Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Howmet Aerospace Inc.ARNC · Entity 2911 | Director | August 16, 2019 | September 24, 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.
Howmet Aerospace Inc.
Report date August 16, 2019 · Filed September 24, 2019 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 77,386 |
Reported balance
After 2019-08-16 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2019-08-16 · Tax withholding · Disposed 36,441 · Balance 77,386 F1: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3. F2: This amendment is being filed to correct the number of shares withheld for payment of the reporting person's tax liability in connection with the vesting of previously issued restricted stock units, and to correct the number of shares held directly by the reporting person following this change. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3.
F2: This amendment is being filed to correct the number of shares withheld for payment of the reporting person's tax liability in connection with the vesting of previously issued restricted stock units, and to correct the number of shares held directly by the reporting person following this change.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Arconic Corp
Report date August 18, 2023 · Filed August 18, 2023
Section 16 reporting ended · disclosed 2023-08-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-08-18 transaction · row 1
1 source rowRow 1 · 2023-08-18 · Disposition to issuer · Disposed 30,347 · Balance 0 F1: Represents shares of Arconic Corporation ("Arconic") common stock disposed of in connection with the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 4, 2023, by and among Arconic and affiliates of funds managed by Apollo Global Management, Inc. In accordance with the Merger Agreement, at the effective time of the merger contemplated thereby (the "Effective Time"), each share of Arconic common stock held by the reporting person was converted into the right to receive $30.00 in cash (the "Merger Consideration"). |
| Restricted Stock UnitsSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-08-18 transaction · row 2
1 source rowRow 2 · 2023-08-18 · Disposition to issuer · Disposed 5,194 · Balance 0 F2: In accordance with the Merger Agreement, at the Effective Time, each (a) restricted stock unit award, other than performance-based restricted stock units, and (b) deferred stock unit award under the Arconic Corporation Amended and Restated 2020 Deferred Fee Plan for Directors was cashed out based on the Merger Consideration. |
| Deferred Stock UnitsSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-08-18 transaction · row 3
1 source rowRow 3 · 2023-08-18 · Disposition to issuer · Disposed 53,506 · Balance 0 F2: In accordance with the Merger Agreement, at the Effective Time, each (a) restricted stock unit award, other than performance-based restricted stock units, and (b) deferred stock unit award under the Arconic Corporation Amended and Restated 2020 Deferred Fee Plan for Directors was cashed out based on the Merger Consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Arconic Corporation ("Arconic") common stock disposed of in connection with the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 4, 2023, by and among Arconic and affiliates of funds managed by Apollo Global Management, Inc. In accordance with the Merger Agreement, at the effective time of the merger contemplated thereby (the "Effective Time"), each share of Arconic common stock held by the reporting person was converted into the right to receive $30.00 in cash (the "Merger Consideration").
F2: In accordance with the Merger Agreement, at the Effective Time, each (a) restricted stock unit award, other than performance-based restricted stock units, and (b) deferred stock unit award under the Arconic Corporation Amended and Restated 2020 Deferred Fee Plan for Directors was cashed out based on the Merger Consideration.
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 |
|---|---|---|---|---|---|---|
| August 18, 2023 Filed Aug 18, 2023 12:33 UTC | Arconic Corp ARNC · Entity 110394 | Disposition to issuerDeferred Stock Units | 53,506 | $30.00 | $1,605,180.00 |
DisclosureSEC source: 0001140361-23-040426 · form4.xml · nonDerivative · entry 3 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F2 · shares: In accordance with the Merger Agreement, at the Effective Time, each (a) restricted stock unit award, other than performance-based restricted stock units, and (b) deferred stock unit award under the Arconic Corporation Amended and Restated 2020 Deferred Fee Plan for Directors was cashed out based on the Merger Consideration. F2 · price: In accordance with the Merger Agreement, at the Effective Time, each (a) restricted stock unit award, other than performance-based restricted stock units, and (b) deferred stock unit award under the Arconic Corporation Amended and Restated 2020 Deferred Fee Plan for Directors was cashed out based on the Merger Consideration. Read SEC document |
| August 18, 2023 Filed Aug 18, 2023 12:33 UTC | Arconic Corp ARNC · Entity 110394 | Disposition to issuerRestricted Stock Units | 5,194 | $30.00 | $155,820.00 |
DisclosureSEC source: 0001140361-23-040426 · form4.xml · nonDerivative · entry 2 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F2 · shares: In accordance with the Merger Agreement, at the Effective Time, each (a) restricted stock unit award, other than performance-based restricted stock units, and (b) deferred stock unit award under the Arconic Corporation Amended and Restated 2020 Deferred Fee Plan for Directors was cashed out based on the Merger Consideration. F2 · price: In accordance with the Merger Agreement, at the Effective Time, each (a) restricted stock unit award, other than performance-based restricted stock units, and (b) deferred stock unit award under the Arconic Corporation Amended and Restated 2020 Deferred Fee Plan for Directors was cashed out based on the Merger Consideration. Read SEC document |
