Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Planet Payment IncPLPM · Entity 170960 | Director · See Remarks | December 20, 2017 | December 21, 2017 |
| RTB Digital, Inc.GBOX · Entity 6387 | Director | January 20, 2022 | January 28, 2022 |
| TREES Corp (Colorado)CANN · Entity 9666 | Director | December 04, 2024 | December 06, 2024 |
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.
Planet Payment Inc
Report date December 20, 2017 · Filed December 21, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-12-20 transaction · row 1
1 source rowRow 1 · 2017-12-20 · Disposition to issuer · Disposed 383,788 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger by and among Planet Payment, Inc., Fintrax UK Bidco Limited and Fintrax US Acquisition Subsidiary, Inc., dated October 26, 2017 (the "Merger Agreement"), at the effective time of the merger contemplated therein (the "Effective Time"), all issued and outstanding shares of the Issuer's common stock were automatically cancelled and converted into the right to receive $4.50 per share in cash without interest (the "Merger Consideration"). F2: Pursuant to the terms of the Merger Agreement, at the Effective Time, each share of Company Restricted Stock Award, whether vested or unvested, that is outstanding immediately prior thereto became fully vested and all restrictions and repurchase rights thereon lapsed and all such shares of Company Restricted Stock Awards were converted automatically into the right to receive at the Effective Time an amount in cash (without interest thereon) equal to the product of (i) the total number of shares subject to Company Restricted Stock Awards (with the number of shares subject to Company Restricted Stock Awards subject to one or more performance conditions deemed to be equal to target levels) and (ii) the Merger Consideration. |
| Common StockSEC Table I · non-derivative | IndirectBy: Baikal Group, LLC | 0 |
Reported balance
After 2017-12-20 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2017-12-20 · Disposition to issuer · Disposed 15,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger by and among Planet Payment, Inc., Fintrax UK Bidco Limited and Fintrax US Acquisition Subsidiary, Inc., dated October 26, 2017 (the "Merger Agreement"), at the effective time of the merger contemplated therein (the "Effective Time"), all issued and outstanding shares of the Issuer's common stock were automatically cancelled and converted into the right to receive $4.50 per share in cash without interest (the "Merger Consideration"). F3: The Reporting Person holds a 50% membership interest in Baikal Group, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report will not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.21 · Expires 2023-08-20 | Direct | 0 |
Reported balance
After 2017-12-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-12-20 · Disposition to issuer · Disposed 50,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, immediately prior to, and contingent upon the consummation of, the Closing, each Company Common Stock Option, to the extent then-unvested, automatically vested and became exercise able and, at the Effective Time, each Company Common Stock Option was cancelled for the right to receive an amount (subject to any applicable withholding tax) in cash (without interest thereon) equal to the product obtained by multiplying (A) the number of shares of Company Common Stock subject to such Company Common Stock Option immediately prior to the Effective Time and (B) (the amount by which the Merger Consideration exceeds the per share exercise price of such Company Common Stock Option. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.59 · Expires 2025-08-03 | Direct | 0 |
Reported balance
After 2017-12-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-12-20 · Disposition to issuer · Disposed 925,446 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, immediately prior to, and contingent upon the consummation of, the Closing, each Company Common Stock Option, to the extent then-unvested, automatically vested and became exercise able and, at the Effective Time, each Company Common Stock Option was cancelled for the right to receive an amount (subject to any applicable withholding tax) in cash (without interest thereon) equal to the product obtained by multiplying (A) the number of shares of Company Common Stock subject to such Company Common Stock Option immediately prior to the Effective Time and (B) (the amount by which the Merger Consideration exceeds the per share exercise price of such Company Common Stock Option. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger by and among Planet Payment, Inc., Fintrax UK Bidco Limited and Fintrax US Acquisition Subsidiary, Inc., dated October 26, 2017 (the "Merger Agreement"), at the effective time of the merger contemplated therein (the "Effective Time"), all issued and outstanding shares of the Issuer's common stock were automatically cancelled and converted into the right to receive $4.50 per share in cash without interest (the "Merger Consideration").
