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Athene Holding Ltd.

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9807
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0001527469
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356

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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
February 24, 2020 Filed Feb 25, 2020 19:13 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionRestricted Stock Units · Derivative 28,387 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-007743 · 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: 0

Underlying: Class A Common Shares · 28,387 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.

F4 · derivative.exercise_price: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

F5 · derivative.exercise_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.

F5 · 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.

F4 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

F4 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

Read SEC document
February 24, 2020 Filed Feb 25, 2020 19:13 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Tax withholdingClass A Common Shares 14,075 $49.71 $699,668.25
Disclosure

SEC source: 0001127602-20-007743 · 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: 1,117,343

F6 · 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
February 24, 2020 Filed Feb 25, 2020 19:13 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionClass A Common Shares 28,387 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-007743 · 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: 1,131,418

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.

F5 · 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.

F5 · 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 24, 2020 Filed Feb 25, 2020 19:17 UTC
Kvalheim GrantSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 9,652 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-007752 · 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 · 9,652 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: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

F4 · derivative.exercise_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.

F4 · 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.

F3 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

F3 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

Read SEC document
February 24, 2020 Filed Feb 25, 2020 19:17 UTC
Kvalheim GrantSee Remarks
Tax withholdingClass A Common Shares 2,930 $49.71 $145,650.30
Disclosure

SEC source: 0001127602-20-007752 · form4.xml · nonDerivative · entry 2

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,639,826

F5 · 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
February 24, 2020 Filed Feb 25, 2020 19:17 UTC
Kvalheim GrantSee Remarks
Exercise / conversionClass A Common Shares 9,652 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-007752 · form4.xml · nonDerivative · entry 1

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,642,756

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 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.

F4 · 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 24, 2020 Filed Feb 26, 2020 00:20 UTC Exercise / conversionRestricted Stock Units · Derivative 17,033 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-007756 · 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 · 17,033 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: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

F4 · derivative.exercise_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.

F4 · 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.

F3 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

F3 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

Read SEC document
February 24, 2020 Filed Feb 26, 2020 00:20 UTC Tax withholdingClass A Common Shares 6,504 $49.71 $323,313.84
Disclosure

SEC source: 0001127602-20-007756 · form4.xml · nonDerivative · entry 2

WHEELER WILLIAM J · CIK 0001273281 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,909

F5 · 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
February 24, 2020 Filed Feb 26, 2020 00:20 UTC Exercise / conversionClass A Common Shares 17,033 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-007756 · form4.xml · nonDerivative · entry 1

WHEELER WILLIAM J · CIK 0001273281 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 468,413

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 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.

F4 · 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 24, 2020 Filed Feb 26, 2020 00:24 UTC
Klein Martin PExecutive VP and CFO
Exercise / conversionRestricted Stock Units · Derivative 11,356 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-007764 · 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 · 11,356 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: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

F4 · derivative.exercise_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.

F4 · 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.

F3 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

F3 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

Read SEC document
February 24, 2020 Filed Feb 26, 2020 00:24 UTC
Klein Martin PExecutive VP and CFO
Tax withholdingClass A Common Shares 3,540 $49.71 $175,973.40
Disclosure

SEC source: 0001127602-20-007764 · form4.xml · nonDerivative · entry 2

Klein Martin P · CIK 0001518052 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,735

F5 · 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
February 24, 2020 Filed Feb 26, 2020 00:24 UTC
Klein Martin PExecutive VP and CFO
Exercise / conversionClass A Common Shares 11,356 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-007764 · form4.xml · nonDerivative · entry 1

Klein Martin P · CIK 0001518052 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,275

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 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.

F4 · 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 24, 2020 Filed Feb 26, 2020 00:27 UTC
Rhodes John MSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 6,813 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-007768 · form4.xml · derivative · entry 5

Rhodes John M · CIK 0001657130 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Shares · 6,813 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: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

F4 · derivative.exercise_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.

F4 · 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.

F3 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

F3 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019.

