Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HARMONIC INC.HLIT · Entity 4789 | Chief Financial Officer | May 17, 2017 | May 18, 2017 |
| Lumentum Holdings Inc.LITE · Entity 2957 | Director | November 22, 2024 | November 27, 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.
HARMONIC INC.
Report date May 17, 2017 · Filed May 18, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2017-05-17 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2017-05-17 · Exercise / conversion · Acquired 864 · Balance 1,679 F1: These shares of common stock were acquired upon the exercise of stock options on 5/17/2017. These options were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016. Row 2 · 2017-05-17 · Sale · Disposed 864 · Balance 815 Row 3 · 2017-05-17 · Sale · Disposed 815 · Balance 0 |
| Stock Option/Right to BuySEC Table II · derivative / convertible security · Conversion / exercise price $3.14 · Expires 2023-03-14 | Direct | 18,150 |
Reported balance
After 2017-05-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-05-17 · Exercise / conversion · Disposed 864 · Balance 18,150 |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of common stock were acquired upon the exercise of stock options on 5/17/2017. These options were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016.
Lumentum Holdings Inc.
Report date November 22, 2024 · Filed November 27, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,313 |
Reported balance
After 2024-11-22 transaction · row 1
1 source rowRow 1 · 2024-11-22 · Sale · Disposed 5,416 · Balance 3,313 |
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 15, 2016 Filed Dec 17, 2016 00:33 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 9,869 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000146 · wf-form4_148193474527689.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,953 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 · kind: Each unit converts upon vesting into one share of common stock. Read SEC document |
| December 08, 2016 Filed Dec 9, 2016 23:35 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 2,055 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000142 · wf-form4_148132651897627.xml · derivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,055 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. F2 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| December 08, 2016 Filed Dec 9, 2016 23:35 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 2,055 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000142 · wf-form4_148132651897627.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,084 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 · kind: Each unit converts upon vesting into one share of common stock. Read SEC document |
| November 15, 2016 Filed Nov 18, 2016 01:14 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 4,516 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-151043 · doc4.xml · derivative · entry 3 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,602 Underlying: Common Stock · 4,516 shares Expires 2017-03-01 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 |
| November 15, 2016 Filed Nov 18, 2016 01:14 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 1,697 | $4.60 | $7,806.20 |
DisclosureSEC source: 0001209191-16-151043 · doc4.xml · nonDerivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,346 F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. Read SEC document |
| November 15, 2016 Filed Nov 18, 2016 01:14 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 4,516 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-151043 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,043 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 · shares: These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2016. These restricted stock units were initially granted to the Reporting Person on 8/19/2016, and were identified on a Form 4 filed by the Reporting Person on 8/23/2016. Read SEC document |
| November 14, 2016 Filed Nov 17, 2016 00:16 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 1,924 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000116 · wf-form4_147934176348139.xml · derivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,924 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. F2 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| November 14, 2016 Filed Nov 17, 2016 00:16 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 1,924 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000116 · wf-form4_147934176348139.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,029 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 · kind: Each unit converts upon vesting into one share of common stock. Read SEC document |
| November 11, 2016 Filed Nov 16, 2016 01:41 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 4,264 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000106 · wf-form4_147926047674653.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,105 F1 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of common Stock of Lumentum Holding Inc. F2 · shares: Award will vest upon the earlier of (i) the day prior to the next year's annual meeting of stockholders or (ii) one year from grant, subject to continued service as a director through the applicable vesting date. Upon retirement of an outside Director, all unvested RSUs will automatically vest in full. Read SEC document |
| October 27, 2016 Filed Oct 27, 2016 22:32 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 36,666 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-147192 · doc4.xml · derivative · entry 3 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,334 Underlying: Common Stock · 36,666 shares Expires 2018-10-27 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 · shares: These shares of common stock were acquired upon the vesting of restricted stock units on 10/27/2016. These restricted stock units were initially granted to the Reporting Person on 11/3/2015, and were identified on a Form 4 filed by the Reporting Person on 11/5/2015. Read SEC document |
| October 27, 2016 Filed Oct 27, 2016 22:32 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 13,779 | $4.85 | $66,828.15 |
DisclosureSEC source: 0001209191-16-147192 · doc4.xml · nonDerivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,527 F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. Read SEC document |
| October 27, 2016 Filed Oct 27, 2016 22:32 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 36,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-147192 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,306 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 · shares: These shares of common stock were acquired upon the vesting of restricted stock units on 10/27/2016. These restricted stock units were initially granted to the Reporting Person on 11/3/2015, and were identified on a Form 4 filed by the Reporting Person on 11/5/2015. 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.