Daily feed · SEC Form 4 filings

Stock options and other derivative activity — Oct 12, 2018

Table II activity from Forms 3/4/5: option exercises, awards, grants, conversions and expirations.

99 filings · trading day Oct 12, 2018Download CSV Quotes for these symbols ↗

Trade	Reported (ET)	Company	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Oct 5, 2018 JForm 4 →	Oct 11, 5:02 pm EDT	Quest Solution, Inc.QUES	Shai Shalom LustgartenChief Executive Officer, Director, 10% Owner	1,483,051	$350,000.00	$519,067,850,000	1,483,051	—	late
Oct 5, 2018 JForm 4 →	Oct 11, 5:04 pm EDT	Quest Solution, Inc.QUES	Carlos Jaime Nissensohn10% Owner	1,483,051	$350,000.00	$519,067,850,000	1,483,051	—	late
Oct 9, 2018 DSForm 4 →	Oct 11, 4:01 pm EDT	FALCONSTOR SOFTWARE INCFALC	HCP-FVA, LLCDirector, 10% Owner	63,952,935	$12.05	$4,121,100	304,922,695	—
Oct 9, 2018 DSForm 4 →	Oct 11, 4:02 pm EDT	FALCONSTOR SOFTWARE INCFALC	Martin M Hale Jr.Director, 10% Owner	63,952,935	$12.05	$4,121,100	304,922,695	—
Oct 9, 2018 MForm 4 →	Oct 11, 4:53 pm EDT	Michael Kors Holdings LtdKORS	Michael David KorsHon Chair & Chief Creative Off, Director	66,517	$20.00	$1,330,340	0	—
Oct 10, 2018 AForm 4 →	Oct 12, 10:38 am EDT	HERSHEY COHSY	Damien AtkinsSVP, GC and Secretary	12,225	$103.74	$1,268,222	12,225	—
Sep 27, 2018 AForm 4 →	Oct 11, 4:11 pm EDT	PEDEVCO CORPPED	Harold Douglas EvansDirector	100,000	$2.19	$219,000	100,000	—	late
Oct 9, 2018 CMForm 4 →	Oct 11, 8:11 pm EDT	RingCentral IncRNG	Vladimir Shmunis +5CEO & Chairman, Director, 10% Owner	117,096	$4.74	$184,935	0	—
Oct 10, 2018 AForm 4 →	Oct 12, 3:39 pm EDT	KOSS CORPKOSS	David Donnan SmithCFO	50,000	$2.63	$131,500	50,000	—
Oct 11, 2018 MForm 4 →	Oct 12, 11:38 am EDT	ServisFirst Bancshares, Inc.SFBS	Thomas A BroughtonPresident & CEO, Director	20,000	$5.00	$100,000	20,000	—
Oct 10, 2018 MForm 4 →	Oct 11, 4:48 pm EDT	Michael Kors Holdings LtdKORS	John D IdolChairman & CEO, Director	6,076	$5.00	$30,380	128,447	—
Oct 11, 2018 JForm 4 →	Oct 12, 11:39 am EDT	BARINGS CORPORATE INVESTORSMCI	Robert Mark ShettleOther	110	$14.99	$1,644	6,748	—
Oct 11, 2018 CMForm 4 →	Oct 11, 7:31 pm EDT	RingCentral IncRNG	David SipesChief Operating Officer	6,325	$0.99	$1,485	0	—
Oct 11, 2018 JForm 4 →	Oct 12, 11:39 am EDT	BARINGS CORPORATE INVESTORSMCI	Janice BishopOther	35	$14.99	$522	10,114	—
Oct 11, 2018 JForm 4 →	Oct 12, 11:39 am EDT	BARINGS CORPORATE INVESTORSMCI	Thomas F FinkeOther	24	$14.99	$361	32,607	—
Oct 9, 2018 CForm 4 →	Oct 11, 4:01 pm EDT	Guardant Health, Inc.GH	ORBIMED ADVISORS LLC10% Owner	1,534,464	—	—	0	—
