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Transocean Ltd.

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3732
SEC CIK
0001451505
Parsed reports
394

Last 12 months

Inside the activity.

4 purchase rows · 11 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202532
Dec 202503
Jan 202604
Feb 202600
Mar 202601
Apr 202600
May 202601
Jun 202600
Jul 202610
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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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
May 13, 2022 Filed May 17, 2022 21:15 UTC
Mohn Frederik WilhelmDirector · 10% owner
GrantRestricted Units · Derivative 54,688 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001415889-22-005149 · form4-05172022_020508.xml · derivative · entry 2

Mohn Frederik Wilhelm · CIK 0001729638 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,688

Underlying: Registered Shares · 54,688 shares

Expires not disclosed

F3 · derivative.exercise_date: Restricted Units, which are 1-for-1 registered share equivalents, were acquired on May 13, 2022, pursuant to the Issuer's long-term incentive plan. Restricted Units vest on the earlier of: (i) May 13, 2023, or (ii) the date of the next Annual General Meeting of the Company's shareholders following the May 13, 2022 grant date. Pursuant to the award agreement, such Restricted Units will be payable in registered shares of the Issuer following the vesting date, as defined above.

F3 · derivative.expiration_date: Restricted Units, which are 1-for-1 registered share equivalents, were acquired on May 13, 2022, pursuant to the Issuer's long-term incentive plan. Restricted Units vest on the earlier of: (i) May 13, 2023, or (ii) the date of the next Annual General Meeting of the Company's shareholders following the May 13, 2022 grant date. Pursuant to the award agreement, such Restricted Units will be payable in registered shares of the Issuer following the vesting date, as defined above.

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May 13, 2022 Filed May 17, 2022 21:15 UTC
Mohn Frederik WilhelmDirector · 10% owner
PurchaseRegistered Shares 2,000,000 $3.75 $7,500,000.00
Disclosure

SEC source: 0001415889-22-005149 · form4-05172022_020508.xml · nonDerivative · entry 1

Mohn Frederik Wilhelm · CIK 0001729638 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 82,636,646

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.55 to $3.85, inclusive. The reporting person undertakes to provide Transocean Ltd. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: These securities are held directly by Perestroika AS. Mr. Frederik Mohn is a sole director and owner of Perestroika AS and is the beneficial owner of all securities owned by Perestroika AS.

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May 13, 2022 Filed May 17, 2022 21:10 UTC
PerestroikaDirector · 10% owner
PurchaseRegistered Shares 2,000,000 $3.75 $7,500,000.00
Disclosure

SEC source: 0001415889-22-005147 · form4-05172022_020522.xml · nonDerivative · entry 1

Perestroika · CIK 0001729635 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,636,646

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.55 to $3.85, inclusive. The reporting person undertakes to provide Transocean Ltd. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2 · ownership.direct: These securities are held directly by Perestroika AS. Mr. Frederik Mohn is a sole director and owner of Perestroika AS and is the beneficial owner of all securities owned by Perestroika AS.

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May 13, 2022 Filed Apr 25, 2023 23:00 UTC Amendment
PerestroikaDirector · 10% owner
PurchaseRegistered Shares 2,000,000 $3.75 $7,500,000.00
Disclosure

SEC source: 0001415889-23-006853 · form4a-04252023_110408.xml · nonDerivative · entry 1

Perestroika · CIK 0001729635 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,900,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.55 to $3.85, inclusive. The reporting person undertakes to provide Transocean Ltd. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2 · balance_after: Due to an administrative error, the original Form 4, filed on May 17, 2022, referenced an incorrect number of securities beneficially owned following the reported transaction. This amendment to Form 4 is being made solely to reflect the correct number of securities beneficially owned following the transaction.

