Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/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 | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 21, 2021 Filed Jun 22, 2021 22:46 UTC |
Klein Martin PExecutive VP and CFO
|
SaleClass A Common Shares | 1,200 | $62.54 | $75,048.00 |
DisclosureSEC source: 0001127602-21-020520 · form4.xml · nonDerivative · entry 1 Klein Martin P · CIK 0001518052 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,655 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 20, 2021. F2 · price: The shares were sold in multiple transactions at the price reported. Read SEC document |
| June 15, 2021 Filed Jun 16, 2021 22:38 UTC |
Borden Robert LDirector
|
SaleClass A Common Shares | 2,000 | $62.88 | $125,760.00 |
DisclosureSEC source: 0001127602-21-020082 · form4.xml · nonDerivative · entry 1 Borden Robert L · CIK 0001592214 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,107 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 11, 2021. F2 · price: The shares were sold in multiple transactions at the price reported. Read SEC document |
| June 14, 2021 Filed Jun 16, 2021 18:37 UTC |
MCCALL H CARLDirector
|
SaleClass A Common Shares | 5,555 | $63.00 | $349,965.00 |
DisclosureSEC source: 0001127602-21-020081 · form4.xml · nonDerivative · entry 1 MCCALL H CARL · CIK 0001223627 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,186 Read SEC document |
| May 27, 2021 Filed May 27, 2021 23:34 UTC |
Golden John LeonardEVP and General Counsel
|
SaleClass A Common Shares | 10,000 | $62.83 | $628,300.00 |
DisclosureSEC source: 0001127602-21-018250 · form4.xml · nonDerivative · entry 2 Golden John Leonard · CIK 0001836613 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,054 Read SEC document |
| May 25, 2021 Filed May 27, 2021 23:34 UTC |
Golden John LeonardEVP and General Counsel
|
SaleClass A Common Shares | 20,000 | $61.96 | $1,239,200.00 |
DisclosureSEC source: 0001127602-21-018250 · form4.xml · nonDerivative · entry 1 Golden John Leonard · CIK 0001836613 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,054 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.53 to $62.53 inclusive. The Reporting Person undertakes to provide to Athene Holding Ltd., any security holder of Athene Holding Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| May 20, 2021 Filed May 21, 2021 23:45 UTC |
Golden John LeonardEVP and General Counsel
|
SaleClass A Common Shares | 20,000 | $61.83 | $1,236,600.00 |
DisclosureSEC source: 0001127602-21-017818 · form4.xml · nonDerivative · entry 1 Golden John Leonard · CIK 0001836613 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,054 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.39 to $62.00 inclusive. The Reporting Person undertakes to provide to Athene Holding Ltd., any security holder of Athene Holding Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| May 17, 2021 Filed May 20, 2021 00:19 UTC |
Klein Martin PExecutive VP and CFO
|
SaleClass A Common Shares | 1,800 | $62.13 | $111,834.00 |
DisclosureSEC source: 0001127602-21-017458 · form4.xml · nonDerivative · entry 2 Klein Martin P · CIK 0001518052 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,855 Read SEC document |
| May 13, 2021 Filed May 20, 2021 00:19 UTC |
Klein Martin PExecutive VP and CFO
|
GiftClass A Common Shares | 2,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-017458 · form4.xml · nonDerivative · entry 1 Klein Martin P · CIK 0001518052 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,655 Read SEC document |
| May 12, 2021 Filed May 14, 2021 22:52 UTC |
Golden John LeonardEVP and General Counsel
|
SaleClass A Common Shares | 1,537 | $62.15 | $95,524.55 |
DisclosureSEC source: 0001127602-21-016924 · form4.xml · nonDerivative · entry 3 Golden John Leonard · CIK 0001836613 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,054 F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.01 to $62.41 inclusive. The Reporting Person undertakes to provide to Athene Holding Ltd., any security holder of Athene Holding Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| May 12, 2021 Filed May 14, 2021 22:52 UTC |
Golden John LeonardEVP and General Counsel
|
SaleClass A Common Shares | 4,868 | $61.62 | $299,966.16 |
DisclosureSEC source: 0001127602-21-016924 · form4.xml · nonDerivative · entry 2 Golden John Leonard · CIK 0001836613 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,591 F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.05 to $61.99 inclusive. The Reporting Person undertakes to provide to Athene Holding Ltd., any security holder of Athene Holding Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| May 12, 2021 Filed May 14, 2021 22:52 UTC |
Golden John LeonardEVP and General Counsel
|
SaleClass A Common Shares | 3,595 | $60.49 | $217,461.55 |
DisclosureSEC source: 0001127602-21-016924 · form4.xml · nonDerivative · entry 1 Golden John Leonard · CIK 0001836613 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,459 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.98 to $60.92 inclusive. The Reporting Person undertakes to provide to Athene Holding Ltd., any security holder of Athene Holding Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| May 11, 2021 Filed May 13, 2021 00:13 UTC |
Michelini MatthewDirector
|
SaleClass A Common Shares | 65,000 | $62.30 | $4,049,500.00 |
