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HORNBECK OFFSHORE SERVICES, INC.

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705
SEC CIK
0000866829
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351

Last 12 months

Inside the activity.

0 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 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 01, 2025 Filed Jan 3, 2025 22:14 UTC
Neikirk Kenneth EnglishEVP, GEN COUNSEL & SECRETARY
Disposition to issuerCommon Stock 15,402 $9.32 $143,546.64
Disclosure

SEC source: 0001415889-25-000561 · form4-01032025_100106.xml · nonDerivative · entry 2

Neikirk Kenneth English · CIK 0001775345 · EVP, GEN COUNSEL & SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,549

F2 · shares: The Compensation Committee of the Company's Board of Directors (the "Compensation Committee") elected to pay in cash the value of the 2024 RSUs for which forfeiture restrictions lapsed.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 22:14 UTC
Neikirk Kenneth EnglishEVP, GEN COUNSEL & SECRETARY
Exercise / conversionCommon Stock 15,402 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-000561 · form4-01032025_100106.xml · nonDerivative · entry 1

Neikirk Kenneth English · CIK 0001775345 · EVP, GEN COUNSEL & SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,951

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: Each Restricted Stock Unit ("2024 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2024 RSUs on January 1, 2025, forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 1, 2026 and forfeiture restrictions with respect to the last one-third of the grant will lapse on January 1, 2027.

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January 01, 2025 Filed Jan 3, 2025 22:07 UTC GrantPerformance Share Units · Derivative 147,532 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-000549 · form4-01032025_100111.xml · derivative · entry 5

Sparks Scott Andrew · CIK 0001640450 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,532

Underlying: Common Stock · 147,532 shares

Expires not disclosed

F6 · derivative.exercise_price: This Performance Share Unit ("2025 PSU") award was granted pursuant to the LTIP and each 2025 PSU represents the contingent right to receive one share of Company common stock. Actual number of 2025 PSUs upon vesting may range from 0% to 200% dependent on the Company's performance over the three-year period from January 1, 2025 through December 31, 2027. Upon 2025 PSU vesting, the Compensation Committee has the option to pay the value in cash at its discretion.

F7 · shares: Amount reported represents 200% of the number of 2025 PSUs granted and is the maximum number that may be earned.

F6 · derivative.exercise_date: This Performance Share Unit ("2025 PSU") award was granted pursuant to the LTIP and each 2025 PSU represents the contingent right to receive one share of Company common stock. Actual number of 2025 PSUs upon vesting may range from 0% to 200% dependent on the Company's performance over the three-year period from January 1, 2025 through December 31, 2027. Upon 2025 PSU vesting, the Compensation Committee has the option to pay the value in cash at its discretion.

F8 · derivative.expiration_date: Upon payment of the 2025 PSUs, which shall occur no later than March 15, 2028.

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January 01, 2025 Filed Jan 3, 2025 22:07 UTC GrantRestricted Stock Units · Derivative 73,766 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-000549 · form4-01032025_100111.xml · derivative · entry 4

Sparks Scott Andrew · CIK 0001640450 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,766

Underlying: Common Stock · 73,766 shares

Expires not disclosed

F4 · derivative.exercise_price: This Restricted Stock Unit ("2025 RSU") award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024, the "LTIP") and each 2025 RSU represents the contingent right to receive one share of Company common stock. Forfeiture restrictions will lapse with respect to the 2025 RSUs granted on the basis of one-third of the grant on January 1, 2026, an additional one-third of the grant on January 1, 2027 and the remaining one-third of the grant on January 1, 2028. Upon each 2025 RSU vesting, the Compensation Committee has the option to pay the value in cash at its discretion.

F4 · derivative.exercise_date: This Restricted Stock Unit ("2025 RSU") award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024, the "LTIP") and each 2025 RSU represents the contingent right to receive one share of Company common stock. Forfeiture restrictions will lapse with respect to the 2025 RSUs granted on the basis of one-third of the grant on January 1, 2026, an additional one-third of the grant on January 1, 2027 and the remaining one-third of the grant on January 1, 2028. Upon each 2025 RSU vesting, the Compensation Committee has the option to pay the value in cash at its discretion.