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May 13, 2022 Filed Apr 25, 2023 22:58 UTC Amendment
Mohn Frederik WilhelmDirector · 10% owner
PurchaseRegistered Shares 2,000,000 $3.75 $7,500,000.00
Disclosure

SEC source: 0001415889-23-006850 · form4a-04252023_100414.xml · nonDerivative · entry 1

Mohn Frederik Wilhelm · CIK 0001729638 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Perestroika AS

Disclosed balance after: 14,900,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.55 to $3.85, inclusive. The reporting person undertakes to provide Transocean Ltd. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2 · balance_after: Due to an administrative error, the original Form 4, filed on May 17, 2022, referenced an incorrect number of securities beneficially owned following the reported transaction. This amendment to Form 4 is being made solely to reflect the correct number of securities beneficially owned following the transaction.

F3 · ownership.nature: These securities are held directly by Perestroika AS. Mr. Frederik Mohn is a sole director and owner of Perestroika AS and is the beneficial owner of all securities owned by Perestroika AS.

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May 12, 2022 Filed May 13, 2022 22:33 UTC PurchaseRegistered Shares 5,000 $3.37 $16,850.00
Disclosure

SEC source: 0001415889-22-004978 · form4-05132022_030538.xml · nonDerivative · entry 2

CHANG VANESSA C L · CIK 0001226487 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 10,000

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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May 11, 2022 Filed May 13, 2022 22:33 UTC PurchaseRegistered Shares 5,000 $3.61 $18,050.00
Disclosure

SEC source: 0001415889-22-004978 · form4-05132022_030538.xml · nonDerivative · entry 1

CHANG VANESSA C L · CIK 0001226487 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 5,000

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

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March 07, 2022 Filed Mar 9, 2022 21:55 UTC
Adamson KeelanPresident & COO
SaleRegistered Shares 349,418 $5.00 $1,747,090.00
Disclosure

SEC source: 0001179110-22-002096 · edgar.xml · nonDerivative · entry 1

Adamson Keelan · CIK 0001750415 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,070

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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March 02, 2022 Filed Mar 3, 2022 20:50 UTC Tax withholdingRegistered Shares 118,366 $3.57 $422,566.62
Disclosure

SEC source: 0001104659-22-030244 · tm228394-4_4seq1.xml · nonDerivative · entry 4

Mey Mark-Anthony Lovell · CIK 0001499267 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 822,392

F4 · shares: Shares sold upon vesting to satisfy tax withholding obligations.

Read SEC document
March 02, 2022 Filed Mar 4, 2022 01:54 UTC
THIGPEN JEREMY DDirector · CEO
Tax withholdingRegistered Shares 316,505 $3.57 $1,129,922.85
Disclosure

SEC source: 0001104659-22-030250 · tm228394-6_4seq1.xml · nonDerivative · entry 4

THIGPEN JEREMY D · CIK 0001240666 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,967,879

F4 · shares: Shares sold upon vesting to satisfy tax withholding obligations

Read SEC document
March 02, 2022 Filed Mar 4, 2022 01:51 UTC
Tonnel David ASVP and Corporate Controller
Tax withholdingRegistered Shares 58,746 $3.57 $209,723.22
Disclosure

SEC source: 0001104659-22-030245 · tm228394-5_4seq1.xml · nonDerivative · entry 4

Tonnel David A · CIK 0001318251 · SVP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,944

F4 · shares: Shares sold upon vesting to satisfy tax withholding obligations.

Read SEC document
March 02, 2022 Filed Mar 4, 2022 01:46 UTC
Long Brady KEVP & General Counsel
Tax withholdingRegistered Shares 87,679 $3.57 $313,014.03
Disclosure

SEC source: 0001104659-22-030243 · tm228394-3_4seq1.xml · nonDerivative · entry 4

Long Brady K · CIK 0001502666 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,001

F4 · shares: Shares sold upon vesting to satisfy tax withholding obligations.

Read SEC document
March 02, 2022 Filed Mar 4, 2022 01:45 UTC
DAVIS HOWARD EEVP, CAO & CIO
Tax withholdingRegistered Shares 94,254 $3.57 $336,486.78
Disclosure

SEC source: 0001104659-22-030242 · tm228394-2_4seq1.xml · nonDerivative · entry 4

DAVIS HOWARD E · CIK 0001228413 · EVP, CAO & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 520,356

F4 · shares: Shares sold upon vesting to satisfy tax withholding obligations.

