Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| INNOVATE Corp.VATE · Entity 6766 | Chief Operating Officer | March 15, 2023 | March 31, 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.
INNOVATE Corp.
Report date March 15, 2023 · Filed March 31, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 276,258 |
Reported balance
After 2023-03-15 transaction · row 1
1 source rowRow 1 · 2023-03-15 · Grant · Acquired 85,324 · Balance 276,258 F1: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. (f/k/a HC2 Holdings, Inc.) 2014 Omnibus Equity Award Plan (the "Plan"). Shares will vest and become exercisable in three installments of one-third each on the first, second and third anniversaries of the Date of Grant (each a "Vesting Date"), subject to the continued employment of the Reporting Person on the applicable Vesting Date. |
| Common StockSEC Table I · non-derivative | IndirectTrusts FBO Children | 9,276 |
Reported balance
Holding disclosure · report date 2023-03-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 9,276 F2: The shares of common stock reported herein are held in two trusts, each trust for the benefit of one of the Reporting Person's children. The Reporting Person's spouse serves as trustee for each trust. The Reporting Person disclaims beneficial ownership of all securities held by such trusts except to the extent of her pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. (f/k/a HC2 Holdings, Inc.) 2014 Omnibus Equity Award Plan (the "Plan"). Shares will vest and become exercisable in three installments of one-third each on the first, second and third anniversaries of the Date of Grant (each a "Vesting Date"), subject to the continued employment of the Reporting Person on the applicable Vesting Date.
F2: The shares of common stock reported herein are held in two trusts, each trust for the benefit of one of the Reporting Person's children. The Reporting Person's spouse serves as trustee for each trust. The Reporting Person disclaims beneficial ownership of all securities held by such trusts except to the extent of her pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
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 |
|---|---|---|---|---|---|---|
| March 15, 2023 Filed Mar 16, 2023 21:19 UTC | INNOVATE Corp. VATE · Entity 6766 | Tax withholdingCommon Stock | 8,060 | $2.93 | $23,615.80 |
DisclosureSEC source: 0001006837-23-000024 · wf-form4_167900156317375.xml · nonDerivative · entry 2 Herbst Suzi R · CIK 0001672162 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,934 F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. Read SEC document |
| March 15, 2023 Filed Mar 31, 2023 20:25 UTC | INNOVATE Corp. VATE · Entity 6766 | GrantCommon Stock | 85,324 | $0.00 | $0.00 |
DisclosureSEC source: 0001006837-23-000030 · wf-form4_168029434166870.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 276,258 F1 · shares: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. (f/k/a HC2 Holdings, Inc.) 2014 Omnibus Equity Award Plan (the "Plan"). Shares will vest and become exercisable in three installments of one-third each on the first, second and third anniversaries of the Date of Grant (each a "Vesting Date"), subject to the continued employment of the Reporting Person on the applicable Vesting Date. Read SEC document |
| March 13, 2023 Filed Mar 16, 2023 21:19 UTC | INNOVATE Corp. VATE · Entity 6766 | Tax withholdingCommon Stock | 9,381 | $2.96 | $27,767.76 |
DisclosureSEC source: 0001006837-23-000024 · wf-form4_167900156317375.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,994 F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. Read SEC document |
| April 20, 2022 Filed Apr 22, 2022 20:50 UTC | INNOVATE Corp. VATE · Entity 6766 | SaleCommon Stock | 5,184 | $3.76 | $19,513.61 |
DisclosureSEC source: 0001006837-22-000036 · wf-form4_165066058399015.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,375 F1 · kind: Sale effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 11, 2022. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.75 to $3.81, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| April 12, 2022 Filed Apr 14, 2022 20:25 UTC | INNOVATE Corp. VATE · Entity 6766 | PurchaseCommon Stock | 200 | $3.75 | $750.00 |
DisclosureSEC source: 0001006837-22-000032 · wf-form4_164996794226858.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,959 F1 · shares: Share purchase effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 11, 2022. Read SEC document |
| April 12, 2022 Filed Apr 21, 2022 20:32 UTC Amendment | INNOVATE Corp. VATE · Entity 6766 | SaleCommon Stock | 200 | $3.75 | $750.00 |
DisclosureSEC source: 0001006837-22-000034 · wf-form4a_165057311251022.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,559 F1 · kind: This Form 4 is being filed solely to correct the transaction type, which was originally reported as a purchase. F2 · shares: Sale effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 11, 2022. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 20:17 UTC | INNOVATE Corp. VATE · Entity 6766 | SaleCommon Stock | 8,081 | $3.57 | $28,857.25 |
DisclosureSEC source: 0001006837-22-000026 · wf-form4_164763462697801.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,759 F1 · kind: Shares sold to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.48 to $3.64, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| March 11, 2022 Filed Mar 15, 2022 20:14 UTC | INNOVATE Corp. VATE · Entity 6766 | GrantCommon Stock | 69,832 | $0.00 | $0.00 |