F5 · derivative.expiration_date: Upon lapse of the forfeiture restrictions of the 2025 RSUs.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 22:07 UTC Exercise / conversionRestricted Stock Units · Derivative 22,292 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-000549 · form4-01032025_100111.xml · derivative · entry 3

Sparks Scott Andrew · CIK 0001640450 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,585

Underlying: Common Stock · 22,292 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 ("2024 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2024 RSUs on January 1, 2025, forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 1, 2026 and forfeiture restrictions with respect to the last one-third of the grant will lapse on January 1, 2027.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("2024 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2024 RSUs on January 1, 2025, forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 1, 2026 and forfeiture restrictions with respect to the last one-third of the grant will lapse on January 1, 2027.

F3 · derivative.expiration_date: Upon lapse of the forfeiture restrictions of the 2024 RSUs.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 22:07 UTC Disposition to issuerCommon Stock 22,292 $9.32 $207,761.44
Disclosure

SEC source: 0001415889-25-000549 · form4-01032025_100111.xml · nonDerivative · entry 2

Sparks Scott Andrew · CIK 0001640450 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,634

F2 · shares: The Compensation Committee of the Company's Board of Directors (the "Compensation Committee") elected to pay in cash the value of the 2024 RSUs for which forfeiture restrictions lapsed.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 22:07 UTC Exercise / conversionCommon Stock 22,292 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-000549 · form4-01032025_100111.xml · nonDerivative · entry 1

Sparks Scott Andrew · CIK 0001640450 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,926

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: Each Restricted Stock Unit ("2024 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2024 RSUs on January 1, 2025, forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 1, 2026 and forfeiture restrictions with respect to the last one-third of the grant will lapse on January 1, 2027.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 22:03 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
GrantPerformance Share Units · Derivative 386,266 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-000533 · form4-01032025_100100.xml · derivative · entry 5

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 386,266

Underlying: Common Stock · 386,266 shares

Expires not disclosed

F7 · derivative.exercise_price: This Performance Share Unit ("2025 PSU") award was granted pursuant to the LTIP and each 2025 PSU represents the contingent right to receive one share of Company common stock. Actual number of 2025 PSUs upon vesting may range from 0% to 200% dependent on the Company's performance over the three-year period from January 1, 2025 through December 31, 2027. Upon 2025 PSU vesting, the Compensation Committee has the option to pay the value in cash at its discretion.

F8 · shares: Amount reported represents 200% of the number of 2025 PSUs granted and is the maximum number that may be earned.

F7 · derivative.exercise_date: This Performance Share Unit ("2025 PSU") award was granted pursuant to the LTIP and each 2025 PSU represents the contingent right to receive one share of Company common stock. Actual number of 2025 PSUs upon vesting may range from 0% to 200% dependent on the Company's performance over the three-year period from January 1, 2025 through December 31, 2027. Upon 2025 PSU vesting, the Compensation Committee has the option to pay the value in cash at its discretion.

F9 · derivative.expiration_date: Upon payment of the 2025 PSUs, which shall occur no later than March 15, 2028.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 22:03 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
GrantRestricted Stock Units · Derivative 193,133 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-000533 · form4-01032025_100100.xml · derivative · entry 4

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 193,133

Underlying: Common Stock · 193,133 shares

Expires not disclosed

F5 · derivative.exercise_price: This Restricted Stock Unit ("2025 RSU") award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024, the "LTIP") and each 2025 RSU represents the contingent right to receive one share of Company common stock. Forfeiture restrictions will lapse with respect to the 2025 RSUs granted on the basis of one-third of the grant on January 1, 2026, an additional one-third of the grant on January 1, 2027 and the remaining one-third of the grant on January 1, 2028. Upon each 2025 RSU vesting, the Compensation Committee has the option to pay the value in cash at its discretion.

F5 · derivative.exercise_date: This Restricted Stock Unit ("2025 RSU") award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024, the "LTIP") and each 2025 RSU represents the contingent right to receive one share of Company common stock. Forfeiture restrictions will lapse with respect to the 2025 RSUs granted on the basis of one-third of the grant on January 1, 2026, an additional one-third of the grant on January 1, 2027 and the remaining one-third of the grant on January 1, 2028. Upon each 2025 RSU vesting, the Compensation Committee has the option to pay the value in cash at its discretion.