Oct 9, 2018 MForm 4 →	Oct 11, 4:04 pm EDT	Calyxt, Inc.CLXT	Daniel F VoytasChief Science Officer	4,083	—	—	20,419	—
Oct 11, 2018 AForm 4 →	Oct 11, 4:05 pm EDT	GelTech Solutions, Inc.GLTC	Warren B Mosler10% Owner	251,142	—	—	251,142	—
Oct 10, 2018 MForm 4 →	Oct 11, 4:06 pm EDT	ESSEX PROPERTY TRUST INCESS	Angela L. KleimanExecutive Vice President & CFO	84	—	—	0	—
Oct 10, 2018 MForm 4 →	Oct 11, 4:08 pm EDT	PROGRESS SOFTWARE CORP /MAPRGS	Yogesh K GuptaChief Executive Officer, Director	22,869	—	—	45,738	—
Oct 10, 2018 MForm 4 →	Oct 11, 4:24 pm EDT	Edwards Lifesciences CorpEW	Donald E Bobo Jr.CVP,Strategy/Corp Development	5,500	—	—	28,100	—
Oct 9, 2018 MForm 4 →	Oct 11, 4:24 pm EDT	QUALYS, INC.QLYS	Sumedh S ThakarChief Product Officer	1,600	—	—	23,811	—
Oct 9, 2018 CForm 4 →	Oct 11, 4:28 pm EDT	Guardant Health, Inc.GH	Helmy EltoukhyChief Executive Officer, Director	87,753	—	—	0	—
Oct 9, 2018 CForm 4 →	Oct 11, 4:28 pm EDT	Guardant Health, Inc.GH	Khosla Ventures IV, L.P. +4Other	7,139,498	—	—	0	—
Oct 9, 2018 CForm 4 →	Oct 11, 4:29 pm EDT	Guardant Health, Inc.GH	TLS Beta Pte. Ltd. +310% Owner	1,613,007	—	—	0	—
Oct 10, 2018 PForm 4 →	Oct 11, 4:30 pm EDT	HISTOGENICS CORPHSGX	Michael LewisDirector, 10% Owner	403,845	—	—	403,845	—
Oct 9, 2018 AForm 4 →	Oct 11, 4:30 pm EDT	NovaBay Pharmaceuticals, Inc.NBY	John Joseph McGovernInt Pres, CEO, CFO & Treasurer	250,000	—	—	440,000	—
Oct 10, 2018 PForm 4 →	Oct 11, 4:30 pm EDT	HISTOGENICS CORPHSGX	Wilmslow Estates Ltd10% Owner	403,845	—	—	403,845	—
Oct 10, 2018 PForm 4 →	Oct 11, 4:30 pm EDT	HISTOGENICS CORPHSGX	Kevin RakinDirector	173,076	—	—	173,076	—
Oct 9, 2018 MForm 4 →	Oct 11, 4:30 pm EDT	Nuvectra CorpNVTR	Anthony P Bihl IIIDirector	838	—	—	1,674	—
Oct 9, 2018 MForm 4 →	Oct 11, 4:31 pm EDT	Nuvectra CorpNVTR	Kenneth G HawariDirector	838	—	—	1,674	—
Oct 9, 2018 MForm 4 →	Oct 11, 4:31 pm EDT	Nuvectra CorpNVTR	David D JohnsonDirector	838	—	—	1,674	—
Oct 9, 2018 MForm 4 →	Oct 11, 4:31 pm EDT	Nuvectra CorpNVTR	Joseph A MillerDirector	838	—	—	1,674	—
Oct 9, 2018 MForm 4 →	Oct 11, 4:32 pm EDT	Nuvectra CorpNVTR	Fred B ParksDirector	838	—	—	1,674	—
Oct 9, 2018 MForm 4 →	Oct 11, 4:32 pm EDT	Nuvectra CorpNVTR	Jon T TremmelDirector	838	—	—	1,674	—
Oct 9, 2018 MForm 4 →	Oct 11, 4:32 pm EDT	Nuvectra CorpNVTR	Thomas Edward ZeliborDirector	838	—	—	1,674	—
Oct 10, 2018 MForm 4 →	Oct 11, 4:37 pm EDT	QUALCOMM INC/DEQCOM	Cristiano R AmonPresident	88,625	—	—	0	—
Oct 10, 2018 AForm 4 →	Oct 11, 4:44 pm EDT	KRATOS DEFENSE & SECURITY SOLUTIONS, INC.KTOS	Bandel L Carano +6Director, 10% Owner	1,012	—	—	81,579	—