Read SEC document
March 02, 2022 Filed Mar 4, 2022 01:44 UTC
Adamson KeelanPresident & COO
Tax withholdingRegistered Shares 94,286 $3.57 $336,601.02
Disclosure

SEC source: 0001104659-22-030241 · tm228394-1_4seq1.xml · nonDerivative · entry 4

Adamson Keelan · CIK 0001750415 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 470,488

F4 · shares: Shares sold upon vesting to satisfy tax withholding obligations.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 20:50 UTC Exercise / conversionRegistered Shares 130,434 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030244 · tm228394-4_4seq1.xml · nonDerivative · entry 3

Mey Mark-Anthony Lovell · CIK 0001499267 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 940,758

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 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on February 12, 2021, pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares. The remaining restricted share units vest as follows: 130,435 on March 1, 2023 and 130,435 on March 1, 2024.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 20:50 UTC Exercise / conversionRegistered Shares 140,260 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030244 · tm228394-4_4seq1.xml · nonDerivative · entry 2

Mey Mark-Anthony Lovell · CIK 0001499267 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 810,324

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

F2 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on May 8, 2020, pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares. The remaining restricted share units vest as follows: 140,259 on March 1, 2023.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 20:50 UTC Exercise / conversionRegistered Shares 25,922 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030244 · tm228394-4_4seq1.xml · nonDerivative · entry 1

Mey Mark-Anthony Lovell · CIK 0001499267 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 670,064

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 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on February 7, 2019, pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:54 UTC
THIGPEN JEREMY DDirector · CEO
Exercise / conversionRegistered Shares 362,319 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030250 · tm228394-6_4seq1.xml · nonDerivative · entry 3

THIGPEN JEREMY D · CIK 0001240666 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,284,384

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 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on February 12, 2021, by the reporting person pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares. The remaining restricted units vest as follows: 362,319 on March 1, 2023 and 362,319 on March 1, 2024.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:54 UTC
THIGPEN JEREMY DDirector · CEO
Exercise / conversionRegistered Shares 363,636 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030250 · tm228394-6_4seq1.xml · nonDerivative · entry 2

THIGPEN JEREMY D · CIK 0001240666 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,922,065

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

F2 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on May 8, 2020, by the reporting person pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares. The remaining restricted units vest as follows: 363,637 on March 1, 2023.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:54 UTC
THIGPEN JEREMY DDirector · CEO
Exercise / conversionRegistered Shares 67,205 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030250 · tm228394-6_4seq1.xml · nonDerivative · entry 1

THIGPEN JEREMY D · CIK 0001240666 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,558,429

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 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on February 7, 2019, by the reporting person pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:51 UTC
Tonnel David ASVP and Corporate Controller
Exercise / conversionRegistered Shares 64,734 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030245 · tm228394-5_4seq1.xml · nonDerivative · entry 3

Tonnel David A · CIK 0001318251 · SVP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 397,690

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 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on February 12, 2021, pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares. The remaining restricted share units vest as follows: 67,734 on March 1, 2023 and 67,735 on March 1, 2024.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:51 UTC
Tonnel David ASVP and Corporate Controller
Exercise / conversionRegistered Shares 69,610 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030245 · tm228394-5_4seq1.xml · nonDerivative · entry 2

Tonnel David A · CIK 0001318251 · SVP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 332,956

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

F2 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on May 8, 2020, pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares. The remaining restricted share units vest as follows: 69,611 on March 1, 2023.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:51 UTC
Tonnel David ASVP and Corporate Controller
Exercise / conversionRegistered Shares 12,865 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030245 · tm228394-5_4seq1.xml · nonDerivative · entry 1

Tonnel David A · CIK 0001318251 · SVP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,346