F2: Pursuant to the terms of the Merger Agreement, at the Effective Time, each share of Company Restricted Stock Award, whether vested or unvested, that is outstanding immediately prior thereto became fully vested and all restrictions and repurchase rights thereon lapsed and all such shares of Company Restricted Stock Awards were converted automatically into the right to receive at the Effective Time an amount in cash (without interest thereon) equal to the product of (i) the total number of shares subject to Company Restricted Stock Awards (with the number of shares subject to Company Restricted Stock Awards subject to one or more performance conditions deemed to be equal to target levels) and (ii) the Merger Consideration.
F3: The Reporting Person holds a 50% membership interest in Baikal Group, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report will not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F4: Pursuant to the terms of the Merger Agreement, immediately prior to, and contingent upon the consummation of, the Closing, each Company Common Stock Option, to the extent then-unvested, automatically vested and became exercise able and, at the Effective Time, each Company Common Stock Option was cancelled for the right to receive an amount (subject to any applicable withholding tax) in cash (without interest thereon) equal to the product obtained by multiplying (A) the number of shares of Company Common Stock subject to such Company Common Stock Option immediately prior to the Effective Time and (B) (the amount by which the Merger Consideration exceeds the per share exercise price of such Company Common Stock Option.
RTB Digital, Inc.
Report date January 20, 2022 · Filed January 28, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001SEC Table I · non-derivative | Direct | 9,463 |
Reported balance
After 2022-01-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-01-20 · Grant · Acquired 379 · Balance 9,463 F1: Mr. Williams earns $2,500 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our Common stock on that date or the next trading day. The issuances for November and December 2021 were delayed and consolidated in one issuance. |
| Common Stock par value $0.001SEC Table I · non-derivative | Direct | 9,967 |
Reported balance
After 2022-01-20 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2022-01-20 · Grant · Acquired 504 · Balance 9,967 |
| Common Stock par value $0.001SEC Table I · non-derivative | Direct | 11,722 |
Reported balance
After 2022-01-27 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2022-01-27 · Grant · Acquired 1,755 · Balance 11,722 F2: On January 21, 2022, as part of his quarterly compensation as a director of the Company, the Board of Directors of the Company granted Mr. Williams 1,755 shares of common stock pursuant to the Company's 2021 Restricted Stock Plan, whereby 1/3 of the shares granted vest immediately upon issuance, an additional 1/3 of the shares shall vest each month thereafter, and all shares vest fully on March 15th, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Mr. Williams earns $2,500 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our Common stock on that date or the next trading day. The issuances for November and December 2021 were delayed and consolidated in one issuance.
F2: On January 21, 2022, as part of his quarterly compensation as a director of the Company, the Board of Directors of the Company granted Mr. Williams 1,755 shares of common stock pursuant to the Company's 2021 Restricted Stock Plan, whereby 1/3 of the shares granted vest immediately upon issuance, an additional 1/3 of the shares shall vest each month thereafter, and all shares vest fully on March 15th, 2022.
TREES Corp (Colorado)
Report date December 04, 2024 · Filed December 06, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.04 · Expires 2029-12-04 | Direct | 550,000 |
Reported balance
After 2024-12-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-12-04 · Grant · Acquired 50,000 · Balance 550,000 F1: These options were granted to ALPHAZULU LLC. Mr. Williams is the 51% owner of such entity. |
Filing footnotes · ownership attribution and instrument terms
F1: These options were granted to ALPHAZULU LLC. Mr. Williams is the 51% owner of such entity.
