Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| INSEEGO CORP.INSG · Entity 7061 | Chief Financial Officer | March 09, 2021 | March 12, 2021 |
| LiveOne, Inc.LVO · Entity 7199 | Director | September 10, 2024 | September 13, 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.
INSEEGO CORP.
Report date March 09, 2021 · Filed March 12, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 32,295 |
Ending reported balance
After 2021-03-11 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-03-09 · Grant · Acquired 8,203 · Balance 35,713 F1: The restricted stock units are scheduled to vest immediately upon grant and convert into common stock on a one-for-one basis. Row 2 · 2021-03-11 · Disposition to issuer · Disposed 3,418 · Balance 32,295 F2: Represents the number of shares sold to cover the statutory tax withholding obligations in connection with the vesting of the Restricted Stock Units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of minimum statutory tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary sale by the Reporting Person. |
Filing footnotes · ownership attribution and instrument terms
F1: The restricted stock units are scheduled to vest immediately upon grant and convert into common stock on a one-for-one basis.
F2: Represents the number of shares sold to cover the statutory tax withholding obligations in connection with the vesting of the Restricted Stock Units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of minimum statutory tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary sale by the Reporting Person.
LiveOne, Inc.
Report date September 10, 2024 · Filed September 13, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 73,248 |
Reported balance
After 2024-09-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-09-10 · Grant · Acquired 73,248 · Balance 73,248 F1: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Financial Engines, Inc.
Report date July 19, 2018 · Filed July 23, 2018
Section 16 reporting ended · disclosed 2018-07-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2018-07-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-07-19 · Disposition to issuer · Disposed 63,695 · Balance 0 F2: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F3: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2018-07-19 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-07-19 · Disposition to issuer · Disposed 19,419 · Balance 0 F2: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F3: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $31.40 | Direct | 0 |
Reported balance
After 2018-07-19 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-07-19 · Disposition to issuer · Disposed 181,535 · Balance 0 F4: At the Effective Time, each outstanding option to acquire shares of common stock of the Company became fully vested (to the extent unvested) and was cancelled and converted into the right to receive the product of (1) the excess, if any, of the Merger Consideration over the applicable exercise price of such option, multiplied by (2) the total number of shares of common stock of the Company subject to such option, subject to applicable withholding taxes. Any options that had an exercise price per share that was equal to or greater than the Merger Consideration were cancelled for no consideration. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $34.40 | Direct | 0 |
Reported balance
After 2018-07-19 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-07-19 · Disposition to issuer · Disposed 54,941 · Balance 0 F4: At the Effective Time, each outstanding option to acquire shares of common stock of the Company became fully vested (to the extent unvested) and was cancelled and converted into the right to receive the product of (1) the excess, if any, of the Merger Consideration over the applicable exercise price of such option, multiplied by (2) the total number of shares of common stock of the Company subject to such option, subject to applicable withholding taxes. Any options that had an exercise price per share that was equal to or greater than the Merger Consideration were cancelled for no consideration. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2018-07-19 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2018, by and among Financial Engines, Inc. (the "Company"), Edelman Financial, L.P., (the "Parent"), and Flashdance Merger Sub, Inc. ("Merger Sub"), a copy of which is filed as Exhibit 2.1 to the Company's Form 8-K filed with the SEC on May 2, 2018, pursuant to which the Company became a wholly-owned subsidiary of Parent (the "Merger") on July 19, 2018 (the "Effective Time"). At the Effective Time, each issued and outstanding share of common stock of the Company was cancelled and converted into the right to receive $45.00 in cash, (the "Merger Consideration") without interest and subject to applicable withholding taxes. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2018, by and among Financial Engines, Inc. (the "Company"), Edelman Financial, L.P., (the "Parent"), and Flashdance Merger Sub, Inc. ("Merger Sub"), a copy of which is filed as Exhibit 2.1 to the Company's Form 8-K filed with the SEC on May 2, 2018, pursuant to which the Company became a wholly-owned subsidiary of Parent (the "Merger") on July 19, 2018 (the "Effective Time"). At the Effective Time, each issued and outstanding share of common stock of the Company was cancelled and converted into the right to receive $45.00 in cash, (the "Merger Consideration") without interest and subject to applicable withholding taxes.
F2: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock.
F3: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable.
F4: At the Effective Time, each outstanding option to acquire shares of common stock of the Company became fully vested (to the extent unvested) and was cancelled and converted into the right to receive the product of (1) the excess, if any, of the Merger Consideration over the applicable exercise price of such option, multiplied by (2) the total number of shares of common stock of the Company subject to such option, subject to applicable withholding taxes. Any options that had an exercise price per share that was equal to or greater than the Merger Consideration were cancelled for no consideration.
