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BLACKROCK FLOATING RATE INCOME STRATEGIES FUND, INC.

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8894
SEC CIK
0001259708
Parsed reports
46

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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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 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 29, 2021 Filed Feb 3, 2021 00:35 UTC
Delbos DavidPortfolio Manager
Exercise / conversionCommon Stock 2,808.5812 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-004307 · doc4.xml · nonDerivative · entry 1

Delbos David · CIK 0001743894 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,661.6072

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

F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · price: As previously reported on a Form 4 dated February 4, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 20:54 UTC
Parzanese AbigailPortfolio Manager
GrantPhantom Shares · Derivative 291.2723 $13.47 $3,923.44
Disclosure

SEC source: 0000899243-20-003054 · doc4.xml · derivative · entry 1

Apistolas Abigail · CIK 0001743890 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291.2723

Underlying: Common Stock · 291.2723 shares

Expires not disclosed

F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 19:49 UTC
Garfin MitchellPortfolio Manager
GrantPhantom Shares · Derivative 5,038.9755 $13.47 $67,875.00
Disclosure

SEC source: 0000899243-20-002913 · doc4.xml · derivative · entry 1

Garfin Mitchell · CIK 0001464011 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,038.9755

Underlying: Common Stock · 5,038.9755 shares

Expires not disclosed

F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

Read SEC document
January 31, 2020 Filed Feb 5, 2020 01:32 UTC
Wilson CarlyPortfolio Manager
GrantPhantom Shares · Derivative 2,213.2517 $13.47 $29,812.50
Disclosure

SEC source: 0000899243-20-003001 · doc4.xml · derivative · entry 1

Wilson Carly · CIK 0001743893 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,213.2517

Underlying: Common Stock · 2,213.2517 shares

Expires not disclosed

F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

Read SEC document
January 31, 2020 Filed Feb 5, 2020 00:40 UTC
Delbos DavidPortfolio Manager
GrantPhantom Shares · Derivative 7,883.9087 $13.47 $106,196.25
Disclosure

SEC source: 0000899243-20-002902 · doc4.xml · derivative · entry 1

Delbos David · CIK 0001743894 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,883.9087

Underlying: Common Stock · 7,883.9087 shares

Expires not disclosed

F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 18:50 UTC
Tarnow JoshuaPortfolio Manager
Exercise / conversionPhantom Shares · Derivative 5,020.66 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-007075 · doc4.xml · derivative · entry 5

Tarnow Joshua · CIK 0001673303 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,020.66

Underlying: Common Stock · 5,020.66 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: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F3 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F3 · price: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F3 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F3 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 18:50 UTC
Tarnow JoshuaPortfolio Manager
Exercise / conversionPhantom Shares · Derivative 4,703.32 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-007075 · doc4.xml · derivative · entry 4

Tarnow Joshua · CIK 0001673303 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,406.65

Underlying: Common Stock · 4,703.32 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: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · price: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 18:50 UTC
Tarnow JoshuaPortfolio Manager
GrantPhantom Shares · Derivative 13,092.17 $12.54 $164,175.81
Disclosure

SEC source: 0001209191-19-007075 · doc4.xml · derivative · entry 3

Tarnow Joshua · CIK 0001673303 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,092.17

Underlying: Common Stock · 13,092.17 shares

Expires not disclosed

F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F4 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F4 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F4 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 18:50 UTC
Tarnow JoshuaPortfolio Manager
Disposition to issuerCommon Stock 9,723.99 $12.54 $121,938.83
Disclosure

SEC source: 0001209191-19-007075 · doc4.xml · nonDerivative · entry 2

Tarnow Joshua · CIK 0001673303 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · price: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F3 · price: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 18:50 UTC
Tarnow JoshuaPortfolio Manager
Exercise / conversionCommon Stock 9,723.99 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-007075 · doc4.xml · nonDerivative · entry 1

Tarnow Joshua · CIK 0001673303 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,723.99

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

F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · price: As previously reported on a Form 4 dated February 2, 2018, the Reporting Person was granted phantom shares on January 31, 2018 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F3 · price: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

Read SEC document
January 16, 2019 Filed Jan 17, 2019 10:26 UTC
GABBAY HENRYDirector
PurchaseCommon Stock 90 $12.47 $1,122.30
Disclosure

SEC source: 0001209191-19-004040 · doc4.xml · nonDerivative · entry 1

GABBAY HENRY · CIK 0001059243 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

Read SEC document
January 15, 2019 Filed Jan 16, 2019 11:22 UTC
GABBAY HENRYDirector
PurchaseCommon Stock 10 $12.48 $124.80
Disclosure

SEC source: 0001209191-19-003866 · doc4.xml · nonDerivative · entry 1

GABBAY HENRY · CIK 0001059243 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10