Oct 10, 2018 MForm 4 →	Oct 11, 4:52 pm EDT	VALVOLINE INCVVV	David J. ScheveController	2,067	—	—	6,202	—
Oct 9, 2018 MForm 4 →	Oct 11, 4:55 pm EDT	PEPSICO INCPEP	Ramon LaguartaChief Executive Officer, Director	743	—	—	0	—
Oct 11, 2018 MForm 4 →	Oct 11, 5:04 pm EDT	Verisk Analytics, Inc.VRSK	Mark V AnquillareEVP and COO	53,125	—	—	106,250	—
Feb 21, 2017 AMForm 4 →	Oct 11, 2018, 5:22 pm EDT	NANOVIRICIDES, INC.NNVC	Milton Boniuk10% Owner	150,000	—	—	337,500	—	late
Oct 9, 2018 AForm 4 →	Oct 11, 5:24 pm EDT	Zayo Group Holdings, Inc.ZAYO	Emily WhiteDirector	1,897	—	—	1,897	—
Oct 9, 2018 AForm 4 →	Oct 11, 5:25 pm EDT	Zayo Group Holdings, Inc.ZAYO	Steven N KaplanDirector	1,600	—	—	1,600	—
Oct 9, 2018 AForm 4 →	Oct 11, 5:28 pm EDT	Zayo Group Holdings, Inc.ZAYO	Mary Catherine MorrisDirector	2,586	—	—	2,586	—
Oct 9, 2018 AMForm 4 →	Oct 11, 5:28 pm EDT	MOTORCAR PARTS AMERICA INCMPAA	Scott Joseph AdelsonDirector	4,599	—	—	2,925	—
Oct 9, 2018 AMForm 4 →	Oct 11, 5:29 pm EDT	MOTORCAR PARTS AMERICA INCMPAA	Rudolph J BorneoDirector	4,599	—	—	2,925	—
Oct 9, 2018 AForm 4 →	Oct 11, 5:30 pm EDT	Zayo Group Holdings, Inc.ZAYO	Linda RottenbergDirector	2,069	—	—	2,069	—
Oct 9, 2018 AMForm 4 →	Oct 11, 5:31 pm EDT	MOTORCAR PARTS AMERICA INCMPAA	David BryanDirector	4,093	—	—	2,925	—
Oct 10, 2018 CMForm 4 →	Oct 11, 5:31 pm EDT	FITBIT INCFIT	Andy MissanEVP, General Counsel, Sect.	22,500	—	—	0	—
Oct 9, 2018 AMForm 4 →	Oct 11, 5:32 pm EDT	MOTORCAR PARTS AMERICA INCMPAA	Joseph Edwin FergusonDirector	4,093	—	—	2,925	—
Oct 9, 2018 CForm 4 →	Oct 11, 5:35 pm EDT	Guardant Health, Inc.GH	AmirAli TalasazChairman, President and COO, Director	21,937	—	—	0	—
Oct 9, 2018 CForm 4 →	Oct 11, 5:36 pm EDT	Guardant Health, Inc.GH	Michael J WileyChief Legal Officer	6,561	—	—	0	—
Oct 9, 2018 CForm 4/A →	Oct 11, 5:38 pm EDT	Guardant Health, Inc.GH	SC US (TTGP), LTD. +910% Owner	7,768,154	—	—	0	—
Oct 9, 2018 MForm 4 →	Oct 11, 5:40 pm EDT	CBS CORPCBS, CBS.A	Anthony G AmbrosioSr.EVP Chief Admin & HR Ofcr	3,449	—	—	534	—
Oct 9, 2018 AForm 4 →	Oct 11, 5:41 pm EDT	Zayo Group Holdings, Inc.ZAYO	Nina RichardsonDirector	763	—	—	763	—
Oct 9, 2018 AForm 4 →	Oct 11, 5:43 pm EDT	Zayo Group Holdings, Inc.ZAYO	Richard W. ConnorDirector	2,414	—	—	2,414	—
Oct 9, 2018 AForm 4 →	Oct 11, 5:44 pm EDT	Calithera Biosciences, Inc.CALA	Sumita RaySee Remarks	25,000	—	—	25,000	—
Oct 9, 2018 AForm 4 →	Oct 11, 5:45 pm EDT	Zayo Group Holdings, Inc.ZAYO	Donald H GipsDirector	2,328	—	—	2,328	—
