Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Diamond S Shipping Inc.DSSI · Entity 137200 | 10% owner | November 25, 2019 | November 27, 2019 |
| Weatherford International plcWFT · Entity 3720 | Director | April 27, 2019 | April 30, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Diamond S Shipping Inc.
Report date November 25, 2019 · Filed November 27, 2019
Jointly reported with First Reserve GP XII Ltd, First Reserve GP XII, LP, FIRST RESERVE FUND XII LP, FR XII A PARALLEL VEHICLE LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par value per shareSEC Table I · non-derivative | IndirectSee Footnotes | 4,153,101 |
Last balance in matching sequence
After 2019-11-27 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-11-25 · Sale · Disposed 70,923 · Balance 8,103,782 F1: 4,079,860 shares of common stock are held directly by First Reserve Fund XII, L.P. ("Fund XII") after the sale of 3,950,681 shares of common stock reported herein. F2: 73,241 shares of common stock are held directly by FR XII-A Parallel Vehicle, L.P. ("Parallel Vehicle") after the sale of 70,923 shares of common stock reported herein. F3: This form is filed jointly by First Reserve GP XII Limited ("GP XII Limited"), First Reserve GP XII, L.P. ("GP XII"), Fund XII, Parallel Vehicle and William E. Macaulay. F4: GP XII Limited is the general partner of GP XII, which in turn is the general partner of each of Fund XII and Parallel Vehicle. Mr. Macaulay is the chairman of the board of directors of GP XII Limited (the "Board") and has the right to appoint the majority of the directors of the Board. F5: The reporting persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting persons are the beneficial owners of the reported securities for purposes of Section 16 or for any other purpose. Row 2 · 2019-11-27 · Sale · Disposed 3,950,681 · Balance 4,153,101 F1: 4,079,860 shares of common stock are held directly by First Reserve Fund XII, L.P. ("Fund XII") after the sale of 3,950,681 shares of common stock reported herein. F2: 73,241 shares of common stock are held directly by FR XII-A Parallel Vehicle, L.P. ("Parallel Vehicle") after the sale of 70,923 shares of common stock reported herein. F3: This form is filed jointly by First Reserve GP XII Limited ("GP XII Limited"), First Reserve GP XII, L.P. ("GP XII"), Fund XII, Parallel Vehicle and William E. Macaulay. F4: GP XII Limited is the general partner of GP XII, which in turn is the general partner of each of Fund XII and Parallel Vehicle. Mr. Macaulay is the chairman of the board of directors of GP XII Limited (the "Board") and has the right to appoint the majority of the directors of the Board. F5: The reporting persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting persons are the beneficial owners of the reported securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: 4,079,860 shares of common stock are held directly by First Reserve Fund XII, L.P. ("Fund XII") after the sale of 3,950,681 shares of common stock reported herein.
F2: 73,241 shares of common stock are held directly by FR XII-A Parallel Vehicle, L.P. ("Parallel Vehicle") after the sale of 70,923 shares of common stock reported herein.
F3: This form is filed jointly by First Reserve GP XII Limited ("GP XII Limited"), First Reserve GP XII, L.P. ("GP XII"), Fund XII, Parallel Vehicle and William E. Macaulay.
F4: GP XII Limited is the general partner of GP XII, which in turn is the general partner of each of Fund XII and Parallel Vehicle. Mr. Macaulay is the chairman of the board of directors of GP XII Limited (the "Board") and has the right to appoint the majority of the directors of the Board.
F5: The reporting persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting persons are the beneficial owners of the reported securities for purposes of Section 16 or for any other purpose.