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 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on February 7, 2019, pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:46 UTC
Long Brady KEVP & General Counsel
Exercise / conversionRegistered Shares 96,618 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030243 · tm228394-3_4seq1.xml · nonDerivative · entry 3

Long Brady K · CIK 0001502666 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 597,680

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 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on February 12, 2021, pursuant to the Issuer's long-term incentive plan. One third of such restricted share units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares. The remaining restricted share units vest as follows: 96,618 on March 1, 2023 and 96,619 on March 1, 2024.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:46 UTC
Long Brady KEVP & General Counsel
Exercise / conversionRegistered Shares 103,896 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030243 · tm228394-3_4seq1.xml · nonDerivative · entry 2

Long Brady K · CIK 0001502666 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 501,062

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

F2 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on May 8, 2020, pursuant to the Issuer's long-term incentive plan. One third of such restricted share units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares. The remaining restricted share units vest as follows: 103,896 on March 1, 2023.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:46 UTC
Long Brady KEVP & General Counsel
Exercise / conversionRegistered Shares 19,202 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030243 · tm228394-3_4seq1.xml · nonDerivative · entry 1

Long Brady K · CIK 0001502666 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 397,166

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 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on February 7, 2019, pursuant to the Issuer's long-term incentive plan. One third of such restricted share units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:45 UTC
DAVIS HOWARD EEVP, CAO & CIO
Exercise / conversionRegistered Shares 103,864 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030242 · tm228394-2_4seq1.xml · nonDerivative · entry 3

DAVIS HOWARD E · CIK 0001228413 · EVP, CAO & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 614,610

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 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on February 12, 2021, pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares. The remaining restricted share units vest as follows: 103,865 on March 1, 2023 and 103,865 on March 1, 2024.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:45 UTC
DAVIS HOWARD EEVP, CAO & CIO
Exercise / conversionRegistered Shares 111,688 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030242 · tm228394-2_4seq1.xml · nonDerivative · entry 2

DAVIS HOWARD E · CIK 0001228413 · EVP, CAO & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,746

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

F2 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on May 8, 2020, pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares. The remaining restricted share units vest as follows: 111,689 on March 1, 2023.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:45 UTC
DAVIS HOWARD EEVP, CAO & CIO
Exercise / conversionRegistered Shares 20,642 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030242 · tm228394-2_4seq1.xml · nonDerivative · entry 1

DAVIS HOWARD E · CIK 0001228413 · EVP, CAO & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 399,058

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 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on February 7, 2019, pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:44 UTC
Adamson KeelanPresident & COO
Exercise / conversionRegistered Shares 109,903 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030241 · tm228394-1_4seq1.xml · nonDerivative · entry 3

Adamson Keelan · CIK 0001750415 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 564,774

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 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on February 12, 2021, pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares. The remaining restricted share units vest as follows: 109,903 on March 1, 2023 and 109,904 on March 1, 2024.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:44 UTC
Adamson KeelanPresident & COO
Exercise / conversionRegistered Shares 109,091 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030241 · tm228394-1_4seq1.xml · nonDerivative · entry 2

Adamson Keelan · CIK 0001750415 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 454,871

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

F2 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on May 8, 2020, pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares. The remaining restricted share units vest as follows: 109,091 on March 1, 2023.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 01:44 UTC
Adamson KeelanPresident & COO
Exercise / conversionRegistered Shares 17,281 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-030241 · tm228394-1_4seq1.xml · nonDerivative · entry 1

Adamson Keelan · CIK 0001750415 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 345,780

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 · shares: Restricted Units, which are 1-for-1 share equivalents, acquired on February 7, 2019, pursuant to the Issuer's long-term incentive plan. One third of such restricted units vested on March 1, 2022, resulting in the right of the reporting person to receive the registered shares.

