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ATH-PA

Athene Holding Ltd.

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9807
SEC CIK
0001527469
Parsed reports
356

Last 12 months

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0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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Dec 202500
Jan 202600
Feb 202600
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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 04, 2021 Filed Jan 6, 2021 16:55 UTC
Kvalheim GrantSee Remarks
Exercise / conversionClass A Common Shares 2,934 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001051 · form4.xml · nonDerivative · entry 3

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,653,259

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 16:55 UTC
Kvalheim GrantSee Remarks
Exercise / conversionClass A Common Shares 3,436 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001051 · form4.xml · nonDerivative · entry 2

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,650,325

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 16:55 UTC
Kvalheim GrantSee Remarks
Exercise / conversionClass A Common Shares 1,475 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001051 · form4.xml · nonDerivative · entry 1

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,646,889

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 16:48 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionRestricted Stock Units · Derivative 4,191 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001029 · form4.xml · derivative · entry 11

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: 8,382

Underlying: Class A Common Shares · 4,191 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 25,146 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 25,146 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 25,146 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 16:48 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionRestricted Stock Units · Derivative 4,909 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001029 · form4.xml · derivative · entry 10

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: 4,909

Underlying: Class A Common Shares · 4,909 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 16:48 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionRestricted Stock Units · Derivative 4,336 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001029 · form4.xml · derivative · entry 9

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: 0

Underlying: Class A Common Shares · 4,336 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 16:48 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Tax withholdingClass A Common Shares 7,167 $43.14 $309,184.38
Disclosure

SEC source: 0001127602-21-001029 · form4.xml · nonDerivative · entry 5

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: 917,405

F6 · shares: This reported transaction represents shares withheld to satisfy tax withholding obligations in connection with the vesting of restricted share awards.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 16:48 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Tax withholdingClass A Common Shares 6,207 $43.14 $267,769.98
Disclosure

SEC source: 0001127602-21-001029 · form4.xml · nonDerivative · entry 4

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: 924,572

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
January 04, 2021 Filed Jan 6, 2021 16:48 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionClass A Common Shares 4,191 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001029 · form4.xml · nonDerivative · entry 3

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: 930,779

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 16:48 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionClass A Common Shares 4,909 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001029 · 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: 926,588

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 16:48 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionClass A Common Shares 4,336 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001029 · 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: 921,679

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 22:23 UTC
Leach BrianDirector
GrantClass A Common Shares 3,573 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-001097 · form4.xml · nonDerivative · entry 1

Leach Brian · CIK 0001428954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,511

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 17:03 UTC Exercise / conversionRestricted Stock Units · Derivative 587 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001068 · form4.xml · derivative · entry 7

Sondej John Andrew · CIK 0001298924 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,174

Underlying: Class A Common Shares · 587 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 3,521 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 3,521 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 3,521 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 17:03 UTC Exercise / conversionRestricted Stock Units · Derivative 540 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001068 · form4.xml · derivative · entry 6

Sondej John Andrew · CIK 0001298924 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 540

Underlying: Class A Common Shares · 540 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. An additional 3,240 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2019 to December 31, 2021. 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. An additional 3,240 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2019 to December 31, 2021. 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. An additional 3,240 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2019 to December 31, 2021. 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 17:03 UTC Exercise / conversionRestricted Stock Units · Derivative 341 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001068 · form4.xml · derivative · entry 5

Sondej John Andrew · CIK 0001298924 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Shares · 341 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. An additional 2,046 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020. 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. An additional 2,046 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020. 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. An additional 2,046 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020. 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 17:03 UTC Tax withholdingClass A Common Shares 546 $43.14 $23,554.44
Disclosure

SEC source: 0001127602-21-001068 · form4.xml · nonDerivative · entry 4

Sondej John Andrew · CIK 0001298924 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,697

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
January 04, 2021 Filed Jan 6, 2021 17:03 UTC Exercise / conversionClass A Common Shares 587 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001068 · form4.xml · nonDerivative · entry 3

Sondej John Andrew · CIK 0001298924 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,243

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 17:03 UTC Exercise / conversionClass A Common Shares 540 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001068 · form4.xml · nonDerivative · entry 2

Sondej John Andrew · CIK 0001298924 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,656

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 17:03 UTC Exercise / conversionClass A Common Shares 341 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001068 · form4.xml · nonDerivative · entry 1