Read SEC document
February 24, 2020 Filed Feb 26, 2020 00:27 UTC
Rhodes John MSee Remarks
Tax withholdingClass A Common Shares 2,260 $49.71 $112,344.60
Disclosure

SEC source: 0001127602-20-007768 · form4.xml · nonDerivative · entry 2

Rhodes John M · CIK 0001657130 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,360

F5 · 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
February 24, 2020 Filed Feb 26, 2020 00:27 UTC
Rhodes John MSee Remarks
Exercise / conversionClass A Common Shares 6,813 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-007768 · form4.xml · nonDerivative · entry 1

Rhodes John M · CIK 0001657130 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,620

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 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.

F4 · 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 21, 2020 Filed Feb 25, 2020 19:13 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
GrantRestricted Stock Units · Derivative 12,573 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-007743 · 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: 12,573

Underlying: Class A Common Shares · 12,573 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit ("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.exercise_date: Each restricted stock unit ("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 restricted stock unit ("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
February 21, 2020 Filed Feb 25, 2020 19:13 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
GrantEmployee Stock Option (Right to Buy) · Derivative 58,303 $0.00 Strike: $49.71 $0.00
Disclosure

SEC source: 0001127602-20-007743 · form4.xml · derivative · 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: 58,303

Underlying: Class A Common Shares · 58,303 shares

Expires 2030-02-21

F2 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2020 vesting start date.

Read SEC document
February 21, 2020 Filed Feb 25, 2020 19:13 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
GrantClass A Common Shares 19,216 $0.00 $19.22
Disclosure

SEC source: 0001127602-20-007743 · 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: 1,103,031

F1 · 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 21, 2020 Filed Feb 25, 2020 19:17 UTC
Kvalheim GrantSee Remarks
GrantRestricted Stock Units · Derivative 8,802 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-007752 · form4.xml · derivative · entry 4

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,802

Underlying: Class A Common Shares · 8,802 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("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.

F2 · derivative.exercise_date: Each restricted stock unit ("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.

F2 · derivative.expiration_date: Each restricted stock unit ("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
February 21, 2020 Filed Feb 25, 2020 19:17 UTC
Kvalheim GrantSee Remarks
GrantEmployee Stock Option (Right to Buy) · Derivative 40,812 $0.00 Strike: $49.71 $0.00
Disclosure

SEC source: 0001127602-20-007752 · form4.xml · derivative · entry 3

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,812

Underlying: Class A Common Shares · 40,812 shares

Expires 2030-02-21

F1 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2020 vesting start date.

Read SEC document
February 21, 2020 Filed Feb 25, 2020 19:32 UTC GrantRestricted Stock Units · Derivative 1,761 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-007773 · form4.xml · derivative · entry 2

Sondej John Andrew · CIK 0001298924 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,761

Underlying: Class A Common Shares · 1,761 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("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.

F2 · derivative.exercise_date: Each restricted stock unit ("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.

F2 · derivative.expiration_date: Each restricted stock unit ("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.

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February 21, 2020 Filed Feb 25, 2020 19:32 UTC GrantEmployee Stock Option (Right to Buy) · Derivative 8,163 $0.00 Strike: $49.71 $0.00
Disclosure

SEC source: 0001127602-20-007773 · form4.xml · derivative · entry 1

Sondej John Andrew · CIK 0001298924 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,163

Underlying: Class A Common Shares · 8,163 shares

Expires 2030-02-21

F1 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2020 vesting start date.

Read SEC document
February 21, 2020 Filed Feb 26, 2020 00:20 UTC GrantRestricted Stock Units · Derivative 10,059 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-007756 · form4.xml · derivative · entry 4

WHEELER WILLIAM J · CIK 0001273281 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,059

Underlying: Class A Common Shares · 10,059 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("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.

F2 · derivative.exercise_date: Each restricted stock unit ("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.

F2 · derivative.expiration_date: Each restricted stock unit ("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.