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 04, 2024 Filed Dec 6, 2024 08:01 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantOptions · Derivative | 50,000 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001213900-24-106217 · ownership.xml · derivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 550,000 Underlying: Common stock · 50,000 shares Expires 2029-12-04 F1 · ownership.direct: These options were granted to ALPHAZULU LLC. Mr. Williams is the 51% owner of such entity. Read SEC document |
| August 29, 2024 Filed Sep 3, 2024 17:15 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantOptions · Derivative | 50,000 | $0.00 Strike: $0.06 | $0.00 |
DisclosureSEC source: 0001213900-24-075161 · ownership.xml · derivative · entry 2 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 150,000 Underlying: Common stock · 50,000 shares Expires 2029-08-29 F1 · ownership.direct: These options were granted to ALPHAZULU LLC. Mr. Williams is the 51% owner of such entity. Read SEC document |
| August 29, 2024 Filed Sep 3, 2024 17:15 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantOptions · Derivative | 50,000 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001213900-24-075161 · ownership.xml · derivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Underlying: Common stock · 50,000 shares Expires 2029-08-29 F1 · ownership.direct: These options were granted to ALPHAZULU LLC. Mr. Williams is the 51% owner of such entity. Read SEC document |
| February 08, 2024 Filed Feb 9, 2024 16:01 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantCommon Stock | 114,815 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-24-012073 · ownership.xml · nonDerivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 615,046 F1 · shares: All shares of Common Stock are issued as RSUs, vesting of which occurs upon the earlier of (i) seven (7) years from grant date; (ii) death or disability of reporting person; (iii) a change in control of the Issuer; or (iv) certain other events as determined by the Board. F2 · shares: The reporting person obtained the securities from the Issuer pursuant to the Issuer's 2020 Omnibus Incentive Plan. F1 · balance_after: All shares of Common Stock are issued as RSUs, vesting of which occurs upon the earlier of (i) seven (7) years from grant date; (ii) death or disability of reporting person; (iii) a change in control of the Issuer; or (iv) certain other events as determined by the Board. F2 · balance_after: The reporting person obtained the securities from the Issuer pursuant to the Issuer's 2020 Omnibus Incentive Plan. Read SEC document |
| November 09, 2023 Filed Nov 14, 2023 16:31 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantCommon Stock | 90,909 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-118172 · tm2330706-2_4seq1.xml · nonDerivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 500,231 F1 · shares: All shares of Common Stock are issued as RSUs, vesting of which occurs upon the earlier of (i) seven (7) years from grant date; (ii) death or disability of reporting person; (iii) a change in control of the Issuer; or (iv) certain other events as determined by the Board. F2 · shares: The reporting person obtained the securities from the Issuer pursuant to the Issuer's 2020 Omnibus Incentive Plan. F1 · balance_after: All shares of Common Stock are issued as RSUs, vesting of which occurs upon the earlier of (i) seven (7) years from grant date; (ii) death or disability of reporting person; (iii) a change in control of the Issuer; or (iv) certain other events as determined by the Board. F2 · balance_after: The reporting person obtained the securities from the Issuer pursuant to the Issuer's 2020 Omnibus Incentive Plan. Read SEC document |
| July 31, 2023 Filed Aug 2, 2023 16:30 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantCommon Stock | 165,714 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-086820 · tm2322561-1_4seq1.xml · nonDerivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 409,322 F1 · shares: All shares of Common Stock are issued as RSUs, vesting of which occurs upon the earlier of (i) seven (7) years from grant date; (ii) death or disability of reporting person; (iii) a change in control of the Issuer; or (iv) certain other events as determined by the Board. F2 · shares: The reporting person obtained the securities from the Issuer pursuant to the Issuer's 2020 Omnibus Incentive Plan. F1 · balance_after: All shares of Common Stock are issued as RSUs, vesting of which occurs upon the earlier of (i) seven (7) years from grant date; (ii) death or disability of reporting person; (iii) a change in control of the Issuer; or (iv) certain other events as determined by the Board. F2 · balance_after: The reporting person obtained the securities from the Issuer pursuant to the Issuer's 2020 Omnibus Incentive Plan. Read SEC document |