Sondej John Andrew · CIK 0001298924 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,116

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 23:08 UTC GrantClass A Common Shares 4,010 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-001133 · form4.xml · nonDerivative · entry 1

BEILINSON MARC A · CIK 0001279821 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,690

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 17:30 UTC GrantClass A Common Shares 3,573 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-001105 · form4.xml · nonDerivative · entry 1

WRUBEL ARTHUR · CIK 0001279098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,541

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 21:52 UTC Exercise / conversionRestricted Stock Units · Derivative 3,353 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001040 · form4.xml · derivative · entry 7

WHEELER WILLIAM J · CIK 0001273281 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,706

Underlying: Class A Common Shares · 3,353 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 20,117 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 20,117 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 20,117 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 21:52 UTC Exercise / conversionRestricted Stock Units · Derivative 3,927 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001040 · form4.xml · derivative · entry 6

WHEELER WILLIAM J · CIK 0001273281 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,928

Underlying: Class A Common Shares · 3,927 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 21:52 UTC Exercise / conversionRestricted Stock Units · Derivative 2,602 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001040 · form4.xml · derivative · entry 5

WHEELER WILLIAM J · CIK 0001273281 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Shares · 2,602 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 21:52 UTC Tax withholdingClass A Common Shares 3,522 $43.14 $151,939.08
Disclosure

SEC source: 0001127602-21-001040 · form4.xml · nonDerivative · entry 4

WHEELER WILLIAM J · CIK 0001273281 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 534,619

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
January 04, 2021 Filed Jan 6, 2021 21:52 UTC Exercise / conversionClass A Common Shares 3,353 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001040 · form4.xml · nonDerivative · entry 3

WHEELER WILLIAM J · CIK 0001273281 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 538,141

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 21:52 UTC Exercise / conversionClass A Common Shares 3,927 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001040 · form4.xml · nonDerivative · entry 2

WHEELER WILLIAM J · CIK 0001273281 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 534,788

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 21:52 UTC Exercise / conversionClass A Common Shares 2,602 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001040 · form4.xml · nonDerivative · entry 1

WHEELER WILLIAM J · CIK 0001273281 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 530,861

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 17:21 UTC GrantClass A Common Shares 3,573 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-001095 · form4.xml · nonDerivative · entry 1

MCCALL H CARL · CIK 0001223627 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,541

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 22:45 UTC
SWANN LYNN CDirector
GrantClass A Common Shares 3,573 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-001123 · form4.xml · nonDerivative · entry 1

SWANN LYNN C · CIK 0001253486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,796

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 17:37 UTC GrantClass A Common Shares 3,573 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-001114 · form4.xml · nonDerivative · entry 1

Ruisi Lawrence · CIK 0001312995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,065

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 21:59 UTC
Klein Martin PExecutive VP and CFO
Exercise / conversionRestricted Stock Units · Derivative 2,850 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001059 · form4.xml · derivative · entry 7

Klein Martin P · CIK 0001518052 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,700

Underlying: Class A Common Shares · 2,850 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 17,100 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 17,100 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 17,100 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 21:59 UTC
Klein Martin PExecutive VP and CFO
Exercise / conversionRestricted Stock Units · Derivative 3,338 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001059 · form4.xml · derivative · entry 6

Klein Martin P · CIK 0001518052 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,339

Underlying: Class A Common Shares · 3,338 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 21:59 UTC
Klein Martin PExecutive VP and CFO
Exercise / conversionRestricted Stock Units · Derivative 1,735 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001059 · form4.xml · derivative · entry 5

Klein Martin P · CIK 0001518052 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Shares · 1,735 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 21:59 UTC
Klein Martin PExecutive VP and CFO
Tax withholdingClass A Common Shares 2,584 $43.14 $111,473.76
Disclosure

SEC source: 0001127602-21-001059 · form4.xml · nonDerivative · entry 4

Klein Martin P · CIK 0001518052 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,788

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
January 04, 2021 Filed Jan 6, 2021 21:59 UTC
Klein Martin PExecutive VP and CFO
Exercise / conversionClass A Common Shares 2,850 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001059 · form4.xml · nonDerivative · entry 3

Klein Martin P · CIK 0001518052 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,372

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 21:59 UTC
Klein Martin PExecutive VP and CFO
Exercise / conversionClass A Common Shares 3,338 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001059 · form4.xml · nonDerivative · entry 2