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 |
|---|---|---|---|---|---|---|
| September 10, 2024 Filed Sep 13, 2024 01:00 UTC | LiveOne, Inc. LVO · Entity 7199 | GrantRestricted Stock Units · Derivative | 73,248 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-24-078258 · ownership.xml · derivative · entry 1 Foster Craig L · CIK 0001572394 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 73,248 Underlying: Common Stock, $0.001 par value · 73,248 shares Expires not disclosed F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date. F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date. F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date. Read SEC document |
| October 05, 2022 Filed Oct 7, 2022 00:01 UTC | LiveOne, Inc. LVO · Entity 7199 | GrantRestricted Stock Units · Derivative | 109,524 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-062611 · ownership.xml · derivative · entry 1 Foster Craig L · CIK 0001572394 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,524 Underlying: Common Stock, $0.001 par value · 109,524 shares Expires not disclosed F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date. F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date. F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date. Read SEC document |
| June 14, 2021 Filed Jun 17, 2021 00:01 UTC | LiveOne, Inc. LIVX · Entity 7199 | GrantRestricted Stock Units · Derivative | 37,629 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-032791 · ownership.xml · derivative · entry 1 Foster Craig L · CIK 0001572394 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,629 Underlying: Common Stock, $0.001 par value · 37,629 shares Expires not disclosed F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2020 to September 30, 2021. The RSUs shall vest on October 31, 2021 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2020 to September 30, 2021. The RSUs shall vest on October 31, 2021 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2020 to September 30, 2021. The RSUs shall vest on October 31, 2021 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). Read SEC document |
| March 11, 2021 Filed Mar 12, 2021 02:11 UTC | INSEEGO CORP. INSG · Entity 7061 | Disposition to issuerCommon Stock | 3,418 | $10.66 | $36,435.88 |
DisclosureSEC source: 0001022652-21-000023 · wf-form4_161551504605253.xml · nonDerivative · entry 2 Foster Craig L · CIK 0001572394 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,295 F2 · kind: Represents the number of shares sold to cover the statutory tax withholding obligations in connection with the vesting of the Restricted Stock Units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of minimum statutory tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary sale by the Reporting Person. Read SEC document |
| March 09, 2021 Filed Mar 12, 2021 02:11 UTC | INSEEGO CORP. INSG · Entity 7061 | GrantCommon Stock | 8,203 | $0.00 | $0.00 |
DisclosureSEC source: 0001022652-21-000023 · wf-form4_161551504605253.xml · nonDerivative · entry 1 Foster Craig L · CIK 0001572394 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,713 F1 · kind: The restricted stock units are scheduled to vest immediately upon grant and convert into common stock on a one-for-one basis. Read SEC document |
| October 30, 2019 Filed Nov 13, 2019 02:03 UTC | LiveOne, Inc. LIVX · Entity 7199 | GrantRestricted Stock Units · Derivative | 68,965 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-023047 · ownership.xml · derivative · entry 1 Foster Craig L · CIK 0001572394 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,965 Underlying: Common Stock, $0.001 par value · 68,965 shares Expires not disclosed F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. Read SEC document |
| December 27, 2018 Filed Jan 1, 2019 02:33 UTC | LiveOne, Inc. LIVX · Entity 7199 | GrantRestricted Stock Units · Derivative | 24,144 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-18-018095 · ownership.xml · derivative · entry 1 Foster Craig L · CIK 0001572394 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,144 Underlying: Common Stock, $0.001 par value · 24,144 shares Expires not disclosed F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") shall vest on August 16, 2019 (the "Vesting Date"), subject to the Reporting Person's continued service on the Issuer's board of directors (the "Board") through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan the form of payout of the RSUs (cash and/or stock). F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") shall vest on August 16, 2019 (the "Vesting Date"), subject to the Reporting Person's continued service on the Issuer's board of directors (the "Board") through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan the form of payout of the RSUs (cash and/or stock). F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") shall vest on August 16, 2019 (the "Vesting Date"), subject to the Reporting Person's continued service on the Issuer's board of directors (the "Board") through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan the form of payout of the RSUs (cash and/or stock). Read SEC document |
| July 19, 2018 Filed Jul 23, 2018 18:38 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 54,941 | $0.00 Strike: $34.40 | $0.00 |
DisclosureSEC source: 0001209191-18-043644 · doc4.xml · derivative · entry 5 Foster Craig L · CIK 0001572394 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 54,941 shares Expires not disclosed F4 · derivative.exercise_date: At the Effective Time, each outstanding option to acquire shares of common stock of the Company became fully vested (to the extent unvested) and was cancelled and converted into the right to receive the product of (1) the excess, if any, of the Merger Consideration over the applicable exercise price of such option, multiplied by (2) the total number of shares of common stock of the Company subject to such option, subject to applicable withholding taxes. Any options that had an exercise price per share that was equal to or greater than the Merger Consideration were cancelled for no consideration. F4 · derivative.expiration_date: At the Effective Time, each outstanding option to acquire shares of common stock of the Company became fully vested (to the extent unvested) and was cancelled and converted into the right to receive the product of (1) the excess, if any, of the Merger Consideration over the applicable exercise price of such option, multiplied by (2) the total number of shares of common stock of the Company subject to such option, subject to applicable withholding taxes. Any options that had an exercise price per share that was equal to or greater than the Merger Consideration were cancelled for no consideration. Read SEC document |