DisclosureSEC source: 0001127602-21-016449 · form4.xml · nonDerivative · entry 1 Michelini Matthew · CIK 0001441254 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,267 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.04 to $62.56 inclusive. The Reporting Person undertakes to provide to Athene Holding Ltd., any security holder of Athene Holding Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · balance_after: Includes Class A common shares of Athene Holding Ltd. that were previously distributed by AP Alternative Assets, L.P. ("AAA") to the unitholders of AAA. Read SEC document |
| May 10, 2021 Filed May 12, 2021 20:27 UTC |
MCCALL H CARLDirector
|
SaleClass A Common Shares | 4,800 | $62.86 | $301,728.00 |
DisclosureSEC source: 0001127602-21-016451 · form4.xml · nonDerivative · entry 1 MCCALL H CARL · CIK 0001223627 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,741 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.85 to $62.86 inclusive. The Reporting Person undertakes to provide to Athene Holding Ltd., any security holder of Athene Holding Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 10, 2021 Filed May 13, 2021 00:24 UTC |
Borden Robert LDirector
|
SaleClass A Common Shares | 12,000 | $62.99 | $755,880.00 |
DisclosureSEC source: 0001127602-21-016450 · form4.xml · nonDerivative · entry 1 Borden Robert L · CIK 0001592214 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,107 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.96 to $63.00 inclusive. The Reporting Person undertakes to provide to Athene Holding Ltd., any security holder of Athene Holding Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| April 12, 2021 Filed Apr 14, 2021 19:08 UTC |
VanBeck Sarah JeanSVP, Corp. Controller & PAO
|
GrantRestricted Stock Units · Derivative | 4,184 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-013730 · form4.xml · derivative · entry 2 VanBeck Sarah Jean · CIK 0001855427 · SVP, Corp. Controller & PAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,184 Underlying: Class A Common Shares · 4,184 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 2,461 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.exercise_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 2,461 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.expiration_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 2,461 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. Read SEC document |
| April 12, 2021 Filed Apr 14, 2021 19:08 UTC |
VanBeck Sarah JeanSVP, Corp. Controller & PAO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 5,361 | $0.00 Strike: $50.80 | $0.00 |
DisclosureSEC source: 0001127602-21-013730 · form4.xml · derivative · entry 1 VanBeck Sarah Jean · CIK 0001855427 · SVP, Corp. Controller & PAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,361 Underlying: Class A Common Shares · 5,361 shares Expires 2031-04-12 F1 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2021 vesting start date. Read SEC document |
| March 01, 2021 Filed Mar 2, 2021 20:13 UTC |
Belardi James RichardDirector · Chairman, CEO and CIO
|
Tax withholdingClass A Common Shares | 8,346 | $45.59 | $380,494.14 |
DisclosureSEC source: 0001127602-21-008938 · form4.xml · nonDerivative · entry 1 Belardi James Richard · CIK 0001689315 · Director · Chairman, CEO and CIO 10b5-1 filing: Not disclosed Ownership: Indirect · By James And Leslie Belardi Family Trust Disclosed balance after: 961,537 F1 · shares: This reported transaction represents shares withheld to satisfy tax withholding obligations in connection with the vesting of restricted share awards. Read SEC document |
| March 01, 2021 Filed Mar 2, 2021 20:18 UTC |
Kvalheim GrantSee Remarks
|
Tax withholdingClass A Common Shares | 1,738 | $45.59 | $79,235.42 |
DisclosureSEC source: 0001127602-21-008941 · form4.xml · nonDerivative · entry 1 Kvalheim Grant · CIK 0001689321 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,641,431 F1 · shares: This reported transaction represents shares withheld to satisfy tax withholding obligations in connection with the vesting of restricted share awards. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 01:15 UTC |
WHEELER WILLIAM JPresident
|
Tax withholdingClass A Common Shares | 3,431 | $45.59 | $156,419.29 |
DisclosureSEC source: 0001127602-21-008939 · form4.xml · nonDerivative · entry 1 WHEELER WILLIAM J · CIK 0001273281 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 517,874 F1 · shares: This reported transaction represents shares withheld to satisfy tax withholding obligations in connection with the vesting of restricted share awards. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 01:17 UTC |
Klein Martin PExecutive VP and CFO
|
Tax withholdingClass A Common Shares | 2,057 | $45.59 | $93,778.63 |
DisclosureSEC source: 0001127602-21-008940 · form4.xml · nonDerivative · entry 1 Klein Martin P · CIK 0001518052 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,855 F1 · shares: This reported transaction represents shares withheld to satisfy tax withholding obligations in connection with the vesting of restricted share awards. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 01:20 UTC |
Golden John LeonardEVP and General Counsel
|