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February 11, 2022 Filed Feb 14, 2022 22:18 UTC
Adamson KeelanExecutive Vice President & COO
Tax withholdingRegistered Shares 27,532 $3.61 $99,390.52
Disclosure

SEC source: 0001179110-22-001163 · edgar.xml · nonDerivative · entry 2

Adamson Keelan · CIK 0001750415 · Executive Vice President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,499

F2 · shares: Shares sold upon vesting to satisfy tax withholding obligations.

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February 11, 2022 Filed Feb 14, 2022 17:17 UTC Tax withholdingRegistered Shares 41,297 $3.61 $149,082.17
Disclosure

SEC source: 0001179110-22-001162 · edgar.xml · nonDerivative · entry 2

Mey Mark-Anthony Lovell · CIK 0001499267 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 644,142

F2 · shares: Shares sold upon vesting to satisfy tax withholding obligations.

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February 11, 2022 Filed Feb 14, 2022 22:19 UTC
Tonnel David ASVP and Corporate Controller
Tax withholdingRegistered Shares 20,497 $3.61 $73,994.17
Disclosure

SEC source: 0001179110-22-001166 · edgar.xml · nonDerivative · entry 2

Tonnel David A · CIK 0001318251 · SVP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,481

F2 · shares: Shares sold upon vesting to satisfy tax withholding obligations.

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February 11, 2022 Filed Feb 14, 2022 22:17 UTC
THIGPEN JEREMY DDirector · President & CEO
Tax withholdingRegistered Shares 107,061 $3.61 $386,490.21
Disclosure

SEC source: 0001179110-22-001161 · edgar.xml · nonDerivative · entry 2

THIGPEN JEREMY D · CIK 0001240666 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,491,224

F2 · shares: Shares sold upon vesting to satisfy tax withholding obligations.

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February 11, 2022 Filed Feb 14, 2022 22:18 UTC
Long Brady KEVP & General Counsel
Tax withholdingRegistered Shares 30,591 $3.61 $110,433.51
Disclosure

SEC source: 0001179110-22-001164 · edgar.xml · nonDerivative · entry 2

Long Brady K · CIK 0001502666 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 377,964

F2 · shares: Shares sold upon vesting to satisfy tax withholding obligations.

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February 11, 2022 Filed Feb 14, 2022 22:18 UTC
DAVIS HOWARD EEVP, CAO & CIO
Tax withholdingRegistered Shares 32,886 $3.61 $118,718.46
Disclosure

SEC source: 0001179110-22-001165 · edgar.xml · nonDerivative · entry 3

DAVIS HOWARD E · CIK 0001228413 · EVP, CAO & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378,416

F3 · shares: Shares sold upon vesting to satisfy tax withholding obligations.

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February 11, 2022 Filed Mar 3, 2023 21:47 UTC Amendment
Adamson KeelanPRESIDENT AND COO
Tax withholdingRegistered Shares 27,532 $3.61 $99,390.52
Disclosure

SEC source: 0001415889-23-004148 · form4a-03032023_090317.xml · nonDerivative · entry 2

Adamson Keelan · CIK 0001750415 · PRESIDENT AND COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,449

F2 · shares: Shares sold upon vesting to satisfy tax withholding obligations.

F3 · balance_after: Due to an administrative error, the original Form 4, filed on February 14, 2022, referenced an incorrect number of securities beneficially owned following the reported transaction. This amendment to Form 4 is being made solely to reflect the correct number of securities beneficially owned following the transaction.

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February 10, 2022 Filed Feb 14, 2022 22:18 UTC
Adamson KeelanExecutive Vice President & COO
GrantRestricted Units · Derivative 404,624 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001179110-22-001163 · edgar.xml · derivative · entry 3

Adamson Keelan · CIK 0001750415 · Executive Vice President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 404,624

Underlying: Registered Shares · 404,624 shares

Expires not disclosed

F3 · derivative.exercise_date: The Restricted Units were acquired on February 10, 2022, by the reporting person pursuant to the Issuer's long-term incentive plan. The restricted share units vest as follows: 134,874 on March 1, 2023; 134,875 on March 1, 2024; and 134,875 on March 1, 2025.