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February 21, 2020 Filed Feb 26, 2020 00:20 UTC GrantEmployee Stock Option (Right to Buy) · Derivative 46,642 $0.00 Strike: $49.71 $0.00
Disclosure

SEC source: 0001127602-20-007756 · form4.xml · derivative · entry 3

WHEELER WILLIAM J · CIK 0001273281 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,642

Underlying: Class A Common Shares · 46,642 shares

Expires 2030-02-21

F1 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2020 vesting start date.

Read SEC document
February 21, 2020 Filed Feb 26, 2020 00:24 UTC
Klein Martin PExecutive VP and CFO
GrantRestricted Stock Units · Derivative 8,550 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-007764 · form4.xml · derivative · entry 4

Klein Martin P · CIK 0001518052 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,550

Underlying: Class A Common Shares · 8,550 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("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.

F2 · derivative.exercise_date: Each restricted stock unit ("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.

F2 · derivative.expiration_date: Each restricted stock unit ("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.

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February 21, 2020 Filed Feb 26, 2020 00:24 UTC
Klein Martin PExecutive VP and CFO
GrantEmployee Stock Option (Right to Buy) · Derivative 39,646 $0.00 Strike: $49.71 $0.00
Disclosure

SEC source: 0001127602-20-007764 · form4.xml · derivative · entry 3

Klein Martin P · CIK 0001518052 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,646

Underlying: Class A Common Shares · 39,646 shares

Expires 2030-02-21

F1 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2020 vesting start date.

Read SEC document
February 21, 2020 Filed Feb 26, 2020 00:27 UTC
Rhodes John MSee Remarks
GrantRestricted Stock Units · Derivative 3,269 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-007768 · form4.xml · derivative · entry 4

Rhodes John M · CIK 0001657130 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,269

Underlying: Class A Common Shares · 3,269 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("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 6,538 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_date: Each restricted stock unit ("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 6,538 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.expiration_date: Each restricted stock unit ("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 6,538 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
February 21, 2020 Filed Feb 26, 2020 00:27 UTC
Rhodes John MSee Remarks
GrantEmployee Stock Option (Right to Buy) · Derivative 15,159 $0.00 Strike: $49.71 $0.00
Disclosure

SEC source: 0001127602-20-007768 · form4.xml · derivative · entry 3

Rhodes John M · CIK 0001657130 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,159

Underlying: Class A Common Shares · 15,159 shares

Expires 2030-02-21

F1 · derivative.exercise_date: This option vests ratably on each of the first three anniversaries of the January 1, 2020 vesting start date.

Read SEC document
February 18, 2020 Filed Feb 19, 2020 18:42 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
GrantRestricted Stock Units · Derivative 28,386 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-006555 · form4.xml · derivative · 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: 28,386

Underlying: Class A Common Shares · 28,386 shares

Expires not disclosed

F1 · derivative.exercise_price: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

F1 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

F1 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

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February 18, 2020 Filed Feb 19, 2020 18:44 UTC
Kvalheim GrantSee Remarks
GrantRestricted Stock Units · Derivative 9,652 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-006557 · form4.xml · derivative · entry 2

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,652

Underlying: Class A Common Shares · 9,652 shares

Expires not disclosed

F4 · derivative.exercise_price: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

F4 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

F4 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

Read SEC document
February 18, 2020 Filed Feb 19, 2020 23:49 UTC GrantRestricted Stock Units · Derivative 17,033 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-006561 · form4.xml · derivative · entry 1

WHEELER WILLIAM J · CIK 0001273281 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,033

Underlying: Class A Common Shares · 17,033 shares

Expires not disclosed

F1 · derivative.exercise_price: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

F1 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

F1 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

Read SEC document
February 18, 2020 Filed Feb 19, 2020 23:46 UTC
Klein Martin PExecutive VP and CFO
GrantRestricted Stock Units · Derivative 11,356 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-006559 · form4.xml · derivative · entry 1

Klein Martin P · CIK 0001518052 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,356

Underlying: Class A Common Shares · 11,356 shares

Expires not disclosed

F1 · derivative.exercise_price: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

F1 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

F1 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

Read SEC document
February 18, 2020 Filed Feb 19, 2020 23:51 UTC
Rhodes John MSee Remarks
GrantRestricted Stock Units · Derivative 6,813 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-006563 · form4.xml · derivative · entry 1