Exercise / conversionRestricted Stock Units · Derivative | 2,694 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-21-008942 · form4.xml · derivative · entry 3 Golden John Leonard · CIK 0001836613 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Shares · 2,694 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: These performance-based restricted stock units ("PRSUs") were granted on February 27, 2018, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020 (the "Performance Period"). On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors determined the extent to which the Issuer met the performance goals for the Performance Period and the number of PRSUs that will vest for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on February 28, 2021. F2 · price: This reported transaction represents vested PRSUs that have been settled in Class A common shares. Vested PRSUs are settled in Class A common shares on a one-for-one basis. F1 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on February 27, 2018, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020 (the "Performance Period"). On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors determined the extent to which the Issuer met the performance goals for the Performance Period and the number of PRSUs that will vest for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on February 28, 2021. F1 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on February 27, 2018, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020 (the "Performance Period"). On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors determined the extent to which the Issuer met the performance goals for the Performance Period and the number of PRSUs that will vest for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on February 28, 2021. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 01:20 UTC |
Golden John LeonardEVP and General Counsel
|
Tax withholdingClass A Common Shares | 1,336 | $45.59 | $60,908.24 |
DisclosureSEC source: 0001127602-21-008942 · form4.xml · nonDerivative · entry 2 Golden John Leonard · CIK 0001836613 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,054 F3 · shares: This reported transaction represents shares withheld to satisfy tax withholding obligations in connection with the settlement of vested PRSUs that settled in Class A common shares. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 01:20 UTC |
Golden John LeonardEVP and General Counsel
|
Exercise / conversionClass A Common Shares | 2,694 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-21-008942 · form4.xml · nonDerivative · entry 1 Golden John Leonard · CIK 0001836613 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,390 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: This reported transaction represents vested PRSUs that have been settled in Class A common shares. Vested PRSUs are settled in Class A common shares on a one-for-one basis. F2 · price: This reported transaction represents vested PRSUs that have been settled in Class A common shares. Vested PRSUs are settled in Class A common shares on a one-for-one basis. Read SEC document |
| February 23, 2021 Filed Feb 14, 2022 16:55 UTC |
Lohr GernotDirector
|
GiftClass A Common Shares | 1,672,719 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-22-004847 · form5.xml · nonDerivative · entry 1 Lohr Gernot · CIK 0001690828 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Reflects the transfer of the reporting person's ownership of Cardinal Holdings Limited ("Cardinal"), an entity which then held the reporting person's Class A common shares (the "Common Shares") of Athene Holding Ltd., to an irrevocable trust for estate planning purposes. In addition, an agency agreement between Cardinal and the reporting person that previously allowed the reporting person to retain all voting rights and dispositive power with respect to shares held at Cardinal was terminated in early 2021. As a result of these events, the reporting person no longer beneficially owned these Common Shares as a result of this transaction. F2 · shares: Incudes Common Shares that were previously distributed by AP Alternative Assets, L.P. ("AAA") on a pro rata basis to unitholders of AAA. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 18:29 UTC |
Belardi James RichardDirector · Chairman, CEO and CIO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 58,686 | $0.00 Strike: $46.64 | $0.00 |
DisclosureSEC source: 0001127602-21-007731 · form4.xml · derivative · entry 7 Belardi James Richard · CIK 0001689315 · Director · Chairman, CEO and CIO 10b5-1 filing: Not disclosed Ownership: Indirect · by James and Leslie Belardi Family Trust Disclosed balance after: 58,686 Underlying: Class A Common Shares · 58,686 shares Expires 2031-02-22 F4 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2021 vesting start date. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 18:29 UTC |
Belardi James RichardDirector · Chairman, CEO and CIO
|
GrantRestricted Stock Units · Derivative | 13,401 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-007731 · form4.xml · derivative · entry 6 Belardi James Richard · CIK 0001689315 · Director · Chairman, CEO and CIO 10b5-1 filing: Not disclosed Ownership: Indirect · by James and Leslie Belardi Family Trust Disclosed balance after: 13,401 Underlying: Class A Common Shares · 13,401 shares Expires not disclosed F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F3 · derivative.exercise_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F3 · derivative.expiration_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 18:29 UTC |