| April 10, 2023 Filed Apr 12, 2023 16:30 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantCommon Stock | 90,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-044612 · tm2312423-1_4seq1.xml · nonDerivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 243,608 F1 · shares: All shares of Common Stock are issued as RSUs, vesting of which occurs upon the earlier of (i) seven (7) years from grant date; (ii) death or disability of reporting person; (iii) a change in control of the Issuer; or (iv) certain other events as determined by the Board. F2 · shares: The reporting person obtained the securities from the Issuer pursuant to the Issuer's 2020 Omnibus Incentive Plan. F1 · balance_after: All shares of Common Stock are issued as RSUs, vesting of which occurs upon the earlier of (i) seven (7) years from grant date; (ii) death or disability of reporting person; (iii) a change in control of the Issuer; or (iv) certain other events as determined by the Board. F2 · balance_after: The reporting person obtained the securities from the Issuer pursuant to the Issuer's 2020 Omnibus Incentive Plan. Read SEC document |
| February 06, 2023 Filed Feb 7, 2023 16:06 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantCommon Stock | 152,983 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-011726 · tm235621-2_4seq1.xml · nonDerivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,983 F1 · shares: Constitutes restricted stock units ("RSUs" for which the Reporting Person is entitled to receive one (1) share of Common Stock of the Issuer for each RSU upon vesting. Vesting occurs upon the earlier of (i) seven (7) years from grant date, contingent upon Reporting Person continuing as a service provider through each such date; (ii) death or disability of reporting person; (iii) a change in control of the Issuer; or (iv) certain other events as determined by the Board. F2 · shares: The reporting person obtained the securities from the Issuer pursuant to the Issuer's 2020 Omnibus Incentive Plan. F1 · balance_after: Constitutes restricted stock units ("RSUs" for which the Reporting Person is entitled to receive one (1) share of Common Stock of the Issuer for each RSU upon vesting. Vesting occurs upon the earlier of (i) seven (7) years from grant date, contingent upon Reporting Person continuing as a service provider through each such date; (ii) death or disability of reporting person; (iii) a change in control of the Issuer; or (iv) certain other events as determined by the Board. F2 · balance_after: The reporting person obtained the securities from the Issuer pursuant to the Issuer's 2020 Omnibus Incentive Plan. Read SEC document |
| June 30, 2022 Filed Jul 1, 2022 12:05 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantOption · Derivative | 50,000 | $0.00 Strike: $0.23 | $0.00 |
DisclosureSEC source: 0001415889-22-007140 · form4-07012022_090724.xml · derivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common stock · 50,000 shares Expires 2027-06-30 F2 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2020 Omnibus Incentive Plan. F1 · derivative.exercise_date: All of the options vest on the one year anniversary of the grant date. F3 · ownership.direct: These options were granted to ALPHAZULU LLC. Mr. Williams is the 51% owner of such entity. Read SEC document |
| March 31, 2022 Filed Apr 1, 2022 12:51 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantOption · Derivative | 50,000 | $0.00 Strike: $0.46 | $0.00 |
DisclosureSEC source: 0001415889-22-003550 · form4-04012022_090436.xml · derivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common stock · 50,000 shares Expires 2027-03-31 F2 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2020 Omnibus Incentive Plan. F1 · derivative.exercise_date: All of the options vest on the one year anniversary of the grant date. F3 · ownership.direct: These options were granted to ALPHAZULU LLC. Mr. Williams is the 51% owner of such entity. Read SEC document |
| January 27, 2022 Filed Jan 28, 2022 22:42 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock par value $0.001 | 1,755 | $4.27 | $7,493.85 |
DisclosureSEC source: 0001185185-22-000129 · ownership.xml · nonDerivative · entry 3 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,722 F2 · security: On January 21, 2022, as part of his quarterly compensation as a director of the Company, the Board of Directors of the Company granted Mr. Williams 1,755 shares of common stock pursuant to the Company's 2021 Restricted Stock Plan, whereby 1/3 of the shares granted vest immediately upon issuance, an additional 1/3 of the shares shall vest each month thereafter, and all shares vest fully on March 15th, 2022. Read SEC document |
| January 20, 2022 Filed Jan 28, 2022 22:42 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock par value $0.001 | 504 | $4.96 | $2,499.84 |
DisclosureSEC source: 0001185185-22-000129 · ownership.xml · nonDerivative · entry 2 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,967 Read SEC document |
| January 20, 2022 Filed Jan 28, 2022 22:42 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 379 | $6.60 | $2,501.40 |
DisclosureSEC source: 0001185185-22-000129 · ownership.xml · nonDerivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,463 F1 · security: Mr. Williams earns $2,500 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our Common stock on that date or the next trading day. The issuances for November and December 2021 were delayed and consolidated in one issuance. Read SEC document |
| December 31, 2021 Filed Jan 3, 2022 13:52 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantOption · Derivative | 50,000 | $0.00 Strike: $0.22 | $0.00 |