| August 18, 2023 Filed Aug 18, 2023 12:33 UTC | Arconic Corp ARNC · Entity 110394 | Disposition to issuerCommon Stock | 30,347 | $30.00 | $910,410.00 |
DisclosureSEC source: 0001140361-23-040426 · form4.xml · nonDerivative · entry 1 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: Represents shares of Arconic Corporation ("Arconic") common stock disposed of in connection with the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 4, 2023, by and among Arconic and affiliates of funds managed by Apollo Global Management, Inc. In accordance with the Merger Agreement, at the effective time of the merger contemplated thereby (the "Effective Time"), each share of Arconic common stock held by the reporting person was converted into the right to receive $30.00 in cash (the "Merger Consideration"). F1 · price: Represents shares of Arconic Corporation ("Arconic") common stock disposed of in connection with the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 4, 2023, by and among Arconic and affiliates of funds managed by Apollo Global Management, Inc. In accordance with the Merger Agreement, at the effective time of the merger contemplated thereby (the "Effective Time"), each share of Arconic common stock held by the reporting person was converted into the right to receive $30.00 in cash (the "Merger Consideration"). Read SEC document |
| May 22, 2023 Filed May 24, 2023 16:38 UTC | Arconic Corp ARNC · Entity 110394 | GrantCommon Stock | 5,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-23-016733 · form4.xml · nonDerivative · entry 1 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 87,547 F1 · shares: Represents the annual award of restricted share units pursuant to the Amended and Restated Arconic Corporation Non-Employee Director Compensation Policy. Read SEC document |
| May 23, 2022 Filed May 25, 2022 16:46 UTC | Arconic Corp ARNC · Entity 110394 | GrantCommon Stock | 5,425 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-22-015653 · form4.xml · nonDerivative · entry 1 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,353 F1 · shares: Represents the annual award of restricted share units pursuant to the Amended and Restated Arconic Corporation Non-Employee Director Compensation Policy. Read SEC document |
| August 05, 2021 Filed Aug 9, 2021 19:00 UTC | Arconic Corp ARNC · Entity 110394 | PurchaseCommon Stock | 3,000 | $31.82 | $95,460.00 |
DisclosureSEC source: 0001790982-21-000102 · edgar.xml · nonDerivative · entry 1 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,928 F1 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $31.691 to $32.00. The reporting person undertakes to provide to Arconic Corporation ("Arconic"), any security holder of Arconic, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| May 24, 2021 Filed May 24, 2021 21:18 UTC | Arconic Corp ARNC · Entity 110394 | GrantCommon Stock | 4,252 | $35.28 | $150,010.56 |
DisclosureSEC source: 0001790982-21-000072 · edgar.xml · nonDerivative · entry 1 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,929 F1 · shares: Represents the annual award of restricted share units pursuant to the Amended and Restated Arconic Corporation Non-Employee Director Compensation Policy Read SEC document |
| April 17, 2020 Filed Apr 21, 2020 13:10 UTC | Arconic Corp ARNC · Entity 110394 | GrantCommon Stock | 15,840 | $0.00 | $0.00 |
DisclosureSEC source: 0001790982-20-000107 · edgar.xml · nonDerivative · entry 1 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,627 Read SEC document |
| August 23, 2019 Filed Aug 26, 2019 17:54 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | GrantCommon Stock | 4,581 | $0.00 | $0.00 |
DisclosureSEC source: 0000004281-19-000107 · edgar.xml · nonDerivative · entry 1 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,498 Read SEC document |
| August 16, 2019 Filed Aug 20, 2019 20:02 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | Exercise / conversionRestricted Stock Unit · Derivative | 101,122 | $0.00 | $0.00 |
DisclosureSEC source: 0000004281-19-000103 · edgar.xml · derivative · entry 4 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 101,122 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of Arconic Inc. ("Arconic") or, at Arconic's election, cash equivalent to the fair market value thereof. F5 · derivative.exercise_date: On February 15, 2019, the reporting person was granted 385,000 restricted stock units, generally vesting in two equal installments on the first and second anniversary of February 6, 2019, contingent on the reporting person's continued service as Chief Operating Officer through each applicable vesting date and subject to prorated or full vesting upon the occurrence of certain events. On August 16, 2019, in connection with the reporting person's cessation of service as Chief Operating Officer of Arconic, 101,122 restricted stock units vested and the remaining 283,878 restricted stock units were forfeited. The vested restricted stock units were settled in shares of Arconic common stock as described above. F5 · derivative.expiration_date: On February 15, 2019, the reporting person was granted 385,000 restricted stock units, generally vesting in two equal installments on the first and second anniversary of February 6, 2019, contingent on the reporting person's continued service as Chief Operating Officer through each applicable vesting date and subject to prorated or full vesting upon the occurrence of certain events. On August 16, 2019, in connection with the reporting person's cessation of service as Chief Operating Officer of Arconic, 101,122 restricted stock units vested and the remaining 283,878 restricted stock units were forfeited. The vested restricted stock units were settled in shares of Arconic common stock as described above. F6 · balance_after: The amount of securities beneficially owned reflects the forfeiture of 283,878 restricted stock units in connection with the reporting person's cessation of service as Chief Operating Officer of Arconic, effective August 16, 2019. The acquisition of these restricted stock units was previously reported in Table II of the reporting person's Form 4 on February 19, 2019. Read SEC document |
