |
| August 14, 2020 Filed Aug 18, 2020 21:35 UTC | Personalis, Inc. PSNL · Entity 4572 | SaleCommon Stock | 13,530 | $20.05 | $271,276.50 |
DisclosureSEC source: 0001209191-20-047391 · doc4.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,470 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The weighted average sale price for the transaction reported was $20.05, and the range of prices was between $19.40 and $20.39 per share. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided. Read SEC document |
| June 24, 2020 Filed Jun 26, 2020 21:42 UTC | IRIDEX CORP IRIX · Entity 7882 | GrantCommon Stock | 18,348 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-039141 · doc4.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,552 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 24, 2021 or the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continued service as a member of the Issuer's Board of Directors through such date. Read SEC document |
| May 15, 2020 Filed May 19, 2020 18:12 UTC | Personalis, Inc. PSNL · Entity 4572 | GrantStock Option (right to buy) · Derivative | 14,000 | $0.00 Strike: $11.22 | $0.00 |
DisclosureSEC source: 0001209191-20-030657 · doc4.xml · derivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2030-05-14 F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control. Read SEC document |
| February 07, 2020 Filed Feb 11, 2020 18:44 UTC | Personalis, Inc. PSNL · Entity 4572 | Exercise / conversionStock Option (right to buy) · Derivative | 4,167 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001209191-20-008462 · doc4.xml · derivative · entry 3 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,167 shares Expires 2028-04-25 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 · shares: Due to a rounding discrepancy, the Form 3 filed on June 16, 2019 with respect to the stock option exercise reported herein incorrectly reflected a grant of 4,166 options, rather than a grant of 4,167 options. F3 · derivative.exercise_date: The shares subject to the option are fully vested and exercisable. Read SEC document |
| February 07, 2020 Filed Feb 11, 2020 18:44 UTC | Personalis, Inc. PSNL · Entity 4572 | Exercise / conversionCommon Stock | 4,167 | $3.80 | $15,834.60 |
DisclosureSEC source: 0001209191-20-008462 · doc4.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 01, 2019 Filed Aug 2, 2019 17:45 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 12,632 | $31.94 | $403,466.08 |
DisclosureSEC source: 0000878526-19-000118 · wf-form4_156478233327705.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,406 F1 · price: This transaction was executed in multiple trades at prices ranging from $31.75 to $32.10. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| July 23, 2019 Filed Jul 25, 2019 23:12 UTC | IRIDEX CORP IRIX · Entity 7882 | GrantCommon Stock | 11,204 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-043283 · doc4.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,204 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of July 23, 2020 or the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 17:15 UTC | NATUS MEDICAL INC BABY · Entity 125256 | GrantCommon Stock, $0.001 par value per share | 5,846 | $25.66 | $150,008.36 |
DisclosureSEC source: 0000878526-19-000098 · wf-form4_156210211072316.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,038 F1 · shares: The shares vest in full on the first anniversary of the date of the award. Read SEC document |
| June 24, 2019 Filed Jun 24, 2019 20:01 UTC | Personalis, Inc. PSNL · Entity 4572 | PurchaseCommon Stock | 70,000 | $17.00 | $1,190,000.00 |
DisclosureSEC source: 0001209191-19-038863 · doc4.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 70,000 F1 · shares: Represents shares acquired pursuant to a directed share program in connection with the Issuer's initial public offering of Common Stock. F2 · ownership.nature: The shares are held of record by Kenneth E. Ludlum Revocable Living Trust Under Agreement Dated April 19, 2013, for which the Reporting Person serves as trustee. Read SEC document |
| June 11, 2019 Filed Jun 13, 2019 16:44 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 4,250 | $24.41 | $103,742.50 |
DisclosureSEC source: 0000878526-19-000092 · wf-form4_156045866135872.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,192 F1 · price: This transaction was executed in multiple trades at prices ranging from $24.35 to $24.51. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 31, 2019 Filed Jun 4, 2019 20:12 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 6,000 | $24.84 | $149,040.00 |
DisclosureSEC source: 0000878526-19-000083 · wf-form4_155969352812260.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,442 F1 · price: This transaction was executed in multiple trades at prices ranging from $24.80 to $24.93. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 10, 2019 Filed May 13, 2019 17:26 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 7,515 | $26.28 | $197,494.20 |
DisclosureSEC source: 0000878526-19-000076 · wf-form4_155778274651659.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,442 F1 · price: This transaction was executed in multiple trades at prices ranging from $26.15 to $26.39. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| April 02, 2019 Filed Apr 4, 2019 16:10 UTC | IRIDEX CORP IRIX · Entity 7882 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001209191-19-023585 · doc4.xml · derivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2026-04-02 F1 · security: This option granted pursuant to IRIDEX Corporation's 2008 Amended and Restated Equity Incentive Plan and is exempt pursuant to Rule16b-3. F2 · derivative.exercise_date: The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest on May 2, 2019 and each month thereafter. Read SEC document |
