Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Energous CorpWATT · Entity 7121 | Director | January 03, 2022 | February 17, 2022 |
| Super Micro Computer, Inc.SMCI · Entity 3204 | Director | August 09, 2024 | August 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.
Energous Corp
Report date January 03, 2022 · Filed February 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 157,063 |
Ending reported balance
After 2022-01-03 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-01-03 · Grant · Acquired 20,000 · Balance 132,063 F1: The restricted stock units ("RSUs") vest as to 100% of the award on January 3, 2023, subject to the Reporting Person's continued service to the Issuer through such date. The RSUs were granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy. F2: Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. Row 2 · 2022-01-03 · Grant · Acquired 25,000 · Balance 157,063 F1: The restricted stock units ("RSUs") vest as to 100% of the award on January 3, 2023, subject to the Reporting Person's continued service to the Issuer through such date. The RSUs were granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy. F2: Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. |
Filing footnotes · ownership attribution and instrument terms
F1: The restricted stock units ("RSUs") vest as to 100% of the award on January 3, 2023, subject to the Reporting Person's continued service to the Issuer through such date. The RSUs were granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy.
F2: Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement.
Super Micro Computer, Inc.
Report date August 09, 2024 · Filed August 13, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 316 |
Reported balance
After 2024-08-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-08-09 · Grant · Acquired 316 · Balance 316 F1: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. F2: Restricted stock units were granted with respect to service in fiscal 2025. The total number of restricted stock units will fully vest on June 30, 2025; provided, however, in the event service ends before June 30, 2025, a pro rata number of units will vest based upon service from July 1, 2024 to the last day of service. Vested units are settled in shares of common stock. |
| Common StockSEC Table I · non-derivative | Direct | 19,833 |
Reported balance
Holding disclosure · report date 2024-08-09 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 19,833 |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock.
F2: Restricted stock units were granted with respect to service in fiscal 2025. The total number of restricted stock units will fully vest on June 30, 2025; provided, however, in the event service ends before June 30, 2025, a pro rata number of units will vest based upon service from July 1, 2024 to the last day of service. Vested units are settled in shares of common stock.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
BROCADE COMMUNICATIONS SYSTEMS INC
Report date November 17, 2017 · Filed November 21, 2017
Section 16 reporting ended · disclosed 2017-11-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-11-17 transaction · row 1
1 source rowRow 1 · 2017-11-17 · Disposition to issuer · Disposed 385,563 · Balance 0 F1: Pursuant to the terms of the Agreement and Plan of Merger, dated as of November 2, 2016 (the "Merger Agreement"), by and among Brocade Communications Systems, Inc. (the "Company"), Broadcom Limited, a limited company organized under the laws of the Republic of Singapore ("Ultimate Parent"), Broadcom Corporation, a California corporation and an indirect subsidiary of Ultimate Parent, and Bobcat Merger Sub, Inc., a Delaware corporation and a direct wholly owned subsidiary of Parent ("Merger Sub"), as assigned by Broadcom Corporation to LSI Corporation, a Delaware corporation ("Parent"), on November 17, 2017, Merger Sub merged with and into the Company (the "Merger"), and in connection therewith the Reporting Person disposed of these shares in exchange for $12.75 per share, without interest. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.59 | Direct | 0 |
Reported balance
After 2017-11-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-11-17 · Disposition to issuer · Disposed 78,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this stock option was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.89 | Direct | 0 |
Reported balance
After 2017-11-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-11-17 · Disposition to issuer · Disposed 73,000 · Balance 0 F3: Pursuant to the terms of the Merger Agreement and in connection with the Merger, the portion of this stock option that was outstanding and vested as of immediately prior to the consummation of the Merger, which covered 54,750 shares of Company common stock, was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such portion multiplied by the excess of $12.75 over the exercise price per share of such award. F4: Pursuant to the terms of the Merger Agreement and the terms of a Change of Control Agreement Acknowledgement between the Reporting Person and Ultimate Parent (the "CoC Acknowledgment"), the remaining portion of this stock option, which covered 18,250 shares of Company common stock, was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award, subject to the terms and conditions of the CoC Acknowledgment. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-11-17 · Disposition to issuer · Disposed 18,333 · Balance 0 F5: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F6: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-17 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-11-17 · Disposition to issuer · Disposed 60,710 · Balance 0 F5: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F6: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. |