F6 · derivative.expiration_date: Upon lapse of the forfeiture restrictions of the 2025 RSUs.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 22:03 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
Exercise / conversionRestricted Stock Units · Derivative 58,365 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-000533 · form4-01032025_100100.xml · derivative · entry 3

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,732

Underlying: Common Stock · 58,365 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 ("2024 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2024 RSUs on January 1, 2025, forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 1, 2026 and forfeiture restrictions with respect to the last one-third of the grant will lapse on January 1, 2027.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("2024 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2024 RSUs on January 1, 2025, forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 1, 2026 and forfeiture restrictions with respect to the last one-third of the grant will lapse on January 1, 2027.

F4 · derivative.expiration_date: Upon lapse of the forfeiture restrictions of the 2024 RSUs.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 22:03 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
Disposition to issuerCommon Stock 58,365 $9.32 $543,961.80
Disclosure

SEC source: 0001415889-25-000533 · form4-01032025_100100.xml · nonDerivative · entry 2

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,171,860

F3 · shares: The Compensation Committee of the Company's Board of Directors (the "Compensation Committee") elected to pay in cash the value of the 2024 RSUs for which forfeiture restrictions lapsed.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 22:03 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
Exercise / conversionCommon Stock 58,365 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-000533 · form4-01032025_100100.xml · nonDerivative · entry 1

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,230,225

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: Each Restricted Stock Unit ("2024 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2024 RSUs on January 1, 2025, forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 1, 2026 and forfeiture restrictions with respect to the last one-third of the grant will lapse on January 1, 2027.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 21:16 UTC Tax withholdingCommon Stock 983 $9.32 $9,161.56
Disclosure

SEC source: 0001415889-25-000416 · form4-01032025_090126.xml · nonDerivative · entry 1

Little Thomas Mitchell · CIK 0001567226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,207

F1 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's restricted stock awards.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 21:13 UTC
Harris PaulaDirector
GrantCommon Stock 3,018 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-000398 · form4-01032025_090154.xml · nonDerivative · entry 2

Harris Paula · CIK 0001880259 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,214

F2 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024) and therefore has no purchase or sales price. This restricted stock award was received in lieu of quarterly fees related to the reporting person's service on the Board of Directors and its committees.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 21:13 UTC
Harris PaulaDirector
Tax withholdingCommon Stock 2,588 $9.32 $24,120.16
Disclosure

SEC source: 0001415889-25-000398 · form4-01032025_090154.xml · nonDerivative · entry 1

Harris Paula · CIK 0001880259 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,196

F1 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's restricted stock awards.

Read SEC document
December 30, 2024 Filed Jan 2, 2025 21:30 UTC
Neikirk Kenneth EnglishEVP, GEN COUNSEL & SECRETARY
SaleCommon Stock 83,991 $9.17 $770,197.47
Disclosure

SEC source: 0001415889-25-000101 · form4-01022025_090150.xml · nonDerivative · entry 1

Neikirk Kenneth English · CIK 0001775345 · EVP, GEN COUNSEL & SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,549

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.025 to $9.28, inclusive. The reporting person undertakes to provide Helix Energy Solutions Group, Inc., any security holder of Helix Energy Solutions Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.

Read SEC document
December 11, 2024 Filed Dec 12, 2024 21:24 UTC
Nelson Amy HDirector
GrantCommon Stock 14,881 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-029098 · form4-12122024_091254.xml · nonDerivative · entry 1

Nelson Amy H · CIK 0001599571 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,479

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024) and therefore has no purchase or sales price.

Read SEC document
December 11, 2024 Filed Dec 12, 2024 21:28 UTC GrantCommon Stock 14,881 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-029102 · form4-12122024_091258.xml · nonDerivative · entry 1

TRANSIER WILLIAM L · CIK 0001187452 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,591

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024) and therefore has no purchase or sales price.

Read SEC document
December 11, 2024 Filed Dec 12, 2024 21:20 UTC
LOVOI JOHNDirector
GrantCommon Stock 14,881 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-029096 · form4-12122024_091228.xml · nonDerivative · entry 1

LOVOI JOHN · CIK 0001271502 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 372,137

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024) and therefore has no purchase or sales price.