Oct 9, 2018 AMForm 4 →	Oct 11, 5:46 pm EDT	MOTORCAR PARTS AMERICA INCMPAA	Philip GayDirector	4,599	—	—	2,925	—
Oct 9, 2018 AMForm 4 →	Oct 11, 5:47 pm EDT	MOTORCAR PARTS AMERICA INCMPAA	Duane Franklin MillerDirector	4,599	—	—	2,925	—
Oct 9, 2018 AMForm 4 →	Oct 11, 5:49 pm EDT	MOTORCAR PARTS AMERICA INCMPAA	Jeffrey P MirvisDirector	4,599	—	—	2,925	—
Oct 9, 2018 AMForm 4 →	Oct 11, 5:50 pm EDT	MOTORCAR PARTS AMERICA INCMPAA	Timothy D VargoDirector	3,494	—	—	2,925	—
Oct 9, 2018 AMForm 4 →	Oct 11, 5:51 pm EDT	MOTORCAR PARTS AMERICA INCMPAA	Barbara L WhittakerDirector	3,494	—	—	2,925	—
Oct 9, 2018 CForm 4 →	Oct 11, 5:57 pm EDT	Kodiak Sciences Inc.KOD	BAKER BROS. ADVISORS LP +5Director, 10% Owner	8,955,941	—	—	0	—
Oct 10, 2018 MForm 4 →	Oct 11, 6:08 pm EDT	Telenav, Inc.TNAV	Lily ToyGeneral Counsel	1,000	—	—	2,000	—
Oct 9, 2018 CMForm 4 →	Oct 11, 6:23 pm EDT	Facebook IncFB	Michael Todd SchroepferChief Technology Officer	198,768	—	—	0	—
Oct 9, 2018 AForm 4 →	Oct 11, 6:31 pm EDT	AMICUS THERAPEUTICS INCFOLD	David Michael ClarkChief People Officer	84,842	—	—	84,842	—
Oct 10, 2018 MForm 4 →	Oct 11, 6:44 pm EDT	NETFLIX INCNFLX	Richard N BartonDirector	700	—	—	1,087	—
Oct 10, 2018 MForm 4 →	Oct 11, 6:47 pm EDT	CERUS CORPCERS	Kevin Dennis GreenChief Financial Officer	2,783	—	—	19,484	—
Oct 9, 2018 MForm 4 →	Oct 11, 7:01 pm EDT	TherapeuticsMD, Inc.TXMD	John C.K. Milligan IVPresident/Secretary, Director	250,000	—	—	1,282,255	—
Oct 10, 2018 AForm 4 →	Oct 11, 7:16 pm EDT	GLOBALSCAPE INCGSB	Matthew Craig GouletPresident and CEO, Director	250,000	—	—	250,000	—
Oct 9, 2018 CForm 4 →	Oct 11, 7:20 pm EDT	Guardant Health, Inc.GH	SoftBank Group Capital Ltd +110% Owner	2,033,990	—	—	0	—
Oct 9, 2018 CForm 4 →	Oct 11, 7:21 pm EDT	Guardant Health, Inc.GH	SOFTBANK VISION FUND (AIV M1) L.P. +110% Owner	25,816,470	—	—	0	—
Oct 9, 2018 CForm 4 →	Oct 11, 7:46 pm EDT	CARVANA CO.CVNA	Ernest C. Garcia II +110% Owner	43,873	—	—	5,132,313	—
Oct 10, 2018 MForm 4 →	Oct 11, 7:58 pm EDT	GENOMIC HEALTH INCGHDX	G Bradley ColeCFO	5,000	—	—	46,471	—
Oct 9, 2018 MForm 4 →	Oct 11, 7:59 pm EDT	GENOMIC HEALTH INCGHDX	Steven ShakChief Scientific Officer	5,500	—	—	7,000	—
Jan 24, 2018 AForm 4 →	Oct 11, 8:43 pm EDT	DPW Holdings, Inc.DPW	Jeff Acosta BentzDirector	275,000	—	—	275,000	—	late
Oct 9, 2018 MForm 4 →	Oct 11, 9:17 pm EDT	NEOGEN CORPNEOG	James L HerbertExecutive Chairman, Director	567	—	—	327,436	—
Oct 10, 2018 MForm 4 →	Oct 12, 9:04 am EDT	Turning Point Brands, Inc.TPB	James Michael MurraySenior VP, Business Planning	1,700	—	—	47,491	—