| Restricted Stock Unit (Performance Based)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-11-17 · Disposition to issuer · Disposed 27,500 · Balance 0 F5: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F6: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. |
| Restricted Stock Unit (Performance Based)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-17 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-11-17 · Disposition to issuer · Disposed 110,481 · Balance 0 F5: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F6: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. |
| Restricted Stock Unit (Performance Based)SEC Table II · derivative / convertible security | Direct | 25,852 |
Reported balance
After 2017-11-20 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2017-11-20 · Grant · Acquired 25,852 · Balance 25,852 F5: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F7: This performance-based restricted stock unit award was granted subject to achievement of certain performance objectives. The performance period for the award commenced on November 1, 2016 and ended coincident with the closing of the Merger on November 17, 2017, with vesting subject to approval of the performance calculation by the Company's Board of Directors or a committee thereof. This approval was obtained on November 20, 2017. |
| Restricted Stock Unit (Performance Based)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2017-11-20 · Disposition to issuer · Disposed 25,852 · Balance 0 F5: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F6: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the Agreement and Plan of Merger, dated as of November 2, 2016 (the "Merger Agreement"), by and among Brocade Communications Systems, Inc. (the "Company"), Broadcom Limited, a limited company organized under the laws of the Republic of Singapore ("Ultimate Parent"), Broadcom Corporation, a California corporation and an indirect subsidiary of Ultimate Parent, and Bobcat Merger Sub, Inc., a Delaware corporation and a direct wholly owned subsidiary of Parent ("Merger Sub"), as assigned by Broadcom Corporation to LSI Corporation, a Delaware corporation ("Parent"), on November 17, 2017, Merger Sub merged with and into the Company (the "Merger"), and in connection therewith the Reporting Person disposed of these shares in exchange for $12.75 per share, without interest.
F2: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this stock option was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award.
F3: Pursuant to the terms of the Merger Agreement and in connection with the Merger, the portion of this stock option that was outstanding and vested as of immediately prior to the consummation of the Merger, which covered 54,750 shares of Company common stock, was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such portion multiplied by the excess of $12.75 over the exercise price per share of such award.
F4: Pursuant to the terms of the Merger Agreement and the terms of a Change of Control Agreement Acknowledgement between the Reporting Person and Ultimate Parent (the "CoC Acknowledgment"), the remaining portion of this stock option, which covered 18,250 shares of Company common stock, was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award, subject to the terms and conditions of the CoC Acknowledgment.
F5: Each restricted stock unit represents a contingent right to receive one share of Company common stock.
F6: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment.
F7: This performance-based restricted stock unit award was granted subject to achievement of certain performance objectives. The performance period for the award commenced on November 1, 2016 and ended coincident with the closing of the Merger on November 17, 2017, with vesting subject to approval of the performance calculation by the Company's Board of Directors or a committee thereof. This approval was obtained on November 20, 2017.
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 |
|---|---|---|---|---|---|---|
| August 09, 2024 Filed Aug 13, 2024 17:26 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | GrantRestricted Stock Units · Derivative | 316 | $0.00 | $0.00 |
DisclosureSEC source: 0001758554-24-000077 · wk-form4_1723584404.xml · derivative · entry 2 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 316 Underlying: Common Stock · 316 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. F2 · derivative.exercise_date: Restricted stock units were granted with respect to service in fiscal 2025. The total number of restricted stock units will fully vest on June 30, 2025; provided, however, in the event service ends before June 30, 2025, a pro rata number of units will vest based upon service from July 1, 2024 to the last day of service. Vested units are settled in shares of common stock. F2 · derivative.expiration_date: Restricted stock units were granted with respect to service in fiscal 2025. The total number of restricted stock units will fully vest on June 30, 2025; provided, however, in the event service ends before June 30, 2025, a pro rata number of units will vest based upon service from July 1, 2024 to the last day of service. Vested units are settled in shares of common stock. Read SEC document |
| June 30, 2024 Filed Jul 2, 2024 17:13 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | Exercise / conversionRestricted Stock Units · Derivative | 946 | $0.00 | $0.00 |
DisclosureSEC source: 0001758554-24-000054 · wk-form4_1719954804.xml · derivative · entry 2 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 946 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. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. F2 · derivative.exercise_date: Restricted stock units were granted with respect to service in fiscal 2024. The total number of restricted stock units fully vested on June 30, 2024. Vested units are settled in shares of common stock. F2 · derivative.expiration_date: Restricted stock units were granted with respect to service in fiscal 2024. The total number of restricted stock units fully vested on June 30, 2024. Vested units are settled in shares of common stock. Read SEC document |