Weatherford International plc
Report date April 27, 2019 · Filed April 30, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 366,353 |
Reported balance
After 2019-04-27 transaction · row 1
1 source rowRow 1 · 2019-04-27 · Tax withholding · Disposed 19,322 · Balance 366,353 F1: Transaction was a withholding of a portion of vested restricted share units to satisfy the reporting person's tax withholding obligations upon vesting, pursuant to the award agreement and associated equity incentive plan under which the award was granted. |
Filing footnotes · ownership attribution and instrument terms
F1: Transaction was a withholding of a portion of vested restricted share units to satisfy the reporting person's tax withholding obligations upon vesting, pursuant to the award agreement and associated equity incentive plan under which the award was granted.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 27, 2019 Filed Nov 27, 2019 16:15 UTC | Diamond S Shipping Inc. DSSI · Entity 137200 | SaleCommon Stock, $0.001 par value per share | 3,950,681 | $13.75 | $54,321,863.75 |
DisclosureSEC source: 0000899243-19-028228 · doc4.xml · nonDerivative · entry 2 First Reserve GP XII Ltd · CIK 0001544731 · 10% owner First Reserve GP XII, LP · CIK 0001544730 · 10% owner FIRST RESERVE FUND XII LP · CIK 0001442289 · 10% owner FR XII A PARALLEL VEHICLE LP · CIK 0001442290 · 10% owner MACAULAY WILLIAM E · CIK 0000908428 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,153,101 F1 · ownership.nature: 4,079,860 shares of common stock are held directly by First Reserve Fund XII, L.P. ("Fund XII") after the sale of 3,950,681 shares of common stock reported herein. F2 · ownership.nature: 73,241 shares of common stock are held directly by FR XII-A Parallel Vehicle, L.P. ("Parallel Vehicle") after the sale of 70,923 shares of common stock reported herein. F3 · ownership.nature: This form is filed jointly by First Reserve GP XII Limited ("GP XII Limited"), First Reserve GP XII, L.P. ("GP XII"), Fund XII, Parallel Vehicle and William E. Macaulay. F4 · ownership.nature: GP XII Limited is the general partner of GP XII, which in turn is the general partner of each of Fund XII and Parallel Vehicle. Mr. Macaulay is the chairman of the board of directors of GP XII Limited (the "Board") and has the right to appoint the majority of the directors of the Board. F5 · ownership.nature: The reporting persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting persons are the beneficial owners of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 16:15 UTC | Diamond S Shipping Inc. DSSI · Entity 137200 | SaleCommon Stock, $0.001 par value per share | 70,923 | $13.75 | $975,191.25 |
DisclosureSEC source: 0000899243-19-028228 · doc4.xml · nonDerivative · entry 1 First Reserve GP XII Ltd · CIK 0001544731 · 10% owner First Reserve GP XII, LP · CIK 0001544730 · 10% owner FIRST RESERVE FUND XII LP · CIK 0001442289 · 10% owner FR XII A PARALLEL VEHICLE LP · CIK 0001442290 · 10% owner MACAULAY WILLIAM E · CIK 0000908428 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,103,782 F1 · ownership.nature: 4,079,860 shares of common stock are held directly by First Reserve Fund XII, L.P. ("Fund XII") after the sale of 3,950,681 shares of common stock reported herein. F2 · ownership.nature: 73,241 shares of common stock are held directly by FR XII-A Parallel Vehicle, L.P. ("Parallel Vehicle") after the sale of 70,923 shares of common stock reported herein. F3 · ownership.nature: This form is filed jointly by First Reserve GP XII Limited ("GP XII Limited"), First Reserve GP XII, L.P. ("GP XII"), Fund XII, Parallel Vehicle and William E. Macaulay. F4 · ownership.nature: GP XII Limited is the general partner of GP XII, which in turn is the general partner of each of Fund XII and Parallel Vehicle. Mr. Macaulay is the chairman of the board of directors of GP XII Limited (the "Board") and has the right to appoint the majority of the directors of the Board. F5 · ownership.nature: The reporting persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the reporting persons are the beneficial owners of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| April 27, 2019 Filed Apr 30, 2019 18:09 UTC | Weatherford International plc WFT · Entity 3720 | Tax withholdingOrdinary Shares | 19,322 | $0.57 | $11,013.54 |
DisclosureSEC source: 0001603923-19-000054 · wf-form4_155666215945748.xml · nonDerivative · entry 1 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 366,353 F1 · kind: Transaction was a withholding of a portion of vested restricted share units to satisfy the reporting person's tax withholding obligations upon vesting, pursuant to the award agreement and associated equity incentive plan under which the award was granted. Read SEC document |