Belardi James RichardDirector · Chairman, CEO and CIO
|
GrantClass A Common Shares | 21,064 | $0.00 | $21.06 |
DisclosureSEC source: 0001127602-21-007731 · form4.xml · nonDerivative · entry 2 Belardi James Richard · CIK 0001689315 · Director · Chairman, CEO and CIO 10b5-1 filing: Not disclosed Ownership: Indirect · By James And Leslie Belardi Family Trust Disclosed balance after: 969,883 F2 · shares: This reported transaction represents an award of restricted shares which vest ratably on the first and second anniversaries of the vesting start date provided, however, in the event of death or disability, the award shall become immediately and fully vested; and provided, further, that in the event of a termination of relationship due to (i) an involuntary termination by the Issuer without cause or (ii) resignation by the reporting person for good reason and, in each case, such termination of relationship occurs within eighteen (18) months following a change in control, the award shall become immediately and fully vested as of the effective date of such termination of relationship. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 18:29 UTC |
Belardi James RichardDirector · Chairman, CEO and CIO
|
GrantClass A Common Shares | 53,604 | $0.00 | $53.60 |
DisclosureSEC source: 0001127602-21-007731 · form4.xml · nonDerivative · entry 1 Belardi James Richard · CIK 0001689315 · Director · Chairman, CEO and CIO 10b5-1 filing: Not disclosed Ownership: Indirect · By James And Leslie Belardi Family Trust Disclosed balance after: 948,819 F1 · shares: This reported transaction represents an award of performance-based restricted shares issued at the maximum possible payout amount. The shares vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023 and are subject to forfeiture in the event that maximum performance levels are not achieved. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested at the target level of performance as of the effective date of such termination of relationship. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 18:32 UTC |
Kvalheim GrantSee Remarks
|
GrantRestricted Stock Units · Derivative | 11,257 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-007733 · form4.xml · derivative · entry 2 Kvalheim Grant · CIK 0001689321 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,257 Underlying: Class A Common Shares · 11,257 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 22,513 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.exercise_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 22,513 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.expiration_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 22,513 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 18:32 UTC |
Kvalheim GrantSee Remarks
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 49,296 | $0.00 Strike: $46.64 | $0.00 |
DisclosureSEC source: 0001127602-21-007733 · form4.xml · derivative · entry 1 Kvalheim Grant · CIK 0001689321 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,296 Underlying: Class A Common Shares · 49,296 shares Expires 2031-02-22 F1 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2021 vesting start date. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 23:30 UTC |
WHEELER WILLIAM JPresident
|
GrantRestricted Stock Units · Derivative | 12,061 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-007732 · form4.xml · derivative · entry 2 WHEELER WILLIAM J · CIK 0001273281 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,061 Underlying: Class A Common Shares · 12,061 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 24,121 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.exercise_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 24,121 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.expiration_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 24,121 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 23:30 UTC |
WHEELER WILLIAM JPresident
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 52,817 | $0.00 Strike: $46.64 | $0.00 |
DisclosureSEC source: 0001127602-21-007732 · form4.xml · derivative · entry 1 WHEELER WILLIAM J · CIK 0001273281 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,817 Underlying: Class A Common Shares · 52,817 shares Expires 2031-02-22 F1 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2021 vesting start date. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 23:35 UTC |
Klein Martin PExecutive VP and CFO
|
GrantRestricted Stock Units · Derivative | 10,453 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-007734 · form4.xml · derivative · entry 2 Klein Martin P · CIK 0001518052 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,453 Underlying: Class A Common Shares · 10,453 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 20,905 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.exercise_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 20,905 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.expiration_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 20,905 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 23:35 UTC |