| June 30, 2024 Filed Jul 2, 2024 17:13 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | Exercise / conversionCommon Stock | 946 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001758554-24-000054 · wk-form4_1719954804.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,833 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 · price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. Read SEC document |
| June 03, 2024 Filed Jun 5, 2024 16:58 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | SaleCommon Stock | 300 | $802.00 | $240,600.00 |
DisclosureSEC source: 0001758554-24-000052 · wk-form4_1717621080.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,887 F1 · kind: The broker-assisted sales transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 2023 during the Company's open window period (the "Trading Plan"). Read SEC document |
| May 01, 2024 Filed May 3, 2024 16:22 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | SaleCommon Stock | 300 | $777.36 | $233,208.00 |
DisclosureSEC source: 0001758554-24-000038 · wk-form4_1714767734.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,187 F1 · kind: The broker-assisted sales transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 2023 during the Company's open window period (the "Trading Plan"). Read SEC document |
| April 01, 2024 Filed Apr 3, 2024 16:09 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | SaleCommon Stock | 300 | $1,010.00 | $303,000.00 |
DisclosureSEC source: 0001758554-24-000033 · wk-form4_1712174943.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,487 F1 · kind: The broker-assisted sales transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 2023 during the Company's open window period (the "Trading Plan"). Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 16:21 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | SaleCommon Stock | 300 | $881.88 | $264,564.00 |
DisclosureSEC source: 0001758554-24-000031 · wk-form4_1709673623.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,787 F1 · kind: The broker-assisted sales transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 2023 during the Company's open window period (the "Trading Plan"). Read SEC document |
| February 01, 2024 Filed Feb 5, 2024 16:35 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | SaleCommon Stock | 300 | $540.00 | $162,000.00 |
DisclosureSEC source: 0001758554-24-000009 · wk-form4_1707168885.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 20,087 F1 · kind: The broker-assisted sales transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 2023 during the Company's open window period (the "Trading Plan"). Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 17:27 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | SaleCommon Stock | 300 | $280.00 | $84,000.00 |
DisclosureSEC source: 0001758554-24-000002 · wk-form4_1704407218.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 20,387 F1 · kind: The broker-assisted sales transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 2023 during the Company's open window period (the "Trading Plan"). Read SEC document |
| December 01, 2023 Filed Dec 5, 2023 16:30 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | SaleCommon Stock | 300 | $262.49 | $78,747.00 |
DisclosureSEC source: 0001758554-23-000132 · wk-form4_1701811811.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 20,687 F1 · kind: The broker-assisted sales transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 2023 during the Company's open window period (the "Trading Plan"). Read SEC document |
| August 24, 2023 Filed Aug 28, 2023 16:41 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | GrantRestricted Stock Units · Derivative | 946 | $0.00 | $0.00 |
DisclosureSEC source: 0001758554-23-000103 · wk-form4_1693255302.xml · derivative · entry 2 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 946 Underlying: Common Stock · 946 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. F2 · derivative.exercise_date: Restricted stock units were granted with respect to service in fiscal 2024. The total number of restricted stock units will fully vest on June 30, 2024; provided, however, in the event service ends before June 30, 2024, a pro rata number of units will vest based upon service from July 1, 2023 to the last day of service. Vested units are settled in shares of common stock. F2 · derivative.expiration_date: Restricted stock units were granted with respect to service in fiscal 2024. The total number of restricted stock units will fully vest on June 30, 2024; provided, however, in the event service ends before June 30, 2024, a pro rata number of units will vest based upon service from July 1, 2023 to the last day of service. Vested units are settled in shares of common stock. Read SEC document |
| June 30, 2023 Filed Jul 5, 2023 16:50 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | Exercise / conversionRestricted Stock Units · Derivative | 3,917 | $0.00 | $0.00 |
DisclosureSEC source: 0001758554-23-000068 · wk-form4_1688590218.xml · derivative · entry 2 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,917 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. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. F2 · derivative.exercise_date: Restricted stock units were granted with respect to service in fiscal 2023. The total number of restricted stock units fully vested on June 30, 2023. Vested units are settled in shares of common stock. F2 · derivative.expiration_date: Restricted stock units were granted with respect to service in fiscal 2023. The total number of restricted stock units fully vested on June 30, 2023. Vested units are settled in shares of common stock. Read SEC document |