Read SEC document
January 31, 2018 Filed Feb 2, 2018 17:33 UTC
Tarnow JoshuaPortfolio Manager
Exercise / conversionPhantom Shares · Derivative 4,723.48 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-007088 · doc4.xml · derivative · entry 4

Tarnow Joshua · CIK 0001673303 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,446.96

Underlying: Common Stock · 4,723.48 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: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · price: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

Read SEC document
January 31, 2018 Filed Feb 2, 2018 17:33 UTC
Tarnow JoshuaPortfolio Manager
GrantPhantom Shares · Derivative 13,330.75 $14.22 $189,563.27
Disclosure

SEC source: 0001209191-18-007088 · doc4.xml · derivative · entry 3

Tarnow Joshua · CIK 0001673303 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,330.75

Underlying: Common Stock · 13,330.75 shares

Expires not disclosed

F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F3 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F3 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F3 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

Read SEC document
January 31, 2018 Filed Feb 2, 2018 17:33 UTC
Tarnow JoshuaPortfolio Manager
Disposition to issuerCommon Stock 4,723.48 $14.22 $67,167.89
Disclosure

SEC source: 0001209191-18-007088 · doc4.xml · nonDerivative · entry 2

Tarnow Joshua · CIK 0001673303 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · price: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

Read SEC document
January 31, 2018 Filed Feb 2, 2018 17:33 UTC
Tarnow JoshuaPortfolio Manager
Exercise / conversionCommon Stock 4,723.48 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-007088 · doc4.xml · nonDerivative · entry 1

Tarnow Joshua · CIK 0001673303 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,723.48

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

F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · price: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

Read SEC document
January 31, 2018 Filed Feb 2, 2018 17:21 UTC
Marshall Adrian CPortfolio Manager
Exercise / conversionPhantom Shares · Derivative 663.13 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-007050 · doc4.xml · derivative · entry 4

Marshall Adrian C · CIK 0001463985 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,326.27

Underlying: Common Stock · 663.13 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: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_price: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · price: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.exercise_date: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · derivative.expiration_date: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

Read SEC document
January 31, 2018 Filed Feb 2, 2018 17:21 UTC
Marshall Adrian CPortfolio Manager
GrantPhantom Shares · Derivative 4,086.57 $14.22 $58,111.03
Disclosure

SEC source: 0001209191-18-007050 · doc4.xml · derivative · entry 3

Marshall Adrian C · CIK 0001463985 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,086.57

Underlying: Common Stock · 4,086.57 shares

Expires not disclosed

F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F3 · derivative.exercise_price: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F3 · derivative.exercise_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F3 · derivative.expiration_date: These phantom shares vest in equal installments on each of the first three anniversaries of the award.

Read SEC document
January 31, 2018 Filed Feb 2, 2018 17:21 UTC
Marshall Adrian CPortfolio Manager
Disposition to issuerCommon Stock 663.13 $14.22 $9,429.71
Disclosure

SEC source: 0001209191-18-007050 · doc4.xml · nonDerivative · entry 2

Marshall Adrian C · CIK 0001463985 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,150

F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · price: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

Read SEC document
January 31, 2018 Filed Feb 2, 2018 17:21 UTC
Marshall Adrian CPortfolio Manager
Exercise / conversionCommon Stock 663.13 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-007050 · doc4.xml · nonDerivative · entry 1

Marshall Adrian C · CIK 0001463985 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,813.13

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

F1 · price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.

F2 · price: As previously reported on a Form 4 dated February 2, 2017, the Reporting Person was granted phantom shares on January 31, 2017 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.

Read SEC document
January 31, 2017 Filed Feb 2, 2017 13:52 UTC
Tarnow JoshuaPortfolio Manager
GrantPhantom Shares · Derivative 13,456.11 $14.61 $196,593.77
Disclosure

SEC source: 0001209191-17-007001 · doc4.xml · derivative · entry 1

Tarnow Joshua · CIK 0001673303 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,456.11

Underlying: Common Stock · 13,456.11 shares

Expires not disclosed

F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. These phantom shares vest in equal installments on each of the first three anniversaries of the award.

Read SEC document
January 31, 2017 Filed Feb 2, 2017 13:45 UTC
Marshall Adrian CPortfolio Manager
GrantPhantom Shares · Derivative 1,889.12 $14.61 $27,600.04
Disclosure

SEC source: 0001209191-17-006981 · doc4.xml · derivative · entry 1

Marshall Adrian C · CIK 0001463985 · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,889.12

Underlying: Common Stock · 1,889.12 shares

Expires not disclosed

F1 · derivative.exercise_price: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.exercise_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. These phantom shares vest in equal installments on each of the first three anniversaries of the award.

F1 · derivative.expiration_date: A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. These phantom shares vest in equal installments on each of the first three anniversaries of the award.

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.