Klein Martin PExecutive VP and CFO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 45,775 | $0.00 Strike: $46.64 | $0.00 |
DisclosureSEC source: 0001127602-21-007734 · form4.xml · derivative · entry 1 Klein Martin P · CIK 0001518052 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,775 Underlying: Class A Common Shares · 45,775 shares Expires 2031-02-22 F1 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2021 vesting start date. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 23:40 UTC |
Niemann Douglas BartlettEVP and Chief Risk Officer
|
GrantRestricted Stock Units · Derivative | 3,485 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-007738 · form4.xml · derivative · entry 2 Niemann Douglas Bartlett · CIK 0001836389 · EVP and Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,485 Underlying: Class A Common Shares · 3,485 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 6,969 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.exercise_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 6,969 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.expiration_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 6,969 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 23:40 UTC |
Niemann Douglas BartlettEVP and Chief Risk Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 15,259 | $0.00 Strike: $46.64 | $0.00 |
DisclosureSEC source: 0001127602-21-007738 · form4.xml · derivative · entry 1 Niemann Douglas Bartlett · CIK 0001836389 · EVP and Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,259 Underlying: Class A Common Shares · 15,259 shares Expires 2031-02-22 F1 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2021 vesting start date. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 23:37 UTC |
Golden John LeonardEVP and General Counsel
|
GrantRestricted Stock Units · Derivative | 5,361 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-007735 · form4.xml · derivative · entry 2 Golden John Leonard · CIK 0001836613 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,361 Underlying: Class A Common Shares · 5,361 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 10,721 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.exercise_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 10,721 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.expiration_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2021 vesting start date. An additional 10,721 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 23:37 UTC |
Golden John LeonardEVP and General Counsel
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 23,475 | $0.00 Strike: $46.64 | $0.00 |
DisclosureSEC source: 0001127602-21-007735 · form4.xml · derivative · entry 1 Golden John Leonard · CIK 0001836613 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,475 Underlying: Class A Common Shares · 23,475 shares Expires 2031-02-22 F1 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2021 vesting start date. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 16:35 UTC |
Belardi James RichardDirector · Chairman, CEO and CIO
|
Disposition to issuerClass A Common Shares | 22,190 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-006207 · form4.xml · nonDerivative · entry 1 Belardi James Richard · CIK 0001689315 · Director · Chairman, CEO and CIO 10b5-1 filing: Not disclosed Ownership: Indirect · By James And Leslie Belardi Family Trust Disclosed balance after: 895,215 F1 · shares: Represents the forfeiture of performance-based restricted shares granted to the Reporting Person on February 27, 2018, that were eligible to vest based on the satisfaction of certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020. Upon grant, the maximum vesting amount was reported on a Form 4. On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors certified the results of the performance criteria over the performance period, resulting in the forfeiture of a portion of the original award. The remaining shares subject to the award are scheduled to vest on February 28, 2021. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 16:33 UTC |
Kvalheim GrantSee Remarks
|
Disposition to issuerClass A Common Shares | 7,544 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-006201 · form4.xml · nonDerivative · entry 1 Kvalheim Grant · CIK 0001689321 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,643,169 F1 · shares: Represents the forfeiture of performance-based restricted shares granted to the Reporting Person on February 27, 2018, that were eligible to vest based on the satisfaction of certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020. Upon grant, the maximum vesting amount was reported on a Form 4. On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors certified the results of the performance criteria over the performance period, resulting in the forfeiture of a portion of the original award. The remaining shares subject to the award are scheduled to vest on February 28, 2021. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 16:42 UTC |
Sondej John AndrewSee Remarks
|