| June 30, 2023 Filed Jul 5, 2023 16:50 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | Exercise / conversionCommon Stock | 3,917 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001758554-23-000068 · wk-form4_1688590218.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,987 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 · price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. Read SEC document |
| August 02, 2022 Filed Aug 4, 2022 17:20 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | GrantRestricted Stock Units · Derivative | 3,917 | $0.00 | $0.00 |
DisclosureSEC source: 0001758554-22-000055 · wf-form4_165964797173783.xml · derivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,917 Underlying: Common Stock · 3,917 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. F2 · derivative.exercise_date: Restricted stock units were granted with respect to service in fiscal 2023. The total number of restricted stock units will fully vest on June 30, 2023; provided, however, in the event service ends before June 30, 2023, a pro rata number of units will vest based upon service from July 1, 2022 to the last day of service. Vested units are settled in shares of common stock. F2 · derivative.expiration_date: Restricted stock units were granted with respect to service in fiscal 2023. The total number of restricted stock units will fully vest on June 30, 2023; provided, however, in the event service ends before June 30, 2023, a pro rata number of units will vest based upon service from July 1, 2022 to the last day of service. Vested units are settled in shares of common stock. Read SEC document |
| June 30, 2022 Filed Jul 5, 2022 17:13 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | Exercise / conversionRestricted Stock Units · Derivative | 5,807 | $0.00 | $0.00 |
DisclosureSEC source: 0001758554-22-000047 · wf-form4_165705559387105.xml · derivative · entry 2 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,807 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. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. F2 · derivative.exercise_date: Restricted stock units were granted with respect to service in fiscal 2022. The total number of restricted stock units fully vested on June 30, 2022. Vested units are settled in shares of common stock. F2 · derivative.expiration_date: Restricted stock units were granted with respect to service in fiscal 2022. The total number of restricted stock units fully vested on June 30, 2022. Vested units are settled in shares of common stock. Read SEC document |
| June 30, 2022 Filed Jul 5, 2022 17:13 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | Exercise / conversionCommon Stock | 5,807 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001758554-22-000047 · wf-form4_165705559387105.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,070 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 · price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. Read SEC document |
| January 03, 2022 Filed Feb 17, 2022 21:46 UTC | Energous Corp WATT · Entity 7121 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-011089 · doc4.xml · nonDerivative · entry 2 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,063 F1 · shares: The restricted stock units ("RSUs") vest as to 100% of the award on January 3, 2023, subject to the Reporting Person's continued service to the Issuer through such date. The RSUs were granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy. F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. Read SEC document |
| January 03, 2022 Filed Feb 17, 2022 21:46 UTC | Energous Corp WATT · Entity 7121 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-011089 · doc4.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,063 F1 · shares: The restricted stock units ("RSUs") vest as to 100% of the award on January 3, 2023, subject to the Reporting Person's continued service to the Issuer through such date. The RSUs were granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy. F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. Read SEC document |
| August 03, 2021 Filed Aug 5, 2021 16:58 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | GrantRestricted Stock Units · Derivative | 5,807 | $0.00 | $0.00 |
DisclosureSEC source: 0001758554-21-000061 · wf-form4_162819705122929.xml · derivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,807 Underlying: Common Stock · 5,807 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. F2 · derivative.exercise_date: Restricted stock units were granted with respect to service in fiscal 2022. The total number of restricted stock units will fully vest on June 30, 2022; provided, however, in the event service ends before June 30, 2022, a pro rata number of units will vest based upon service from July 1, 2021 to the last day of service. Vested units are settled in shares of common stock. F2 · derivative.expiration_date: Restricted stock units were granted with respect to service in fiscal 2022. The total number of restricted stock units will fully vest on June 30, 2022; provided, however, in the event service ends before June 30, 2022, a pro rata number of units will vest based upon service from July 1, 2021 to the last day of service. Vested units are settled in shares of common stock. Read SEC document |
| July 02, 2021 Filed Jul 7, 2021 17:03 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | SaleCommon Stock | 3,398 | $35.22 | $119,672.46 |
DisclosureSEC source: 0001758554-21-000059 · wf-form4_162569180998778.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,263 F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported here is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.99 to $35.59, inclusive. The reporting person undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 17:15 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | Exercise / conversionRestricted Stock Units · Derivative | 8,289 | $0.00 | $0.00 |