| November 29, 2018 Filed Dec 3, 2018 17:48 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 10,000 | $34.93 | $349,300.00 |
DisclosureSEC source: 0000878526-18-000169 · wf-form4_154387728677191.xml · nonDerivative · entry 2 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,957 F2 · price: This transaction was executed in multiple trades at prices ranging from $34.60 to $35.11. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| October 26, 2018 Filed Dec 3, 2018 17:48 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 20,000 | $29.06 | $581,200.00 |
DisclosureSEC source: 0000878526-18-000169 · wf-form4_154387728677191.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,957 F1 · price: This transaction was executed in multiple trades at prices ranging from $27.81 to $29.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 17:58 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionNonqualified Stock Option · Derivative | 3,000 | $24.50 Strike: $24.50 | $73,500.00 |
DisclosureSEC source: 0000878526-18-000134 · wf-form4_153359266915831.xml · derivative · entry 6 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,000 shares Expires 2020-06-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 17:58 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionNonqualified Stock Option · Derivative | 5,000 | $14.34 Strike: $14.34 | $71,700.00 |
DisclosureSEC source: 0000878526-18-000134 · wf-form4_153359266915831.xml · derivative · entry 5 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2019-06-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 17:58 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 3,000 | $36.89 | $110,670.00 |
DisclosureSEC source: 0000878526-18-000134 · wf-form4_153359266915831.xml · nonDerivative · entry 4 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,957 F1 · price: This transaction was executed in multiple trades at prices ranging from $36.83 to $36.90. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 17:58 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionCommon Stock, $0.001 par value per share | 3,000 | $24.50 | $73,500.00 |
DisclosureSEC source: 0000878526-18-000134 · wf-form4_153359266915831.xml · nonDerivative · entry 3 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,957 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 17:58 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 5,000 | $36.89 | $184,450.00 |
DisclosureSEC source: 0000878526-18-000134 · wf-form4_153359266915831.xml · nonDerivative · entry 2 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,957 F1 · price: This transaction was executed in multiple trades at prices ranging from $36.83 to $36.90. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 17:58 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionCommon Stock, $0.001 par value per share | 5,000 | $14.34 | $71,700.00 |
DisclosureSEC source: 0000878526-18-000134 · wf-form4_153359266915831.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,957 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 22, 2018 Filed Jun 26, 2018 17:06 UTC | NATUS MEDICAL INC BABY · Entity 125256 | GrantCommon Stock, $0.001 par value per share | 4,132 | $36.30 | $149,991.60 |
DisclosureSEC source: 0000878526-18-000108 · wf-form4_153004714246258.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,957 F1 · shares: The shares vest in full on the first anniversary of the date of the award. Read SEC document |
| March 02, 2018 Filed Mar 6, 2018 19:03 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionNonqualified Stock Option · Derivative | 1,000 | $0.00 Strike: $10.69 | $0.00 |
DisclosureSEC source: 0000878526-18-000030 · wf-form4_152038101141608.xml · derivative · entry 3 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Common Stock · 1,000 shares Expires 2018-06-08 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. Read SEC document |
| March 02, 2018 Filed Mar 6, 2018 19:03 UTC | NATUS MEDICAL INC BABY · Entity 125256 | SaleCommon Stock, $0.001 par value per share | 4,000 | $31.68 | $126,700.00 |
DisclosureSEC source: 0000878526-18-000030 · wf-form4_152038101141608.xml · nonDerivative · entry 2 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,825 Read SEC document |
| March 02, 2018 Filed Mar 6, 2018 19:03 UTC | NATUS MEDICAL INC BABY · Entity 125256 | Exercise / conversionCommon Stock, $0.001 par value per share | 5,000 | $10.69 | $53,450.00 |
DisclosureSEC source: 0000878526-18-000030 · wf-form4_152038101141608.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,825 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 12:59 UTC | NATUS MEDICAL INC BABY · Entity 125256 | GrantCommon Stock, $0.001 par value per share | 4,100 | $35.60 | $145,960.00 |
DisclosureSEC source: 0000878526-17-000058 · wf-form4_149823717890693.xml · nonDerivative · entry 1 LUDLUM KEN · CIK 0001255825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,825 F1 · shares: The shares vest in full on the first anniversary of the date of the award. 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.