| July 19, 2018 Filed Jul 23, 2018 18:38 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 181,535 | $0.00 Strike: $31.40 | $0.00 |
DisclosureSEC source: 0001209191-18-043644 · doc4.xml · derivative · entry 4 Foster Craig L · CIK 0001572394 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 181,535 shares Expires not disclosed F4 · derivative.exercise_date: At the Effective Time, each outstanding option to acquire shares of common stock of the Company became fully vested (to the extent unvested) and was cancelled and converted into the right to receive the product of (1) the excess, if any, of the Merger Consideration over the applicable exercise price of such option, multiplied by (2) the total number of shares of common stock of the Company subject to such option, subject to applicable withholding taxes. Any options that had an exercise price per share that was equal to or greater than the Merger Consideration were cancelled for no consideration. F4 · derivative.expiration_date: At the Effective Time, each outstanding option to acquire shares of common stock of the Company became fully vested (to the extent unvested) and was cancelled and converted into the right to receive the product of (1) the excess, if any, of the Merger Consideration over the applicable exercise price of such option, multiplied by (2) the total number of shares of common stock of the Company subject to such option, subject to applicable withholding taxes. Any options that had an exercise price per share that was equal to or greater than the Merger Consideration were cancelled for no consideration. Read SEC document |
| July 19, 2018 Filed Jul 23, 2018 18:38 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Disposition to issuerRestricted Stock Units · Derivative | 19,419 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043644 · doc4.xml · derivative · entry 3 Foster Craig L · CIK 0001572394 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,419 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F3 · derivative.exercise_date: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. F3 · derivative.expiration_date: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. Read SEC document |
| July 19, 2018 Filed Jul 23, 2018 18:38 UTC | Financial Engines, Inc. FNGN · Entity 164820 | Disposition to issuerRestricted Stock Units · Derivative | 63,695 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043644 · doc4.xml · derivative · entry 2 Foster Craig L · CIK 0001572394 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 63,695 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F3 · derivative.exercise_date: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. F3 · derivative.expiration_date: At the Effective Time, each outstanding restricted stock unit award became fully vested and was cancelled and converted into the right to receive the Merger Consideration in respect of each vested share of common stock of the Company subject to such award, in each case subject to withholding taxes if applicable. Read SEC document |
| April 24, 2018 Filed Apr 27, 2018 10:01 UTC | LiveOne, Inc. LIVX · Entity 7199 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001213900-18-005017 · f4042418foster_livexlive.xml · derivative · entry 1 Foster Craig L · CIK 0001572394 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-04-24 F1 · derivative.exercise_date: These options were granted pursuant to that certain Stock Option Agreement entered into by and between the Issuer and the Reporting Person, dated as of April 24, 2018 (the "Option Agreement"). These options vest in increments, with one-half of the options vesting 12 months from April 24, 2018 (the "Grant Date"), with an additional one-half of the options vesting 24 months after the Grant Date, subject to the Reporting Person's continued service as a member of the Issuer's board of directors on such vesting date. Each tranche of the options shall become exercisable on the 18th month anniversary of the Grant Date. F2 · derivative.expiration_date: These options expire 10 years from the Grant Date, unless terminated sooner in accordance with the Issuer's 2016 Equity Incentive Plan (the "2016 Plan") or the Option Agreement. Read SEC document |
| February 27, 2018 Filed Feb 28, 2018 17:50 UTC | Financial Engines, Inc. FNGN · Entity 164820 | GrantEmployee Stock Option (Right to Buy) · Derivative | 54,941 | $0.00 Strike: $34.40 | $0.00 |
DisclosureSEC source: 0001209191-18-014616 · doc4.xml · derivative · entry 3 Foster Craig L · CIK 0001572394 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,941 Underlying: Common Stock · 54,941 shares Expires 2028-02-27 F4 · derivative.exercise_date: The option award vests as to 25% of the granted shares on 2/26/2019, and the remaining shares vest monthly thereafter from 3/26/2019 to 2/26/2022. Read SEC document |
| February 27, 2018 Filed Feb 28, 2018 17:50 UTC | Financial Engines, Inc. FNGN · Entity 164820 | GrantRestricted Stock Units · Derivative | 19,419 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-014616 · doc4.xml · derivative · entry 2 Foster Craig L · CIK 0001572394 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,419 Underlying: Common Stock · 19,419 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Financial Engines, Inc. common stock. F2 · derivative.exercise_date: The restricted stock units vest in four annual installments beginning 2/26/2019. F3 · derivative.expiration_date: No expiration date. 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.