DisclosureSEC source: 0001758554-21-000057 · wf-form4_162526049734948.xml · derivative · entry 2 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,289 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. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. F2 · derivative.exercise_date: Restricted stock units were granted with respect to service in fiscal 2021. The total number of restricted stock units fully vested on June 30, 2021. Vested units are settled in shares of common stock. F2 · derivative.expiration_date: Restricted stock units were granted with respect to service in fiscal 2021. The total number of restricted stock units fully vested on June 30, 2021. Vested units are settled in shares of common stock. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 17:15 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | Exercise / conversionCommon Stock | 8,289 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001758554-21-000057 · wf-form4_162526049734948.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,661 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 · price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. Read SEC document |
| May 13, 2021 Filed May 17, 2021 16:56 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | SaleCommon Stock | 4,428 | $34.03 | $150,664.47 |
DisclosureSEC source: 0001758554-21-000049 · wf-form4_162128492647884.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,372 F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported here is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.74 to $34.18, inclusive. The reporting person undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. Read SEC document |
| May 10, 2021 Filed May 12, 2021 18:19 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | Exercise / conversionRestricted Stock Units · Derivative | 10,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001758554-21-000045 · wf-form4_162085795698180.xml · derivative · entry 2 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,800 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. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. F2 · derivative.exercise_date: Restricted stock units were granted with respect to service in fiscal 2020. Subject to the Reporting Person's continued service to the Issuer, the total number of restricted stock units shall fully vest on May 10, 2021. Vested units are settled in shares of common stock. F2 · derivative.expiration_date: Restricted stock units were granted with respect to service in fiscal 2020. Subject to the Reporting Person's continued service to the Issuer, the total number of restricted stock units shall fully vest on May 10, 2021. Vested units are settled in shares of common stock. Read SEC document |
| May 10, 2021 Filed May 12, 2021 18:19 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | Exercise / conversionCommon Stock | 10,800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001758554-21-000045 · wf-form4_162085795698180.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,800 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 · price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 19:16 UTC | Energous Corp WATT · Entity 7121 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-001617 · doc4.xml · nonDerivative · entry 2 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,063 F1 · shares: The restricted stock units ("RSUs") vest as to 100% of the award on January 4, 2022, subject to the Reporting Person's continued service to the Issuer through such date. The RSUs were granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy. F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 19:16 UTC | Energous Corp WATT · Entity 7121 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-001617 · doc4.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,063 F1 · shares: The restricted stock units ("RSUs") vest as to 100% of the award on January 4, 2022, subject to the Reporting Person's continued service to the Issuer through such date. The RSUs were granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy. F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. Read SEC document |
| October 09, 2020 Filed Oct 14, 2020 16:25 UTC | Energous Corp WATT · Entity 7121 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-054775 · doc4.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,063 F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the issuer's common stock upon settlement. F2 · shares: The RSU vests as to 100% of the award on January 2, 2021, subject to the reporting person's continued service to the Issuer through such date. The RSU was granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy. F2 · price: The RSU vests as to 100% of the award on January 2, 2021, subject to the reporting person's continued service to the Issuer through such date. The RSU was granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy. Read SEC document |
| August 21, 2020 Filed Aug 25, 2020 16:38 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | GrantRestricted Stock Units · Derivative | 8,289 | $0.00 | $0.00 |