GrantRestricted Stock Units · Derivative | 1,324 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-006231 · form4.xml · derivative · entry 1 Sondej John Andrew · CIK 0001298924 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,324 Underlying: Class A Common Shares · 1,324 shares Expires not disclosed F1 · derivative.exercise_price: These performance-based restricted stock units ("PRSUs") were granted on August 13, 2018, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020 (the "Performance Period"). On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors determined the extent to which the Issuer met the performance goals for the Performance Period and the number of PRSUs that will vest for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs are scheduled to vest on February 28, 2021. F1 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on August 13, 2018, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020 (the "Performance Period"). On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors determined the extent to which the Issuer met the performance goals for the Performance Period and the number of PRSUs that will vest for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs are scheduled to vest on February 28, 2021. F1 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on August 13, 2018, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020 (the "Performance Period"). On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors determined the extent to which the Issuer met the performance goals for the Performance Period and the number of PRSUs that will vest for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs are scheduled to vest on February 28, 2021. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:38 UTC |
WHEELER WILLIAM JPresident
|
Disposition to issuerClass A Common Shares | 13,314 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-006217 · form4.xml · nonDerivative · entry 1 WHEELER WILLIAM J · CIK 0001273281 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 521,305 F1 · shares: Represents the forfeiture of performance-based restricted shares granted to the Reporting Person on February 27, 2018, that were eligible to vest based on the satisfaction of certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020. Upon grant, the maximum vesting amount was reported on a Form 4. On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors certified the results of the performance criteria over the performance period, resulting in the forfeiture of a portion of the original award. The remaining shares subject to the award are scheduled to vest on February 28, 2021. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:37 UTC |
Klein Martin PExecutive VP and CFO
|
Disposition to issuerClass A Common Shares | 8,876 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-006214 · form4.xml · nonDerivative · entry 1 Klein Martin P · CIK 0001518052 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,912 F1 · shares: Represents the forfeiture of performance-based restricted shares granted to the Reporting Person on February 27, 2018, that were eligible to vest based on the satisfaction of certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020. Upon grant, the maximum vesting amount was reported on a Form 4. On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors certified the results of the performance criteria over the performance period, resulting in the forfeiture of a portion of the original award. The remaining shares subject to the award are scheduled to vest on February 28, 2021. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:41 UTC |
Golden John LeonardEVP and General Counsel
|
GrantRestricted Stock Units · Derivative | 2,694 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-006226 · form4.xml · derivative · entry 1 Golden John Leonard · CIK 0001836613 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,694 Underlying: Class A Common Shares · 2,694 shares Expires not disclosed F1 · derivative.exercise_price: These performance-based restricted stock units ("PRSUs") were granted on February 27, 2018, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020 (the "Performance Period"). On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors determined the extent to which the Issuer met the performance goals for the Performance Period and the number of PRSUs that will vest for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs are scheduled to vest on February 28, 2021. F1 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on February 27, 2018, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020 (the "Performance Period"). On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors determined the extent to which the Issuer met the performance goals for the Performance Period and the number of PRSUs that will vest for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs are scheduled to vest on February 28, 2021. F1 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on February 27, 2018, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020 (the "Performance Period"). On February 15, 2021, the Compensation Committee of the Issuer's Board of Directors determined the extent to which the Issuer met the performance goals for the Performance Period and the number of PRSUs that will vest for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs are scheduled to vest on February 28, 2021. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 22:26 UTC |
O'Neill MitraDirector
|