F3 · derivative.expiration_date: The Restricted Units were acquired on February 10, 2022, by the reporting person pursuant to the Issuer's long-term incentive plan. The restricted share units vest as follows: 134,874 on March 1, 2023; 134,875 on March 1, 2024; and 134,875 on March 1, 2025.

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February 10, 2022 Filed Feb 14, 2022 22:18 UTC
Adamson KeelanExecutive Vice President & COO
Exercise / conversionRegistered Shares 69,610 $0.00 $0.00
Disclosure

SEC source: 0001179110-22-001163 · edgar.xml · nonDerivative · entry 1

Adamson Keelan · CIK 0001750415 · Executive Vice President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,981

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 · shares: Deferred Units awarded on February 7, 2019, vested on February 10, 2022, upon satisfaction of the applicable performance measures pursuant to the Issuer's 2019-2021 performance cycle.

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February 10, 2022 Filed Feb 14, 2022 17:17 UTC GrantRestricted Units · Derivative 390,173 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001179110-22-001162 · edgar.xml · derivative · entry 3

Mey Mark-Anthony Lovell · CIK 0001499267 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,173

Underlying: Registered Shares · 390,173 shares

Expires not disclosed

F3 · derivative.exercise_date: The Restricted Units were acquired on February 10, 2022, by the reporting person pursuant to the Issuer's long-term incentive plan. The restricted share units vest as follows: 130,057 on March 1, 2023; 130,058 on March 1, 2024; and 130,058 on March 1, 2025.

F3 · derivative.expiration_date: The Restricted Units were acquired on February 10, 2022, by the reporting person pursuant to the Issuer's long-term incentive plan. The restricted share units vest as follows: 130,057 on March 1, 2023; 130,058 on March 1, 2024; and 130,058 on March 1, 2025.

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February 10, 2022 Filed Feb 14, 2022 17:17 UTC Exercise / conversionRegistered Shares 104,415 $0.00 $0.00
Disclosure

SEC source: 0001179110-22-001162 · edgar.xml · nonDerivative · entry 1

Mey Mark-Anthony Lovell · CIK 0001499267 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 685,439

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 · shares: Deferred Units awarded on February 7, 2019, vested on February 10, 2022 upon satisfaction of the applicable performance measures pursuant to the Issuer's 2019-2021 performance cycle.

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February 10, 2022 Filed Feb 14, 2022 22:19 UTC
Tonnel David ASVP and Corporate Controller
GrantRestricted Units · Derivative 213,006 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001179110-22-001166 · edgar.xml · derivative · entry 3

Tonnel David A · CIK 0001318251 · SVP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,006

Underlying: Registered Shares · 213,006 shares

Expires not disclosed

F3 · derivative.exercise_date: The Restricted Units were acquired on February 10, 2022, by the reporting person pursuant to the Issuer's long-term incentive plan. The restricted share units vest as follows: 71,002 on March 1, 2023; 71,002 on March 1, 2024; and 71,002 on March 1, 2025.

F3 · derivative.expiration_date: The Restricted Units were acquired on February 10, 2022, by the reporting person pursuant to the Issuer's long-term incentive plan. The restricted share units vest as follows: 71,002 on March 1, 2023; 71,002 on March 1, 2024; and 71,002 on March 1, 2025.

Read SEC document
February 10, 2022 Filed Feb 14, 2022 22:19 UTC
Tonnel David ASVP and Corporate Controller
Exercise / conversionRegistered Shares 51,821 $0.00 $0.00
Disclosure

SEC source: 0001179110-22-001166 · edgar.xml · nonDerivative · entry 1

Tonnel David A · CIK 0001318251 · SVP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,978

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 · shares: Deferred Units awarded on February 7, 2019, vested on February 10, 2022 upon satisfaction of the applicable performance measures pursuant to the Issuer's 2019-2021 performance cycle.