DisclosureSEC source: 0001758554-20-000071 · wf-form4_159838790805564.xml · derivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,289 Underlying: Common Stock · 8,289 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. F2 · derivative.exercise_date: Restricted stock units were granted with respect to service in fiscal 2021. Subject to the Reporting Person's continued service to the Issuer, the total number of restricted stock units shall fully vest on June 30, 2021. Vested units are settled in shares of common stock. F2 · derivative.expiration_date: Restricted stock units were granted with respect to service in fiscal 2021. Subject to the Reporting Person's continued service to the Issuer, the total number of restricted stock units shall fully vest on June 30, 2021. Vested units are settled in shares of common stock. Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 20:19 UTC | Super Micro Computer, Inc. SMCI · Entity 3204 | GrantRestricted Stock Units · Derivative | 10,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001758554-20-000038 · wf-form4_158570035539273.xml · derivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,800 Underlying: Common Stock · 10,800 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. F2 · derivative.exercise_date: Restricted stock units were granted with respect to service in fiscal 2020. Subject to the Reporting Person's continued service to the Issuer, the total number of restricted stock units shall fully vest on May 10, 2021. Vested units are settled in shares of common stock. F2 · derivative.expiration_date: Restricted stock units were granted with respect to service in fiscal 2020. Subject to the Reporting Person's continued service to the Issuer, the total number of restricted stock units shall fully vest on May 10, 2021. Vested units are settled in shares of common stock. Read SEC document |
| March 28, 2019 Filed Apr 8, 2019 20:40 UTC | Energous Corp WATT · Entity 7121 | GrantCommon Stock | 42,063 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-008561 · doc1.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,063 F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive 1 share of the issuer's common stock upon settlement. F2 · shares: The RSU vests in three equal annual installments on March 28, 2020 2021, and 2022, subject to the reporting person's continued service to the Issuer. The RSU was granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy. F2 · price: The RSU vests in three equal annual installments on March 28, 2020 2021, and 2022, subject to the reporting person's continued service to the Issuer. The RSU was granted to the reporting person pursuant to the Company's Non-employee Director Compensation Policy. Read SEC document |
| November 20, 2017 Filed Nov 21, 2017 17:20 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Disposition to issuerRestricted Stock Unit (Performance Based) · Derivative | 25,852 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-062133 · doc4.xml · derivative · entry 9 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,852 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. F6 · balance_after: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. Read SEC document |
| November 20, 2017 Filed Nov 21, 2017 17:20 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | GrantRestricted Stock Unit (Performance Based) · Derivative | 25,852 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-062133 · doc4.xml · derivative · entry 8 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,852 Underlying: Common Stock · 25,852 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F7 · shares: This performance-based restricted stock unit award was granted subject to achievement of certain performance objectives. The performance period for the award commenced on November 1, 2016 and ended coincident with the closing of the Merger on November 17, 2017, with vesting subject to approval of the performance calculation by the Company's Board of Directors or a committee thereof. This approval was obtained on November 20, 2017. F7 · derivative.exercise_date: This performance-based restricted stock unit award was granted subject to achievement of certain performance objectives. The performance period for the award commenced on November 1, 2016 and ended coincident with the closing of the Merger on November 17, 2017, with vesting subject to approval of the performance calculation by the Company's Board of Directors or a committee thereof. This approval was obtained on November 20, 2017. F7 · derivative.expiration_date: This performance-based restricted stock unit award was granted subject to achievement of certain performance objectives. The performance period for the award commenced on November 1, 2016 and ended coincident with the closing of the Merger on November 17, 2017, with vesting subject to approval of the performance calculation by the Company's Board of Directors or a committee thereof. This approval was obtained on November 20, 2017. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 17:20 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Disposition to issuerRestricted Stock Unit (Performance Based) · Derivative | 110,481 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-062133 · doc4.xml · derivative · entry 7 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 110,481 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. F6 · balance_after: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 17:20 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Disposition to issuerRestricted Stock Unit · Derivative | 60,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-062133 · doc4.xml · derivative · entry 6 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,710 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. F6 · balance_after: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 17:20 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Disposition to issuerRestricted Stock Unit (Performance Based) · Derivative | 27,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-062133 · doc4.xml · derivative · entry 5 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,500 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. F6 · balance_after: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 17:20 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Disposition to issuerRestricted Stock Unit · Derivative | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-062133 · doc4.xml · derivative · entry 4 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,333 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Company common stock. F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. F6 · balance_after: Pursuant to the terms of the Merger Agreement and the terms of the CoC Acknowledgment and in connection with the Merger, this restricted stock unit award was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by $12.75, subject to the terms and conditions of the CoC Acknowledgment. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 17:20 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 73,000 | $0.00 Strike: $10.89 | $0.00 |