Klein Martin P · CIK 0001518052 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,522

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 21:59 UTC
Klein Martin PExecutive VP and CFO
Exercise / conversionClass A Common Shares 1,735 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001059 · form4.xml · nonDerivative · entry 1

Klein Martin P · CIK 0001518052 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,184

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 22:33 UTC
Taitz Hope SDirector
GrantClass A Common Shares 3,573 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-001108 · form4.xml · nonDerivative · entry 1

Taitz Hope S · CIK 0001525808 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,198

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 22:26 UTC GrantClass A Common Shares 3,573 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-001100 · form4.xml · nonDerivative · entry 1

Zeko Fehmi Alexander · CIK 0001733826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,938

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 22:19 UTC GrantClass A Common Shares 3,573 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-001093 · form4.xml · nonDerivative · entry 1

Borden Robert L · CIK 0001592214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,107

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 22:08 UTC
Niemann Douglas BartlettEVP and Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 1,377 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001081 · form4.xml · derivative · entry 3

Niemann Douglas Bartlett · CIK 0001836389 · EVP and Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,756

Underlying: Class A Common Shares · 1,377 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, 2020 vesting start date. An additional 8,265 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.

F2 · 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.

F2 · 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, 2020 vesting start date. An additional 8,265 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.

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, 2020 vesting start date. An additional 8,265 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 22:08 UTC
Niemann Douglas BartlettEVP and Chief Risk Officer
Tax withholdingClass A Common Shares 505 $43.14 $21,785.70
Disclosure

SEC source: 0001127602-21-001081 · form4.xml · nonDerivative · entry 2

Niemann Douglas Bartlett · CIK 0001836389 · EVP and Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 872

F3 · 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
January 04, 2021 Filed Jan 6, 2021 22:08 UTC
Niemann Douglas BartlettEVP and Chief Risk Officer
Exercise / conversionClass A Common Shares 1,377 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001081 · form4.xml · nonDerivative · entry 1

Niemann Douglas Bartlett · CIK 0001836389 · EVP and Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,377

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 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 · 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 22:05 UTC
Golden John LeonardEVP and General Counsel
Exercise / conversionRestricted Stock Units · Derivative 1,509 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001075 · form4.xml · derivative · entry 7

Golden John Leonard · CIK 0001836613 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,018

Underlying: Class A Common Shares · 1,509 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 9,053 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 9,053 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 9,053 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.

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January 04, 2021 Filed Jan 6, 2021 22:05 UTC
Golden John LeonardEVP and General Counsel
Exercise / conversionRestricted Stock Units · Derivative 1,767 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001075 · form4.xml · derivative · entry 6

Golden John Leonard · CIK 0001836613 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,768

Underlying: Class A Common Shares · 1,767 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. An additional 10,604 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2019 to December 31, 2021. 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. An additional 10,604 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2019 to December 31, 2021. 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. An additional 10,604 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2019 to December 31, 2021. 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.

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January 04, 2021 Filed Jan 6, 2021 22:05 UTC
Golden John LeonardEVP and General Counsel
Exercise / conversionRestricted Stock Units · Derivative 694 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001075 · form4.xml · derivative · entry 5

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 · 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: 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. An additional 4,163 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020. 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. An additional 4,163 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020. 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. An additional 4,163 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020. 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.

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January 04, 2021 Filed Jan 6, 2021 22:05 UTC
Golden John LeonardEVP and General Counsel
Tax withholdingClass A Common Shares 2,175 $43.14 $93,829.50
Disclosure

SEC source: 0001127602-21-001075 · form4.xml · nonDerivative · entry 4

Golden John Leonard · CIK 0001836613 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,696

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.

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January 04, 2021 Filed Jan 6, 2021 22:05 UTC
Golden John LeonardEVP and General Counsel
Exercise / conversionClass A Common Shares 1,509 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001075 · form4.xml · nonDerivative · entry 3

Golden John Leonard · CIK 0001836613 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,871

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.

F4 · shares: 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.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 22:05 UTC
Golden John LeonardEVP and General Counsel
Exercise / conversionClass A Common Shares 1,767 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-21-001075 · form4.xml · nonDerivative · entry 2

Golden John Leonard · CIK 0001836613 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,362

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.

F4 · shares: 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.