DisclosureSEC source: 0001415889-22-000010 · form4-01032022_100146.xml · derivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common stock · 50,000 shares Expires 2026-12-31 F2 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2020 Omnibus Incentive Plan. F1 · derivative.exercise_date: All of the options vest on the one year anniversary of the grant date. Read SEC document |
| October 15, 2021 Filed Oct 20, 2021 19:09 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 329 | $7.59 | $2,497.11 |
DisclosureSEC source: 0001185185-21-001507 · ownership.xml · nonDerivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,084 F1 · shares: Mr. Williams earns $2,500 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our Common stock on that date or the next trading day. Read SEC document |
| September 30, 2021 Filed Oct 1, 2021 12:25 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantOption · Derivative | 50,000 | $0.00 Strike: $0.41 | $0.00 |
DisclosureSEC source: 0001415889-21-004635 · form4-10012021_091024.xml · derivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common stock · 50,000 shares Expires 2026-09-30 F2 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2020 Omnibus Incentive Plan. F1 · derivative.exercise_date: All of the options vest on the one year anniversary of the grant date. Read SEC document |
| September 15, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 248 | $10.09 | $2,502.32 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 14 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,755 F1 · date: Mr. Williams earns $2,500 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our Common stock on that date or the next trading day. Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 100 | $7.18 | $718.00 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 13 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,507 Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 900 | $7.19 | $6,471.00 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 12 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,407 Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 100 | $7.23 | $723.00 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 11 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,507 Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 20 | $7.26 | $145.20 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 10 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,407 Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 380 | $7.27 | $2,762.60 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 9 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,387 Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 200 | $7.28 | $1,456.00 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 8 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,007 Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 600 | $7.31 | $4,386.00 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 7 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,807 Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 200 | $7.34 | $1,468.00 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 6 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,207 Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 300 | $7.35 | $2,205.00 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 5 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,007 Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 500 | $7.45 | $3,725.00 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 4 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,707 Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 452 | $7.46 | $3,371.92 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 3 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,207 Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 2,500 | $7.47 | $18,675.00 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 2 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,755 Read SEC document |
| August 17, 2021 Filed Sep 28, 2021 00:23 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 1,248 | $7.48 | $9,335.04 |
DisclosureSEC source: 0001185185-21-001377 · ownership.xml · nonDerivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,255 Read SEC document |
| August 15, 2021 Filed Sep 20, 2021 22:12 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 323 | $7.73 | $2,496.79 |
DisclosureSEC source: 0001185185-21-001330 · ownership.xml · nonDerivative · entry 4 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,007 Read SEC document |
| July 15, 2021 Filed Sep 20, 2021 22:12 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 241 | $10.37 | $2,499.17 |
DisclosureSEC source: 0001185185-21-001330 · ownership.xml · nonDerivative · entry 3 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 684 Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 16:00 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantOption · Derivative | 50,000 | $0.00 Strike: $0.59 | $0.00 |
DisclosureSEC source: 0001415889-21-003339 · form4-07012021_040702.xml · derivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common stock · 50,000 shares Expires 2026-06-30 F2 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2020 Omnibus Incentive Plan. F1 · derivative.exercise_date: All of the options vest on the one year anniversary of the grant date. Read SEC document |
| June 15, 2021 Filed Sep 20, 2021 22:12 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 172 | $14.60 | $2,511.20 |