DisclosureSEC source: 0001209191-17-062133 · doc4.xml · derivative · entry 3 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 73,000 shares Expires not disclosed F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement and in connection with the Merger, the portion of this stock option that was outstanding and vested as of immediately prior to the consummation of the Merger, which covered 54,750 shares of Company common stock, was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such portion multiplied by the excess of $12.75 over the exercise price per share of such award. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement and the terms of a Change of Control Agreement Acknowledgement between the Reporting Person and Ultimate Parent (the "CoC Acknowledgment"), the remaining portion of this stock option, which covered 18,250 shares of Company common stock, was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award, subject to the terms and conditions of the CoC Acknowledgment. F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement and in connection with the Merger, the portion of this stock option that was outstanding and vested as of immediately prior to the consummation of the Merger, which covered 54,750 shares of Company common stock, was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such portion multiplied by the excess of $12.75 over the exercise price per share of such award. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement and the terms of a Change of Control Agreement Acknowledgement between the Reporting Person and Ultimate Parent (the "CoC Acknowledgment"), the remaining portion of this stock option, which covered 18,250 shares of Company common stock, was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award, subject to the terms and conditions of the CoC Acknowledgment. F3 · balance_after: Pursuant to the terms of the Merger Agreement and in connection with the Merger, the portion of this stock option that was outstanding and vested as of immediately prior to the consummation of the Merger, which covered 54,750 shares of Company common stock, was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such portion multiplied by the excess of $12.75 over the exercise price per share of such award. F4 · balance_after: Pursuant to the terms of the Merger Agreement and the terms of a Change of Control Agreement Acknowledgement between the Reporting Person and Ultimate Parent (the "CoC Acknowledgment"), the remaining portion of this stock option, which covered 18,250 shares of Company common stock, was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award, subject to the terms and conditions of the CoC Acknowledgment. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 17:20 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 78,000 | $0.00 Strike: $8.59 | $0.00 |
DisclosureSEC source: 0001209191-17-062133 · doc4.xml · derivative · entry 2 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 78,000 shares Expires not disclosed F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this stock option was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award. F2 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this stock option was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award. F2 · balance_after: Pursuant to the terms of the Merger Agreement and in connection with the Merger, this stock option was cancelled and converted into the right to receive a cash payment equal to the number of shares of Company common stock subject to such award multiplied by the excess of $12.75 over the exercise price per share of such award. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 17:20 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Disposition to issuerCommon Stock | 385,563 | $12.75 | $4,915,928.25 |
DisclosureSEC source: 0001209191-17-062133 · doc4.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of November 2, 2016 (the "Merger Agreement"), by and among Brocade Communications Systems, Inc. (the "Company"), Broadcom Limited, a limited company organized under the laws of the Republic of Singapore ("Ultimate Parent"), Broadcom Corporation, a California corporation and an indirect subsidiary of Ultimate Parent, and Bobcat Merger Sub, Inc., a Delaware corporation and a direct wholly owned subsidiary of Parent ("Merger Sub"), as assigned by Broadcom Corporation to LSI Corporation, a Delaware corporation ("Parent"), on November 17, 2017, Merger Sub merged with and into the Company (the "Merger"), and in connection therewith the Reporting Person disposed of these shares in exchange for $12.75 per share, without interest. Read SEC document |
| November 05, 2017 Filed Nov 7, 2017 20:40 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Exercise / conversionRestricted Stock Units · Derivative | 26,024 | $0.00 | $0.00 |
DisclosureSEC source: 0001009626-17-000094 · wf-form4_151010523074472.xml · derivative · entry 4 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,023 Underlying: Common Stock · 26,024 shares Expires 2018-10-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. F1 · derivative.exercise_date: Reflects the conversion of 50% of the shares referred to in footnote (4) in this Form 4 into shares of Brocade common stock in connection with the vesting of the restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. Read SEC document |