Read SEC document
February 10, 2022 Filed Feb 14, 2022 22:17 UTC
THIGPEN JEREMY DDirector · President & CEO
GrantRestricted Units · Derivative 1,156,069 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001179110-22-001161 · edgar.xml · derivative · entry 3

THIGPEN JEREMY D · CIK 0001240666 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,156,069

Underlying: Registered Shares · 1,156,069 shares

Expires not disclosed

F3 · derivative.exercise_date: The Restricted Units were acquired on February 10, 2022, by the reporting person pursuant to the Issuer's long-term incentive plan. The restricted share units vest as follows: 385,356 on March 1, 2023; 385,356 on March 1, 2024; and 385,357 on March 1, 2025.

F3 · derivative.expiration_date: The Restricted Units were acquired on February 10, 2022, by the reporting person pursuant to the Issuer's long-term incentive plan. The restricted share units vest as follows: 385,356 on March 1, 2023; 385,356 on March 1, 2024; and 385,357 on March 1, 2025.

Read SEC document
February 10, 2022 Filed Feb 14, 2022 22:17 UTC
THIGPEN JEREMY DDirector · President & CEO
Exercise / conversionRegistered Shares 270,706 $0.00 $0.00
Disclosure

SEC source: 0001179110-22-001161 · edgar.xml · nonDerivative · entry 1

THIGPEN JEREMY D · CIK 0001240666 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,598,285

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 · shares: Deferred Units awarded on February 7, 2019, vested on February 10, 2022 upon satisfaction of the applicable performance measures pursuant to the Issuer's 2019-2021 performance cycle.

Read SEC document
February 10, 2022 Filed Feb 14, 2022 22:18 UTC
Long Brady KEVP & General Counsel
GrantRestricted Units · Derivative 315,292 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001179110-22-001164 · edgar.xml · derivative · entry 3

Long Brady K · CIK 0001502666 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,292

Underlying: Registered Shares · 315,292 shares

Expires not disclosed

F3 · derivative.exercise_date: The Restricted Units were acquired on February 10, 2022, by the reporting person pursuant to the Issuer's long-term incentive plan. The restricted share units vest as follows: 105,097 on March 1, 2023; 105,097 on March 1, 2024; and 105,098 on March 1, 2025.

F3 · derivative.expiration_date: The Restricted Units were acquired on February 10, 2022, by the reporting person pursuant to the Issuer's long-term incentive plan. The restricted share units vest as follows: 105,097 on March 1, 2023; 105,097 on March 1, 2024; and 105,098 on March 1, 2025.

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February 10, 2022 Filed Feb 14, 2022 22:18 UTC
Long Brady KEVP & General Counsel
Exercise / conversionRegistered Shares 77,345 $0.00 $0.00
Disclosure

SEC source: 0001179110-22-001164 · edgar.xml · nonDerivative · entry 1

Long Brady K · CIK 0001502666 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,555

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 · shares: Deferred Units awarded on February 7, 2019, vested on February 10, 2022 upon satisfaction of the applicable performance measures pursuant to the Issuer's 2019-2021 performance cycle.

Read SEC document
February 10, 2022 Filed Feb 14, 2022 22:18 UTC
DAVIS HOWARD EEVP, CAO & CIO
GrantRestricted Units · Derivative 310,694 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001179110-22-001165 · edgar.xml · derivative · entry 4

DAVIS HOWARD E · CIK 0001228413 · EVP, CAO & CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,694

Underlying: Registered Shares · 310,694 shares

Expires not disclosed

F4 · derivative.exercise_date: The Restricted Units were acquired on February 10, 2022, by the reporting person pursuant to the Issuer's long-term incentive plan. The restricted share units vest as follows: 103,564 on March 1, 2023; 103,565 on March 1, 2024; and 103,565 on March 1, 2025.

F4 · derivative.expiration_date: The Restricted Units were acquired on February 10, 2022, by the reporting person pursuant to the Issuer's long-term incentive plan. The restricted share units vest as follows: 103,564 on March 1, 2023; 103,565 on March 1, 2024; and 103,565 on March 1, 2025.

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