DisclosureSEC source: 0001185185-21-001330 · ownership.xml · nonDerivative · entry 2 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 443 Read SEC document |
| May 15, 2021 Filed Sep 20, 2021 22:12 UTC | RTB Digital, Inc. GBOX · Entity 6387 | GrantCommon Stock, par value $0.001 | 271 | $9.22 | $2,498.62 |
DisclosureSEC source: 0001185185-21-001330 · ownership.xml · nonDerivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271 F1 · shares: Mr. Williams earns $2,500 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our Common stock on that date or the next trading day. Read SEC document |
| March 31, 2021 Filed Apr 9, 2021 16:05 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantOption · Derivative | 50,000 | $0.00 Strike: $0.92 | $0.00 |
DisclosureSEC source: 0001415889-21-001957 · form4-04092021_040412.xml · derivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common stock · 50,000 shares Expires 2026-03-31 F2 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2020 Omnibus Incentive Plan. F1 · derivative.exercise_date: All of the options vest on the one year anniversary of the grant date. Read SEC document |
| March 17, 2021 Filed Mar 19, 2021 16:05 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantOption · Derivative | 50,000 | $0.00 Strike: $0.95 | $0.00 |
DisclosureSEC source: 0001415889-21-001592 · form4-03192021_040302.xml · derivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common stock · 50,000 shares Expires 2026-03-17 F2 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2020 Omnibus Incentive Plan. F1 · derivative.exercise_date: All of the options vest on the one year anniversary of the grant date. Read SEC document |
| December 23, 2020 Filed Dec 28, 2020 19:55 UTC | TREES Corp (Colorado) CANN · Entity 9666 | PurchaseWarrants · Derivative | 35,715 | Not disclosed Strike: $0.56 | Not disclosed |
DisclosureSEC source: 0001415889-20-003037 · form4-12282020_041207.xml · derivative · entry 2 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,715 Underlying: Common stock · 35,715 shares Expires 2025-12-23 F2 · price: In connection with the SPA, the Reporting Person also received Warrants to purchase the number of shares of the Issuer's Common Stock equal to 20% of the principal amount of the Note divided by the exercise price of $0.56. Read SEC document |
| December 23, 2020 Filed Dec 28, 2020 19:55 UTC | TREES Corp (Colorado) CANN · Entity 9666 | PurchaseSenior Convertible Promissory Note · Derivative | 76,923 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0001415889-20-003037 · form4-12282020_041207.xml · derivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,923 Underlying: Common stock · 76,923 shares Expires 2023-12-23 F1 · derivative.exercise_price: Pursuant to a Securities Purchase Agreement ("SPA") entered into on December 23, 2020 by the Reporting Person and the Issuer, each Senior Convertible Promissory Note (the "Note") accrues interest at a rate of 10% per annum. The Reporting Person purchased a Note in the principal amount of $100,000 and has the option to convert up to 50% of the outstanding unpaid principal and accrued interest of the Note into the Issuer's Common Stock at a variable price of 80% of the market price but no less than $0.65 per share and no more than $1.00 per share. F1 · price: Pursuant to a Securities Purchase Agreement ("SPA") entered into on December 23, 2020 by the Reporting Person and the Issuer, each Senior Convertible Promissory Note (the "Note") accrues interest at a rate of 10% per annum. The Reporting Person purchased a Note in the principal amount of $100,000 and has the option to convert up to 50% of the outstanding unpaid principal and accrued interest of the Note into the Issuer's Common Stock at a variable price of 80% of the market price but no less than $0.65 per share and no more than $1.00 per share. Read SEC document |
| October 28, 2020 Filed Dec 15, 2020 21:52 UTC | TREES Corp (Colorado) CANN · Entity 9666 | GrantOption · Derivative | 50,000 | $0.00 Strike: $0.33 | $0.00 |
DisclosureSEC source: 0001415889-20-002923 · form4-12152020_061240.xml · derivative · entry 1 Williams Carl J · CIK 0001295097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common stock · Not disclosed shares Expires 2025-10-28 F2 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2014 Equity Incentive Plan as amended. F1 · derivative.exercise_date: All of the options vests on the one year anniversary of the grant date. Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 18:27 UTC | Planet Payment Inc PLPM · Entity 170960 | Disposition to issuerStock Option (Right to Buy) · Derivative | 925,446 | Not disclosed Strike: $2.59 | Not disclosed |