| August 16, 2019 Filed Aug 20, 2019 20:02 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | Tax withholdingCommon Stock | 37,910 | $24.84 | $941,684.40 |
DisclosureSEC source: 0000004281-19-000103 · edgar.xml · nonDerivative · entry 2 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,917 F2 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3. Read SEC document |
| August 16, 2019 Filed Aug 20, 2019 20:02 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | Exercise / conversionCommon Stock | 101,122 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000004281-19-000103 · edgar.xml · nonDerivative · entry 1 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,827 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: Acquisition of common stock upon vesting and settlement of restricted stock units. Each restricted stock unit converted into common stock on a one-for-one basis. F1 · price: Acquisition of common stock upon vesting and settlement of restricted stock units. Each restricted stock unit converted into common stock on a one-for-one basis. Read SEC document |
| August 16, 2019 Filed Sep 24, 2019 17:45 UTC Amendment | Howmet Aerospace Inc. ARNC · Entity 2911 | Tax withholdingCommon Stock | 36,441 | $24.84 | $905,194.44 |
DisclosureSEC source: 0000004281-19-000112 · edgar.xml · nonDerivative · entry 1 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,386 F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3. F2 · shares: This amendment is being filed to correct the number of shares withheld for payment of the reporting person's tax liability in connection with the vesting of previously issued restricted stock units, and to correct the number of shares held directly by the reporting person following this change. F2 · balance_after: This amendment is being filed to correct the number of shares withheld for payment of the reporting person's tax liability in connection with the vesting of previously issued restricted stock units, and to correct the number of shares held directly by the reporting person following this change. Read SEC document |
| February 15, 2019 Filed Feb 19, 2019 18:13 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | GrantRestricted Stock Unit · Derivative | 385,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000004281-19-000029 · edgar.xml · derivative · entry 1 DOTY ELMER L · CIK 0001241599 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,000 Underlying: Common Stock · 385,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of Arconic Inc. ("Arconic") or, at Arconic's election, cash equivalent to the fair market value thereof. F2 · derivative.exercise_date: The restricted stock units generally vest in two equal installments on the first and second anniversary of February 6, 2019, contingent on Mr. Doty's continued service as Chief Operating Officer through each applicable vesting date and subject to prorated or full vesting upon the occurrence of certain events. Vested restricted stock units will be settled in shares or cash, as applicable, within 30 days following each applicable vesting date. F2 · derivative.expiration_date: The restricted stock units generally vest in two equal installments on the first and second anniversary of February 6, 2019, contingent on Mr. Doty's continued service as Chief Operating Officer through each applicable vesting date and subject to prorated or full vesting upon the occurrence of certain events. Vested restricted stock units will be settled in shares or cash, as applicable, within 30 days following each applicable vesting date. Read SEC document |
| May 18, 2018 Filed May 22, 2018 21:11 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | GrantCommon Stock | 8,296 | $0.00 | $0.00 |
DisclosureSEC source: 0000004281-18-000082 · edgar.xml · nonDerivative · entry 1 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,705 Read SEC document |
| August 10, 2017 Filed Aug 10, 2017 21:30 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | PurchaseCommon Stock | 2,000 | $24.04 | $48,080.00 |
DisclosureSEC source: 0000004281-17-000114 · edgar.xml · nonDerivative · entry 4 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 6,000 F1 · ownership.nature: Revocable living trust of which the reporting person and his spouse are trustees and beneficiaries, with voting and investment power. Read SEC document |
| August 10, 2017 Filed Aug 10, 2017 21:30 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | PurchaseCommon Stock | 2,000 | $24.50 | $49,000.00 |
DisclosureSEC source: 0000004281-17-000114 · edgar.xml · nonDerivative · entry 3 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 4,000 F1 · ownership.nature: Revocable living trust of which the reporting person and his spouse are trustees and beneficiaries, with voting and investment power. Read SEC document |
| August 08, 2017 Filed Aug 10, 2017 21:30 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | PurchaseCommon Stock | 2,000 | $25.00 | $50,000.00 |
DisclosureSEC source: 0000004281-17-000114 · edgar.xml · nonDerivative · entry 2 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 2,000 F1 · ownership.nature: Revocable living trust of which the reporting person and his spouse are trustees and beneficiaries, with voting and investment power. Read SEC document |
| May 30, 2017 Filed Jun 1, 2017 21:33 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | GrantCommon Stock | 4,409 | $0.00 | $0.00 |
DisclosureSEC source: 0000004281-17-000095 · edgar.xml · nonDerivative · entry 1 DOTY ELMER L · CIK 0001241599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,409 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.