Read SEC document
December 11, 2024 Filed Dec 12, 2024 21:17 UTC GrantCommon Stock 14,881 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-029094 · form4-12122024_091211.xml · nonDerivative · entry 1

Little Thomas Mitchell · CIK 0001567226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,190

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024) and therefore has no purchase or sales price.

Read SEC document
December 11, 2024 Filed Dec 12, 2024 21:14 UTC
Harris PaulaDirector
GrantCommon Stock 14,881 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-029091 · form4-12122024_091259.xml · nonDerivative · entry 1

Harris Paula · CIK 0001880259 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,784

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024) and therefore has no purchase or sales price.

Read SEC document
December 11, 2024 Filed Dec 12, 2024 21:09 UTC GrantCommon Stock 14,881 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-029087 · form4-12122024_091223.xml · nonDerivative · entry 2

Glassman Diana · CIK 0001946868 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,014

F2 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024) and therefore has no purchase or sales price.

Read SEC document
December 10, 2024 Filed Dec 12, 2024 21:12 UTC SaleCommon Stock 170,000 $9.87 $1,678,155.00
Disclosure

SEC source: 0001415889-24-029089 · form4-12122024_091213.xml · nonDerivative · entry 1

Sparks Scott Andrew · CIK 0001640450 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,634

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.80 to $10.02, inclusive. The reporting person undertakes to provide Helix Energy Solutions Group, Inc., any security holder of Helix Energy Solutions Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.

Read SEC document
December 10, 2024 Filed Dec 12, 2024 21:09 UTC SaleCommon Stock 16,000 $9.94 $159,056.00
Disclosure

SEC source: 0001415889-24-029087 · form4-12122024_091223.xml · nonDerivative · entry 1

Glassman Diana · CIK 0001946868 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,133

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.82 to $10.06, inclusive. The reporting person undertakes to provide Helix Energy Solutions Group, Inc., any security holder of Helix Energy Solutions Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.

Read SEC document
December 06, 2024 Filed Dec 9, 2024 22:27 UTC Tax withholdingCommon Stock 6,293 $10.49 $66,013.57
Disclosure

SEC source: 0001415889-24-028679 · form4-12092024_101202.xml · nonDerivative · entry 1

TRANSIER WILLIAM L · CIK 0001187452 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,710

F1 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's restricted stock award.

Read SEC document
December 06, 2024 Filed Dec 9, 2024 22:25 UTC
Nelson Amy HDirector
Tax withholdingCommon Stock 6,293 $10.49 $66,013.57
Disclosure

SEC source: 0001415889-24-028677 · form4-12092024_101230.xml · nonDerivative · entry 1

Nelson Amy H · CIK 0001599571 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,598

F1 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's restricted stock award.

Read SEC document
December 06, 2024 Filed Dec 9, 2024 22:23 UTC Tax withholdingCommon Stock 5,443 $10.49 $57,097.07
Disclosure

SEC source: 0001415889-24-028676 · form4-12092024_101204.xml · nonDerivative · entry 1

Little Thomas Mitchell · CIK 0001567226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,309

F1 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's restricted stock award.

Read SEC document
December 06, 2024 Filed Dec 9, 2024 22:21 UTC
Harris PaulaDirector
Tax withholdingCommon Stock 3,742 $10.49 $39,253.58
Disclosure

SEC source: 0001415889-24-028675 · form4-12092024_101221.xml · nonDerivative · entry 1

Harris Paula · CIK 0001880259 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,903

F1 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's restricted stock award.

Read SEC document
October 03, 2024 Filed Oct 4, 2024 20:08 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
SaleCommon Stock 298,419 $11.92 $3,558,198.95
Disclosure

SEC source: 0001415889-24-024752 · form4-10042024_081018.xml · nonDerivative · entry 1

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,171,860

F1 · shares: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan established by the reporting person on June 18, 2024.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.50 to $12.29, inclusive. The reporting person undertakes to provide Helix Energy Solutions Group, Inc., any security holder of Helix Energy Solutions Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4

F3 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

Read SEC document
October 01, 2024 Filed Oct 2, 2024 20:10 UTC
Harris PaulaDirector
GrantCommon Stock 2,534 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-024379 · form4-10022024_081010.xml · nonDerivative · entry 1

Harris Paula · CIK 0001880259 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,645

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024) and therefore has no purchase or sales price. The restricted stock award was received in lieu of quarterly fees related to the reporting person's service on the Board of Directors and its committees.