| September 21, 2018 Filed Sep 24, 2018 16:27 UTC | Weatherford International plc WFT · Entity 3720 | Tax withholdingOrdinary Shares | 13,768 | $2.57 | $35,383.76 |
DisclosureSEC source: 0001603923-18-000134 · wf-form4_153782085816485.xml · nonDerivative · entry 1 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,675 F1 · kind: Transaction was a withholding of a portion of vested restricted share units to satisfy the reporting person's tax withholding obligations upon vesting, pursuant to the award agreement and associated equity incentive plan under which the award was granted. Read SEC document |
| August 24, 2018 Filed Aug 28, 2018 17:19 UTC | Weatherford International plc WFT · Entity 3720 | SaleOrdinary Shares | 9,304 | $2.88 | $26,749.00 |
DisclosureSEC source: 0001603923-18-000111 · wf-form4_153549115401549.xml · nonDerivative · entry 3 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By children Disclosed balance after: 0 F1 · kind: Shares were sold for tax planning purposes. F4 · kind: Shares held by the Anne R. Macaulay 2016 Trust and the Elizabeth Macaulay Lewis 2016 Trust, respectively. The reporting person's children are the beneficiaries of those trusts and the reporting person has no voting or investment control. No further beneficial ownership of trust shares beneficially owned following 8/24/18 transaction reflects the prior distribution of 6,200 shares in November 2016 from such trusts to the reporting person's children who were, at the time of such distributions, living outside the reporting person's household. Read SEC document |
| August 24, 2018 Filed Aug 28, 2018 17:19 UTC | Weatherford International plc WFT · Entity 3720 | SaleOrdinary Shares | 26,472 | $2.88 | $76,107.00 |
DisclosureSEC source: 0001603923-18-000111 · wf-form4_153549115401549.xml · nonDerivative · entry 2 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 0 F1 · kind: Shares were sold for tax planning purposes. F3 · kind: Shares held by the Linda R. Macaulay Revocable Trust. The reporting person's spouse is the beneficiary of that trust and the reporting person has no voting or investment control. Read SEC document |
| August 24, 2018 Filed Aug 28, 2018 17:19 UTC | Weatherford International plc WFT · Entity 3720 | SaleOrdinary Shares | 731,815 | $2.86 | $2,093,869.08 |
DisclosureSEC source: 0001603923-18-000111 · wf-form4_153549115401549.xml · nonDerivative · entry 1 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 399,443 F1 · kind: Shares were sold for tax planning purposes. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.83 to $2.89, inclusive. The reporting person undertakes to provide Weatherford International plc, any security holder of Weatherford International plc 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 range set forth in this footnote. Read SEC document |
| April 27, 2018 Filed May 1, 2018 17:11 UTC | Weatherford International plc WFT · Entity 3720 | GrantOrdinary Shares | 96,610 | $0.00 | $0.00 |
DisclosureSEC source: 0001603923-18-000082 · wf-form4_152520901938240.xml · nonDerivative · entry 1 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,131,258 F1 · price: Transaction was a grant of restricted share units and therefore has no price. The units are scheduled to vest on April 27, 2019. Read SEC document |
| September 24, 2017 Filed Sep 25, 2017 19:11 UTC | Weatherford International plc WFT · Entity 3720 | Tax withholdingOrdinary Shares | 800 | $4.26 | $3,408.00 |
DisclosureSEC source: 0001603923-17-000142 · wf-form4_150638105645939.xml · nonDerivative · entry 3 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,034,648 F2 · price: Transaction was a withholding of a portion of vested restricted share units to satisfy the reporting person's tax withholding obligations upon vesting, pursuant to the award agreement and associated equity incentive plan under which the award was granted Read SEC document |
| September 22, 2017 Filed Sep 25, 2017 19:11 UTC | Weatherford International plc WFT · Entity 3720 | Tax withholdingOrdinary Shares | 6,347 | $4.14 | $26,276.58 |
DisclosureSEC source: 0001603923-17-000142 · wf-form4_150638105645939.xml · nonDerivative · entry 2 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,035,448 F2 · price: Transaction was a withholding of a portion of vested restricted share units to satisfy the reporting person's tax withholding obligations upon vesting, pursuant to the award agreement and associated equity incentive plan under which the award was granted Read SEC document |
| September 21, 2017 Filed Sep 25, 2017 19:11 UTC | Weatherford International plc WFT · Entity 3720 | GrantOrdinary Shares | 68,840 | $0.00 | $0.00 |
