Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| POWER SOLUTIONS INTERNATIONAL, INC.PSIX · Entity 5108 | See Remarks | June 19, 2018 | June 19, 2018 |
| SPRUCE POWER HOLDING CORPSPRU · Entity 7389 | Chief Financial Officer | April 11, 2023 | April 28, 2023 |
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.
POWER SOLUTIONS INTERNATIONAL, INC.
Report date June 19, 2018 · Filed June 19, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $7.99 · Expires 2028-05-04 | Direct | 15,000 |
Reported balance
After 2018-06-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-19 · Grant · Acquired 15,000 · Balance 15,000 F1: The Issuer granted the stock appreciation right (the "SAR") on May 4, 2018 (the "Grant Date"), pursuant to a Stock Appreciation Rights Agreement dated June 19, 2018, under the Issuer's 2012 Incentive Compensation Plan. F2: The SAR vests and becomes exercisable in three equal installments on each of the first, second and third anniversaries of the Grant Date. |
Filing footnotes · ownership attribution and instrument terms
F1: The Issuer granted the stock appreciation right (the "SAR") on May 4, 2018 (the "Grant Date"), pursuant to a Stock Appreciation Rights Agreement dated June 19, 2018, under the Issuer's 2012 Incentive Compensation Plan.
F2: The SAR vests and becomes exercisable in three equal installments on each of the first, second and third anniversaries of the Grant Date.
SPRUCE POWER HOLDING CORP
Report date April 11, 2023 · Filed April 28, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 361,270 |
Reported balance
After 2023-04-11 transaction · row 1
1 source rowRow 1 · 2023-04-11 · Tax withholding · Disposed 34,210 · Balance 361,270 F1: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on April 11, 2023. The applicable RSUs were reported on the Form 4 filed April 13, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on April 11, 2023. The applicable RSUs were reported on the Form 4 filed April 13, 2022.
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 |
|---|---|---|---|---|---|---|
| April 11, 2023 Filed Apr 28, 2023 16:01 UTC | SPRUCE POWER HOLDING CORP SPRU · Entity 7389 | Tax withholdingCommon Stock | 34,210 | $0.89 | $30,446.90 |
DisclosureSEC source: 0001213900-23-033856 · ownership.xml · nonDerivative · entry 1 Klein Donald P · CIK 0001741664 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 361,270 F1 · shares: The securities were withheld to pay the reporting person's tax withholding obligations with respect to the vesting of restricted stock units (RSUs) on April 11, 2023. The applicable RSUs were reported on the Form 4 filed April 13, 2022. Read SEC document |
| April 11, 2022 Filed Apr 13, 2022 10:07 UTC | SPRUCE POWER HOLDING CORP XL · Entity 7389 | GrantRestricted Stock Units | 395,480 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-019540 · ownership.xml · nonDerivative · entry 1 Klein Donald P · CIK 0001741664 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 395,480 F1 · shares: The securities awarded are in the form of restricted stock units (RSUs) issued pursuant to the issuer's 2020 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. Subject to the reporting person's continued service through the vesting dates, 25% of these RSUs will vest on the first anniversary of the grant date, and the remaining 75% of the RSUs will vest in substantially equal annual installments over the next three years on the date of such first anniversary. Read SEC document |
| June 19, 2018 Filed Jun 19, 2018 20:07 UTC | POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108 | GrantStock Appreciation Right · Derivative | 15,000 | $0.00 Strike: $7.99 | $0.00 |
DisclosureSEC source: 0000899243-18-017164 · doc4.xml · derivative · entry 1 Klein Donald P · CIK 0001741664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-05-04 F1 · date: The Issuer granted the stock appreciation right (the "SAR") on May 4, 2018 (the "Grant Date"), pursuant to a Stock Appreciation Rights Agreement dated June 19, 2018, under the Issuer's 2012 Incentive Compensation Plan. F2 · shares: The SAR vests and becomes exercisable in three equal installments on each of the first, second and third anniversaries of the Grant Date. F2 · derivative.exercise_date: The SAR vests and becomes exercisable in three equal installments on each of the first, second and third anniversaries of the Grant Date. F2 · derivative.underlying_shares: The SAR vests and becomes exercisable in three equal installments on each of the first, second and third anniversaries of the Grant Date. F2 · balance_after: The SAR vests and becomes exercisable in three equal installments on each of the first, second and third anniversaries of the Grant Date. 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.