Read SEC document
July 01, 2024 Filed Jul 3, 2024 18:04 UTC
Harris PaulaDirector
GrantCommon Stock 2,356 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-019145 · form4-07032024_060755.xml · nonDerivative · entry 1

Harris Paula · CIK 0001880259 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,111

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2024) and therefore has no purchase or sales price. The restricted stock award was received in lieu of quarterly fees related to the reporting person's service on the Board of Directors and its committees.

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June 20, 2024 Filed Jun 21, 2024 20:06 UTC SaleCommon Stock 2,864 $10.50 $30,057.68
Disclosure

SEC source: 0001415889-24-017809 · form4-06212024_080601.xml · nonDerivative · entry 1

Glassman Diana · CIK 0001946868 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,133

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May 23, 2024 Filed May 24, 2024 20:07 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
SaleCommon Stock 1,050 $11.50 $12,075.00
Disclosure

SEC source: 0001415889-24-014449 · form4-05242024_080510.xml · nonDerivative · entry 1

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,470,279

F1 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

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May 22, 2024 Filed May 22, 2024 21:43 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
SaleCommon Stock 7,521 $11.54 $86,794.60
Disclosure

SEC source: 0001415889-24-014131 · form4-05222024_090520.xml · nonDerivative · entry 3

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,471,329

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.50 to $11.58, inclusive. The reporting person undertakes to provide Helix Energy Solutions Group, Inc., any security holder of Helix Energy Solutions Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

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May 21, 2024 Filed May 22, 2024 21:43 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
SaleCommon Stock 164,796 $11.77 $1,940,423.46
Disclosure

SEC source: 0001415889-24-014131 · form4-05222024_090520.xml · nonDerivative · entry 2

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,478,850

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.67 to $11.83, inclusive. The reporting person undertakes to provide Helix Energy Solutions Group, Inc., any security holder of Helix Energy Solutions Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

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May 20, 2024 Filed May 22, 2024 21:43 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
SaleCommon Stock 141,879 $11.83 $1,678,442.76
Disclosure

SEC source: 0001415889-24-014131 · form4-05222024_090520.xml · nonDerivative · entry 1

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,643,646

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.79 to $11.90, inclusive. The reporting person undertakes to provide Helix Energy Solutions Group, Inc., any security holder of Helix Energy Solutions Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

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May 07, 2024 Filed May 8, 2024 20:09 UTC SaleCommon Stock 12,000 $11.44 $137,239.20
Disclosure

SEC source: 0001415889-24-012587 · form4-05082024_080547.xml · nonDerivative · entry 1

Sparks Scott Andrew · CIK 0001640450 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 282,634

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.43 to $11.46, inclusive. The reporting person undertakes to provide Helix Energy Solutions Group, Inc., any security holder of Helix Energy Solutions Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.

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April 01, 2024 Filed Apr 1, 2024 20:40 UTC
Harris PaulaDirector
GrantCommon Stock 2,595 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009539 · form4-04012024_080427.xml · nonDerivative · entry 1

Harris Paula · CIK 0001880259 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,755

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019) and therefore has no purchase or sales price. The restricted stock award was received in lieu of quarterly fees related to the reporting person's service on the Board of Directors and its committees.

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March 06, 2024 Filed Mar 8, 2024 21:27 UTC
Neikirk Kenneth EnglishEVP, GEN COUNSEL & SECRETARY
Exercise / conversionPerformance Share Units · Derivative 172,381 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-007352 · form4-03082024_090357.xml · derivative · entry 3

Neikirk Kenneth English · CIK 0001775345 · EVP, GEN COUNSEL & SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 172,381 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 Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F1 · price: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F1 · derivative.exercise_date: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F1 · derivative.expiration_date: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

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March 06, 2024 Filed Mar 8, 2024 21:27 UTC
Neikirk Kenneth EnglishEVP, GEN COUNSEL & SECRETARY
Tax withholdingCommon Stock 67,832 $10.28 $697,312.96
Disclosure

SEC source: 0001415889-24-007352 · form4-03082024_090357.xml · nonDerivative · entry 2

Neikirk Kenneth English · CIK 0001775345 · EVP, GEN COUNSEL & SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 188,540

F2 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's 2021 PSUs.