Oct 11, 2018 MForm 4 →	Oct 12, 11:27 am EDT	EATON VANCE CORPEV	Brian D. LangstraatDirector	21,926	—	—	0	—
Oct 10, 2018 AForm 4 →	Oct 12, 12:17 pm EDT	Nemus Bioscience, Inc.NMUS	Punit DhillonDirector	200,000	—	—	200,000	—
Oct 10, 2018 AForm 4 →	Oct 12, 12:19 pm EDT	Nemus Bioscience, Inc.NMUS	James L HeppellDirector	200,000	—	—	200,000	—
Oct 10, 2018 AForm 4 →	Oct 12, 1:05 pm EDT	Nemus Bioscience, Inc.NMUS	Avtar S DhillonDirector	1,000,000	—	—	1,000,000	—
Oct 11, 2018 MForm 4 →	Oct 12, 1:41 pm EDT	NOVAGOLD RESOURCES INCNG	David A. OttewellVice President & CFO	263,650	—	—	63,650	—
Oct 10, 2018 MForm 4 →	Oct 12, 2:08 pm EDT	WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORPWAB	Emilio FernandezDirector	8,000	—	—	0	—
Jun 30, 2018 JForm 4 →	Oct 12, 2:27 pm EDT	Vertex Energy Inc.VTNR	Chris CarlsonCFO & Secretary	831	—	—	37,760	—	late
Jun 30, 2018 JForm 4 →	Oct 12, 2:30 pm EDT	Vertex Energy Inc.VTNR	Benjamin P CowartCEO and President, Director, 10% Owner	1,398	—	—	38,327	—	late
Oct 10, 2018 AForm 4 →	Oct 12, 2:33 pm EDT	Integer Holdings CorpITGR	Jason K GarlandEVP, Chief Financial Officer	8,122	—	—	8,122	—	amended
Oct 1, 2018 MForm 4/A →	Oct 12, 2:40 pm EDT	Helmerich & Payne, Inc.HP	John W LindsayPresident & CEO, Director	30,000	—	—	35,000	—
Oct 12, 2018 MForm 4 →	Oct 12, 2:45 pm EDT	CHAMPIONS ONCOLOGY, INC.CSBR	Joel AckermanDirector	100,000	—	—	0	—
Jul 27, 2018 AForm 4 →	Oct 12, 3:00 pm EDT	XBiotech Inc.XBIT	John SimardChief Executive Officer, Director, 10% Owner	15,000	—	—	15,000	—	late
Oct 10, 2018 AForm 4 →	Oct 12, 3:01 pm EDT	Peak Resorts IncSKIS	Christopher O'ConnorDirector	7,239	—	—	7,239	—
Oct 10, 2018 AForm 4 →	Oct 12, 3:02 pm EDT	Peak Resorts IncSKIS	Carl KrausDirector	7,239	—	—	7,239	—
Oct 10, 2018 AForm 4 →	Oct 12, 3:02 pm EDT	Peak Resorts IncSKIS	David W BraswellDirector	7,239	—	—	7,239	—
Oct 10, 2018 AForm 4 →	Oct 12, 3:03 pm EDT	Peak Resorts IncSKIS	Stanley W HansenDirector	7,239	—	—	7,239	—
Oct 10, 2018 MForm 4 →	Oct 12, 3:25 pm EDT	HURCO COMPANIES INCHURC	Michael DoarChairman & CEO, Director	890	—	—	3,738	—
Oct 10, 2018 AForm 4 →	Oct 12, 3:27 pm EDT	Peak Resorts IncSKIS	Rory A. HeldDirector	7,239	—	—	24,589	—
Oct 11, 2018 MForm 4 →	Oct 12, 3:59 pm EDT	PENNYMAC FINANCIAL SERVICES, INC.PFSI	Anne McCallionChief Enterprise Ops Officer, Director	5,000	—	—	495,720	—

A trading day runs to 4:00 pm ET; filings accepted later appear on the next trading day. Rows aggregate a filing’s matching transaction lines — see the methodology for the exact roll-up rules.