| November 05, 2017 Filed Nov 7, 2017 20:40 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | GrantRestricted Stock Units · Derivative | 52,047 | $0.00 | $0.00 |
DisclosureSEC source: 0001009626-17-000094 · wf-form4_151010523074472.xml · derivative · entry 3 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,047 Underlying: Common Stock · 52,047 shares Expires 2018-10-28 F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. F4 · derivative.exercise_date: The restricted stock units were granted upon achievement of certain performance objectives pursuant to the performance-based restricted stock units granted December 15, 2015 under Brocade's 2009 Stock Plan. The performance period for the restricted stock units was November 1, 2015 until October 28, 2017, with vesting subject to approval of the performance calculation by Brocade's Compensation Committee. This approval was obtained on November 5, 2017. As a result, 50% of the earned shares underlying the restricted stock units vested on that date and the remaining 50% will vest on October 28, 2018, subject to the terms of the performance-based restricted stock unit agreement. Read SEC document |
| November 05, 2017 Filed Nov 7, 2017 20:40 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Tax withholdingCommon Stock | 13,439 | $12.58 | $169,062.62 |
DisclosureSEC source: 0001009626-17-000094 · wf-form4_151010523074472.xml · nonDerivative · entry 2 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,563 F2 · shares: Shares automatically withheld for payment of tax withholding liability in connection with vesting of the restricted stock units pursuant to terms of the restricted stock unit agreement. Read SEC document |
| November 05, 2017 Filed Nov 7, 2017 20:40 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Exercise / conversionCommon Stock | 26,024 | $0.00 | $0.00 |
DisclosureSEC source: 0001009626-17-000094 · wf-form4_151010523074472.xml · nonDerivative · entry 1 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 399,002 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: Reflects the conversion of 50% of the shares referred to in footnote (4) in this Form 4 into shares of Brocade common stock in connection with the vesting of the restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 19:25 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Exercise / conversionRestricted Stock Units · Derivative | 60,712 | $0.00 | $0.00 |
DisclosureSEC source: 0001009626-17-000090 · wf-form4_150975154382018.xml · derivative · entry 9 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,710 Underlying: Common Stock · 60,712 shares Expires 2019-11-01 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. F1 · derivative.exercise_date: Reflects the conversion of previously granted restricted stock units into shares of Brocade common stock in connection with the vesting of the restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 19:25 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Exercise / conversionRestricted Stock Units · Derivative | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001009626-17-000090 · wf-form4_150975154382018.xml · derivative · entry 8 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,333 Underlying: Common Stock · 18,333 shares Expires 2018-11-01 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. F1 · derivative.exercise_date: Reflects the conversion of previously granted restricted stock units into shares of Brocade common stock in connection with the vesting of the restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 19:25 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Exercise / conversionRestricted Stock Units · Derivative | 9,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001009626-17-000090 · wf-form4_150975154382018.xml · derivative · entry 7 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,666 shares Expires 2017-11-01 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. F1 · derivative.exercise_date: Reflects the conversion of previously granted restricted stock units into shares of Brocade common stock in connection with the vesting of the restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 19:25 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Tax withholdingCommon Stock | 23,332 | $11.74 | $273,917.68 |
DisclosureSEC source: 0001009626-17-000090 · wf-form4_150975154382018.xml · nonDerivative · entry 6 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 372,978 F2 · shares: Shares automatically withheld for payment of tax withholding liability in connection with vesting of the restricted stock units pursuant to terms of the restricted stock unit agreement. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 19:25 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Exercise / conversionCommon Stock | 60,712 | $0.00 | $0.00 |
DisclosureSEC source: 0001009626-17-000090 · wf-form4_150975154382018.xml · nonDerivative · entry 5 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 396,310 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: Reflects the conversion of previously granted restricted stock units into shares of Brocade common stock in connection with the vesting of the restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 19:25 UTC | BROCADE COMMUNICATIONS SYSTEMS INC BRCD · Entity 171546 | Tax withholdingCommon Stock | 6,890 | $11.74 | $80,888.60 |
DisclosureSEC source: 0001009626-17-000090 · wf-form4_150975154382018.xml · nonDerivative · entry 4 FAIRFAX DANIEL W · CIK 0001281634 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,598 F2 · shares: Shares automatically withheld for payment of tax withholding liability in connection with vesting of the restricted stock units pursuant to terms of the restricted stock unit agreement. 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.