Rhodes John M · CIK 0001657130 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,813

Underlying: Class A Common Shares · 6,813 shares

Expires not disclosed

F1 · derivative.exercise_price: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

F1 · derivative.exercise_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

F1 · derivative.expiration_date: These performance-based restricted stock units ("PRSUs") were granted on March 21, 2017, but were conditional upon the Issuer satisfying certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019 (the "Performance Period"). On February 18, 2020, 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 vested for the Reporting Person. Each PRSU represents a contingent right to receive one Class A common share of the Issuer. The PRSUs vested on January 15, 2019 and will be settled in Class A common shares within 90 days of the vesting date.

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February 15, 2020 Filed Feb 19, 2020 18:44 UTC
Kvalheim GrantSee Remarks
Tax withholdingClass M-4 Prime Common Shares · Derivative 8,901.99 $14.05 Strike: $34.23 $125,072.96
Disclosure

SEC source: 0001127602-20-006557 · form4.xml · derivative · entry 1

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,507

Underlying: Class A Common Shares · 8,901.99 shares

Expires not disclosed

F1 · derivative.exercise_price: These Class M-4 Prime common shares are exchangeable into Class A common shares, on a one-to-one basis, once vested and upon payment of the conversion price (which can be paid in cash or shares).

F2 · shares: This reported transaction represents shares withheld to satisfy tax withholding obligations in connection with the vesting of Class M-4 Prime common shares. The price of derivative security represents the per share value of the Class M-4 Prime common shares used to calculate the number of shares withheld.

F1 · derivative.exercise_date: These Class M-4 Prime common shares are exchangeable into Class A common shares, on a one-to-one basis, once vested and upon payment of the conversion price (which can be paid in cash or shares).

F3 · derivative.exercise_date: One-third of these Class M-4 Prime common shares vest based on time, with such shares vesting ratably on each of the first five anniversaries of the February 15, 2016 vesting start date; one-third vest upon the trading price of the Class A common shares attaining a per-share volume weighted average closing trading price of $50 or more during any 120-day period (or upon a sale or change in control in which Class A common shares are valued at $50 or more); and one-third vest upon the trading price of the Class A common shares attaining a per-share volume weighted average closing trading price of $70 or more during any 120-day period (or upon a sale or change in control in which Class A common shares are valued at $70 or more). Once vested, these Class M-4 Prime common shares have no expiration date and can be converted at the holder's election into Class A common shares at any time. Any remaining unvested Class M-4 Prime common shares expire February 15, 2026.

F1 · derivative.expiration_date: These Class M-4 Prime common shares are exchangeable into Class A common shares, on a one-to-one basis, once vested and upon payment of the conversion price (which can be paid in cash or shares).

F3 · derivative.expiration_date: One-third of these Class M-4 Prime common shares vest based on time, with such shares vesting ratably on each of the first five anniversaries of the February 15, 2016 vesting start date; one-third vest upon the trading price of the Class A common shares attaining a per-share volume weighted average closing trading price of $50 or more during any 120-day period (or upon a sale or change in control in which Class A common shares are valued at $50 or more); and one-third vest upon the trading price of the Class A common shares attaining a per-share volume weighted average closing trading price of $70 or more during any 120-day period (or upon a sale or change in control in which Class A common shares are valued at $70 or more). Once vested, these Class M-4 Prime common shares have no expiration date and can be converted at the holder's election into Class A common shares at any time. Any remaining unvested Class M-4 Prime common shares expire February 15, 2026.

Read SEC document
January 10, 2020 Filed Jan 13, 2020 20:14 UTC SaleClass A Common Shares 8,000 $47.83 $382,640.00
Disclosure

SEC source: 0001127602-20-001483 · form4.xml · nonDerivative · entry 1

Ruisi Lawrence · CIK 0001312995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,125

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 June 5, 2019.

F2 · price: The shares were sold in multiple transactions at the price reported.