DisclosureSEC source: 0001603923-17-000142 · wf-form4_150638105645939.xml · nonDerivative · entry 1 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,041,795 F1 · price: Transaction was a grant of restricted share units and therefore has no price. The units are scheduled to vest on September 21, 2018. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 16:32 UTC | Weatherford International plc WFT · Entity 3720 | Exercise / conversionPhantom Stock Units · Derivative | 10,709 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001603923-17-000006 · wf-form4_148365195583460.xml · derivative · entry 2 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 10,709 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 phantom stock unit was the economic equivalent of one ordinary share of Weatherford International plc and the reporting person's phantom stock units were settled entirely in ordinary shares. F1 · price: Each phantom stock unit was the economic equivalent of one ordinary share of Weatherford International plc and the reporting person's phantom stock units were settled entirely in ordinary shares. F2 · derivative.exercise_date: All phantom stock units were issued under the Company's Deferred Compensation Plan for Non-Employee Directors (the "Plan") and were 100% vested at all times. Distributions of ordinary shares in an amount equal to the number of phantom stock units were made on January 3, 2017 in accordance with the terms of the Plan. F2 · derivative.expiration_date: All phantom stock units were issued under the Company's Deferred Compensation Plan for Non-Employee Directors (the "Plan") and were 100% vested at all times. Distributions of ordinary shares in an amount equal to the number of phantom stock units were made on January 3, 2017 in accordance with the terms of the Plan. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 16:32 UTC | Weatherford International plc WFT · Entity 3720 | Exercise / conversionOrdinary Shares | 10,709 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001603923-17-000006 · wf-form4_148365195583460.xml · nonDerivative · entry 1 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 972,955 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 phantom stock unit was the economic equivalent of one ordinary share of Weatherford International plc and the reporting person's phantom stock units were settled entirely in ordinary shares. Read SEC document |
| September 27, 2016 Filed Sep 27, 2016 19:17 UTC | Weatherford International plc WFT · Entity 3720 | Tax withholdingOrdinary Shares | 800 | $5.51 | $4,408.00 |
DisclosureSEC source: 0001603923-16-000258 · wf-form4_147501822295260.xml · nonDerivative · entry 3 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 962,246 F1 · kind: Transaction was a withholding of a portion of vested restricted share units to satisfy the reporting person's tax withholding obligations upon vesting, pursuant to the award agreement and associated equity incentive plan under which the award was granted. Read SEC document |
| September 25, 2016 Filed Sep 27, 2016 19:17 UTC | Weatherford International plc WFT · Entity 3720 | Tax withholdingOrdinary Shares | 2,400 | $5.83 | $13,992.00 |
DisclosureSEC source: 0001603923-16-000258 · wf-form4_147501822295260.xml · nonDerivative · entry 2 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 963,046 F1 · kind: Transaction was a withholding of a portion of vested restricted share units to satisfy the reporting person's tax withholding obligations upon vesting, pursuant to the award agreement and associated equity incentive plan under which the award was granted. Read SEC document |
| September 24, 2016 Filed Sep 27, 2016 19:17 UTC | Weatherford International plc WFT · Entity 3720 | Tax withholdingOrdinary Shares | 800 | $5.83 | $4,664.00 |
DisclosureSEC source: 0001603923-16-000258 · wf-form4_147501822295260.xml · nonDerivative · entry 1 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 965,446 F1 · kind: Transaction was a withholding of a portion of vested restricted share units to satisfy the reporting person's tax withholding obligations upon vesting, pursuant to the award agreement and associated equity incentive plan under which the award was granted. Read SEC document |
| September 22, 2016 Filed Sep 23, 2016 18:33 UTC | Weatherford International plc WFT · Entity 3720 | GrantOrdinary Shares | 31,732 | $0.00 | $0.00 |
DisclosureSEC source: 0001603923-16-000243 · wf-form4_147467002213984.xml · nonDerivative · entry 1 MACAULAY WILLIAM E · CIK 0000908428 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 966,246 F1 · price: Transaction was a grant of restricted share units and therefore has no price. The units are scheduled to vest on September 22, 2017. 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.