GrantClass A Common Shares | 3,573 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-001101 · form4.xml · nonDerivative · entry 1 O'Neill Mitra · CIK 0001761271 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,796 F1 · shares: This Form 4 is being filed to report a restricted share award which vests on the first anniversary of the vesting start date and immediately upon a sale or change in control of the Issuer. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 17:28 UTC |
Puffer ManfredDirector
|
GrantClass A Common Shares | 3,573 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-001103 · form4.xml · nonDerivative · entry 1 Puffer Manfred · CIK 0001691088 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,524 F1 · shares: This Form 4 is being filed to report a restricted share award which vests on the first anniversary of the vesting start date and immediately upon a sale or change in control of the Issuer. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 16:55 UTC |
Kvalheim GrantSee Remarks
|
Exercise / conversionRestricted Stock Units · Derivative | 2,934 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-21-001051 · form4.xml · derivative · entry 7 Kvalheim Grant · CIK 0001689321 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,868 Underlying: Class A Common Shares · 2,934 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. F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2020 vesting start date. An additional 17,603 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2020 to December 31, 2022. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F4 · derivative.exercise_price: This reported transaction represents vested RSUs that have been settled in Class A common shares. Vested RSUs are settled in Class A common shares on a one-for-one basis. F4 · price: This reported transaction represents vested RSUs that have been settled in Class A common shares. Vested RSUs are settled in Class A common shares on a one-for-one basis. F3 · derivative.exercise_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2020 vesting start date. An additional 17,603 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2020 to December 31, 2022. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F3 · derivative.expiration_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2020 vesting start date. An additional 17,603 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2020 to December 31, 2022. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 16:55 UTC |
Kvalheim GrantSee Remarks
|
Exercise / conversionRestricted Stock Units · Derivative | 3,436 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-21-001051 · form4.xml · derivative · entry 6 Kvalheim Grant · CIK 0001689321 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,437 Underlying: Class A Common Shares · 3,436 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2019 vesting start date. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F4 · derivative.exercise_price: This reported transaction represents vested RSUs that have been settled in Class A common shares. Vested RSUs are settled in Class A common shares on a one-for-one basis. F4 · price: This reported transaction represents vested RSUs that have been settled in Class A common shares. Vested RSUs are settled in Class A common shares on a one-for-one basis. F2 · derivative.exercise_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2019 vesting start date. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F2 · derivative.expiration_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2019 vesting start date. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 16:55 UTC |
Kvalheim GrantSee Remarks
|
Exercise / conversionRestricted Stock Units · Derivative | 1,475 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-21-001051 · form4.xml · derivative · entry 5 Kvalheim Grant · CIK 0001689321 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Shares · 1,475 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 RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2018 vesting start date. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F4 · derivative.exercise_price: This reported transaction represents vested RSUs that have been settled in Class A common shares. Vested RSUs are settled in Class A common shares on a one-for-one basis. F4 · price: This reported transaction represents vested RSUs that have been settled in Class A common shares. Vested RSUs are settled in Class A common shares on a one-for-one basis. F1 · derivative.exercise_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2018 vesting start date. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. F1 · derivative.expiration_date: Each RSU represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2018 vesting start date. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 16:55 UTC |
Kvalheim GrantSee Remarks
|
Tax withholdingClass A Common Shares | 2,546 | $43.14 | $109,834.44 |
DisclosureSEC source: 0001127602-21-001051 · form4.xml · nonDerivative · entry 4 Kvalheim Grant · CIK 0001689321 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,650,713 F5 · shares: This reported transaction represents shares withheld to satisfy tax withholding obligations in connection with the settlement of vested RSUs that settled in Class A common shares. 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.