DisclosureSEC source: 0001144204-17-064860 · tv481840_4.xml · derivative · entry 4 Williams Carl J · CIK 0001295097 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 925,446 shares Expires 2025-08-03 F4 · price: Pursuant to the terms of the Merger Agreement, immediately prior to, and contingent upon the consummation of, the Closing, each Company Common Stock Option, to the extent then-unvested, automatically vested and became exercise able and, at the Effective Time, each Company Common Stock Option was cancelled for the right to receive an amount (subject to any applicable withholding tax) in cash (without interest thereon) equal to the product obtained by multiplying (A) the number of shares of Company Common Stock subject to such Company Common Stock Option immediately prior to the Effective Time and (B) (the amount by which the Merger Consideration exceeds the per share exercise price of such Company Common Stock Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to, and contingent upon the consummation of, the Closing, each Company Common Stock Option, to the extent then-unvested, automatically vested and became exercise able and, at the Effective Time, each Company Common Stock Option was cancelled for the right to receive an amount (subject to any applicable withholding tax) in cash (without interest thereon) equal to the product obtained by multiplying (A) the number of shares of Company Common Stock subject to such Company Common Stock Option immediately prior to the Effective Time and (B) (the amount by which the Merger Consideration exceeds the per share exercise price of such Company Common Stock Option. Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 18:27 UTC | Planet Payment Inc PLPM · Entity 170960 | Disposition to issuerStock Option (Right to Buy) · Derivative | 50,000 | Not disclosed Strike: $2.21 | Not disclosed |
DisclosureSEC source: 0001144204-17-064860 · tv481840_4.xml · derivative · entry 3 Williams Carl J · CIK 0001295097 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2023-08-20 F4 · price: Pursuant to the terms of the Merger Agreement, immediately prior to, and contingent upon the consummation of, the Closing, each Company Common Stock Option, to the extent then-unvested, automatically vested and became exercise able and, at the Effective Time, each Company Common Stock Option was cancelled for the right to receive an amount (subject to any applicable withholding tax) in cash (without interest thereon) equal to the product obtained by multiplying (A) the number of shares of Company Common Stock subject to such Company Common Stock Option immediately prior to the Effective Time and (B) (the amount by which the Merger Consideration exceeds the per share exercise price of such Company Common Stock Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to, and contingent upon the consummation of, the Closing, each Company Common Stock Option, to the extent then-unvested, automatically vested and became exercise able and, at the Effective Time, each Company Common Stock Option was cancelled for the right to receive an amount (subject to any applicable withholding tax) in cash (without interest thereon) equal to the product obtained by multiplying (A) the number of shares of Company Common Stock subject to such Company Common Stock Option immediately prior to the Effective Time and (B) (the amount by which the Merger Consideration exceeds the per share exercise price of such Company Common Stock Option. Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 18:27 UTC | Planet Payment Inc PLPM · Entity 170960 | Disposition to issuerCommon Stock | 15,000 | $4.50 | $67,500.00 |
DisclosureSEC source: 0001144204-17-064860 · tv481840_4.xml · nonDerivative · entry 2 Williams Carl J · CIK 0001295097 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By: Baikal Group, LLC Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger by and among Planet Payment, Inc., Fintrax UK Bidco Limited and Fintrax US Acquisition Subsidiary, Inc., dated October 26, 2017 (the "Merger Agreement"), at the effective time of the merger contemplated therein (the "Effective Time"), all issued and outstanding shares of the Issuer's common stock were automatically cancelled and converted into the right to receive $4.50 per share in cash without interest (the "Merger Consideration"). F3 · ownership.nature: The Reporting Person holds a 50% membership interest in Baikal Group, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report will not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 18:27 UTC | Planet Payment Inc PLPM · Entity 170960 | Disposition to issuerCommon Stock | 383,788 | $4.50 | $1,727,046.00 |
DisclosureSEC source: 0001144204-17-064860 · tv481840_4.xml · nonDerivative · entry 1 Williams Carl J · CIK 0001295097 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger by and among Planet Payment, Inc., Fintrax UK Bidco Limited and Fintrax US Acquisition Subsidiary, Inc., dated October 26, 2017 (the "Merger Agreement"), at the effective time of the merger contemplated therein (the "Effective Time"), all issued and outstanding shares of the Issuer's common stock were automatically cancelled and converted into the right to receive $4.50 per share in cash without interest (the "Merger Consideration"). F2 · shares: Pursuant to the terms of the Merger Agreement, at the Effective Time, each share of Company Restricted Stock Award, whether vested or unvested, that is outstanding immediately prior thereto became fully vested and all restrictions and repurchase rights thereon lapsed and all such shares of Company Restricted Stock Awards were converted automatically into the right to receive at the Effective Time an amount in cash (without interest thereon) equal to the product of (i) the total number of shares subject to Company Restricted Stock Awards (with the number of shares subject to Company Restricted Stock Awards subject to one or more performance conditions deemed to be equal to target levels) and (ii) the Merger Consideration. 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.