Read SEC document
March 06, 2024 Filed Mar 8, 2024 21:27 UTC
Neikirk Kenneth EnglishEVP, GEN COUNSEL & SECRETARY
Exercise / conversionCommon Stock 172,381 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-007352 · form4-03082024_090357.xml · nonDerivative · entry 1

Neikirk Kenneth English · CIK 0001775345 · EVP, GEN COUNSEL & SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 256,372

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

F1 · price: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

Read SEC document
March 06, 2024 Filed Mar 8, 2024 21:22 UTC Exercise / conversionPerformance Share Units · Derivative 193,931 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-007348 · form4-03082024_090334.xml · derivative · entry 3

Staffeldt Erik · CIK 0001648839 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 193,931 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 Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F1 · price: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F1 · derivative.exercise_date: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F1 · derivative.expiration_date: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

Read SEC document
March 06, 2024 Filed Mar 8, 2024 21:22 UTC Tax withholdingCommon Stock 76,312 $10.28 $784,487.36
Disclosure

SEC source: 0001415889-24-007348 · form4-03082024_090334.xml · nonDerivative · entry 2

Staffeldt Erik · CIK 0001648839 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 450,999

F2 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's 2021 PSUs.

Read SEC document
March 06, 2024 Filed Mar 8, 2024 21:22 UTC Exercise / conversionCommon Stock 193,931 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-007348 · form4-03082024_090334.xml · nonDerivative · entry 1

Staffeldt Erik · CIK 0001648839 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 527,311

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: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

Read SEC document
March 06, 2024 Filed Mar 8, 2024 21:16 UTC Exercise / conversionPerformance Share Units · Derivative 215,477 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-007340 · form4-03082024_090326.xml · derivative · entry 3

Sparks Scott Andrew · CIK 0001640450 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 215,477 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 Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F1 · price: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F1 · derivative.exercise_date: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F1 · derivative.expiration_date: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

Read SEC document
March 06, 2024 Filed Mar 8, 2024 21:16 UTC Tax withholdingCommon Stock 84,791 $10.28 $871,651.48
Disclosure

SEC source: 0001415889-24-007340 · form4-03082024_090326.xml · nonDerivative · entry 2

Sparks Scott Andrew · CIK 0001640450 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 294,634

F2 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's 2021 PSUs.

Read SEC document
March 06, 2024 Filed Mar 8, 2024 21:16 UTC Exercise / conversionCommon Stock 215,477 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-007340 · form4-03082024_090326.xml · nonDerivative · entry 1

Sparks Scott Andrew · CIK 0001640450 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 379,425

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: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

Read SEC document
March 06, 2024 Filed Mar 8, 2024 21:12 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
Exercise / conversionPerformance Share Units · Derivative 237,023 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-007333 · form4-03082024_090354.xml · derivative · entry 3

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 237,023 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 Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F1 · price: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F1 · derivative.exercise_date: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F1 · derivative.expiration_date: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

Read SEC document
March 06, 2024 Filed Mar 8, 2024 21:12 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
Tax withholdingCommon Stock 93,269 $10.28 $958,805.32
Disclosure

SEC source: 0001415889-24-007333 · form4-03082024_090354.xml · nonDerivative · entry 2

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,785,525

F3 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's 2021 PSUs.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

Read SEC document
March 06, 2024 Filed Mar 8, 2024 21:12 UTC
KRATZ OWEN EDirector · PRESIDENT & CEO
Exercise / conversionCommon Stock 237,023 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-007333 · form4-03082024_090354.xml · nonDerivative · entry 1

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,878,794

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: Each Performance Share Unit ("2021 PSU") was previously granted on January 4, 2021 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's performance over the three-year period beginning January 1, 2021 and ended December 31, 2023. Amount earned and vested was 181% of the number of 2021 PSUs granted.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

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.