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January 02, 2020 Filed Jan 3, 2020 23:56 UTC GrantClass A Common Shares 3,155 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-000932 · form4.xml · nonDerivative · entry 1

O'Neill Mitra · CIK 0001761271 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,856

F1 · shares: This Form 4 is being filed to report a restricted share award of 3,155 Class A common shares which vest on the first anniversary of the vesting start date and immediately upon a sale or change in control of the Issuer.

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January 02, 2020 Filed Jan 3, 2020 18:20 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionRestricted Stock Units · Derivative 4,909 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-000879 · 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: 9,818

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.

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, 2019 vesting start date.

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, 2019 vesting start date.

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, 2019 vesting start date.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 18:20 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionRestricted Stock Units · Derivative 4,336 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-000879 · form4.xml · derivative · entry 8

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: 4,336

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.

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, 2018 vesting start date.

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, 2018 vesting start date.

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, 2018 vesting start date.

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January 02, 2020 Filed Jan 3, 2020 18:20 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionRestricted Stock Units · Derivative 4,066 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-000879 · 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: 0

Underlying: Class A Common Shares · 4,066 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("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, 2017 vesting start date. An additional 24,391 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019.

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 restricted stock unit ("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, 2017 vesting start date. An additional 24,391 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019.

F1 · derivative.expiration_date: Each restricted stock unit ("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, 2017 vesting start date. An additional 24,391 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 18:20 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Tax withholdingClass A Common Shares 7,903 $47.03 $371,678.09
Disclosure

SEC source: 0001127602-20-000879 · 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: 1,085,756

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 02, 2020 Filed Jan 3, 2020 18:20 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Tax withholdingClass A Common Shares 6,600 $47.03 $310,398.00
Disclosure

SEC source: 0001127602-20-000879 · 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: 1,091,718

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 02, 2020 Filed Jan 3, 2020 18:20 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionClass A Common Shares 4,909 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-000879 · 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: 1,098,318

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 02, 2020 Filed Jan 3, 2020 18:20 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionClass A Common Shares 4,336 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-000879 · 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: 1,093,409

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 02, 2020 Filed Jan 3, 2020 18:20 UTC
Belardi James RichardDirector · Chairman, CEO and CIO
Exercise / conversionClass A Common Shares 4,066 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-000879 · 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: 1,089,073

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 02, 2020 Filed Jan 3, 2020 18:47 UTC GrantClass A Common Shares 3,155 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-000921 · form4.xml · nonDerivative · entry 1

Puffer Manfred · CIK 0001691088 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,584

F1 · shares: This Form 4 is being filed to report a restricted share award of 3,155 Class A common shares which vest 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 02, 2020 Filed Jan 3, 2020 18:16 UTC
Kvalheim GrantSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 3,436 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-000871 · form4.xml · derivative · entry 7

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,873

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.

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, 2019 vesting start date.

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, 2019 vesting start date.

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, 2019 vesting start date.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 18:16 UTC
Kvalheim GrantSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 1,474 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-000871 · form4.xml · derivative · entry 6

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,475

Underlying: Class A Common Shares · 1,474 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, 2018 vesting start date.

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, 2018 vesting start date.

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, 2018 vesting start date.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 18:16 UTC
Kvalheim GrantSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 1,383 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-000871 · 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 · 1,383 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("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, 2017 vesting start date. An additional 8,293 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019.

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 restricted stock unit ("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, 2017 vesting start date. An additional 8,293 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019.

F1 · derivative.expiration_date: Each restricted stock unit ("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, 2017 vesting start date. An additional 8,293 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 18:16 UTC
Kvalheim GrantSee Remarks
Tax withholdingClass A Common Shares 2,055 $47.03 $96,646.65
Disclosure

SEC source: 0001127602-20-000871 · form4.xml · nonDerivative · entry 4

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,633,104

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 02, 2020 Filed Jan 3, 2020 18:16 UTC
Kvalheim GrantSee Remarks
Exercise / conversionClass A Common Shares 3,436 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-20-000871 · form4.xml · nonDerivative · entry 3

Kvalheim Grant · CIK 0001689321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,635,159

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

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