DisclosureSEC source: 0001006837-22-000020 · wf-form4_164737522572872.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,840 F1 · shares: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. (f/k/a HC2 Holdings, Inc.) 2014 Omnibus Equity Award Plan (the "Plan"). Shares will vest and become exercisable in three installments of one-third each on the first, second and third anniversaries of the Date of Grant (each a "Vesting Date"), subject to the continued employment of the Reporting Person on the applicable Vesting Date. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 23:32 UTC | INNOVATE Corp. HCHC · Entity 6766 | SaleCommon Stock | 9,619 | $3.60 | $34,612.05 |
DisclosureSEC source: 0001006837-21-000032 · wf-form4_161602393690096.xml · nonDerivative · entry 2 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,008 F2 · kind: Shares sold to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.57 to $3.61, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 23:32 UTC | INNOVATE Corp. HCHC · Entity 6766 | GrantCommon Stock | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001006837-21-000032 · wf-form4_161602393690096.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,627 F1 · shares: The reported stock award will vest in three installments of one-third each on each of the first, second and third anniversaries of the grant, provided reporting person continues as an officer of Issuer on each such vesting date. Read SEC document |
| November 20, 2020 Filed Nov 25, 2020 02:51 UTC | INNOVATE Corp. HCHC · Entity 6766 | OtherSubscription Rights (right to buy) · Derivative | 6,000 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001006837-20-000217 · wf-form4_160627269189526.xml · derivative · entry 4 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Trusts FBO Children Disclosed balance after: 0 Underlying: Common Stock · 3,276 shares Expires 2020-11-20 F3 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27. Read SEC document |
| November 20, 2020 Filed Nov 25, 2020 02:51 UTC | INNOVATE Corp. HCHC · Entity 6766 | OtherSubscription Rights (right to buy) · Derivative | 19,000 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001006837-20-000217 · wf-form4_160627269189526.xml · derivative · entry 3 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,377 shares Expires 2020-11-20 F3 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27. Read SEC document |
| November 20, 2020 Filed Nov 25, 2020 02:51 UTC | INNOVATE Corp. HCHC · Entity 6766 | OtherCommon Stock | 3,276 | $2.27 | $7,436.52 |
DisclosureSEC source: 0001006837-20-000217 · wf-form4_160627269189526.xml · nonDerivative · entry 2 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Trusts FBO Children Disclosed balance after: 9,276 F1 · shares: These shares were directly acquired by the reporting person as a result of the exercise of subscription rights which were issued to the reporting person in the Issuer's rights offering. F2 · ownership.nature: The shares of common stock reported herein are held in two trusts, each trust for the benefit of one of the Reporting Person's children. The Reporting Person's spouse serves as trustee for each trust. The Reporting Person disclaims beneficial ownership of all securities held by such trusts except to the extent of her pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 20, 2020 Filed Nov 25, 2020 02:51 UTC | INNOVATE Corp. HCHC · Entity 6766 | OtherCommon Stock | 10,377 | $2.27 | $23,555.79 |
DisclosureSEC source: 0001006837-20-000217 · wf-form4_160627269189526.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,627 F1 · shares: These shares were directly acquired by the reporting person as a result of the exercise of subscription rights which were issued to the reporting person in the Issuer's rights offering. Read SEC document |
| March 16, 2020 Filed Mar 17, 2020 20:39 UTC | INNOVATE Corp. HCHC · Entity 6766 | Tax withholdingCommon Stock | 2,619 | $2.25 | $5,892.75 |
DisclosureSEC source: 0001006837-20-000052 · wf-form4_158447756783140.xml · nonDerivative · entry 2 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,250 F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. Read SEC document |
| March 15, 2020 Filed Mar 17, 2020 20:39 UTC | INNOVATE Corp. HCHC · Entity 6766 | Tax withholdingCommon Stock | 19,717 | $2.68 | $52,841.56 |
DisclosureSEC source: 0001006837-20-000052 · wf-form4_158447756783140.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,869 F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:29 UTC | INNOVATE Corp. HCHC · Entity 6766 | Tax withholdingCommon Stock | 5,260 | $2.62 | $13,781.20 |
DisclosureSEC source: 0001006837-19-000031 · wf-form4_155303094820832.xml · nonDerivative · entry 3 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,586 F3 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:29 UTC | INNOVATE Corp. HCHC · Entity 6766 | GrantCommon Stock | 71,565 | $0.00 | $0.00 |
DisclosureSEC source: 0001006837-19-000031 · wf-form4_155303094820832.xml · nonDerivative · entry 2 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,846 F2 · kind: Reflects shares of restricted stock granted pursuant to the HC2 Holdings, Inc. Second Amended and Restated 2014 Omnibus Equity Award Plan, 47,710 of which will vest on March 15, 2020 and 23,855 of which will vest on March 15, 2021, provided the Reporting Person is employed by the Issuer on the applicable vesting date. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:29 UTC | INNOVATE Corp. HCHC · Entity 6766 | PurchaseCommon Stock | 3,770 | $2.65 | $10,001.81 |
DisclosureSEC source: 0001006837-19-000031 · wf-form4_155303094820832.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,281 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.65 to $2.66, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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. Read SEC document |
| March 14, 2019 Filed Mar 18, 2019 20:30 UTC | INNOVATE Corp. HCHC · Entity 6766 | PurchaseCommon Stock | 6,000 | $2.61 | $15,672.00 |
DisclosureSEC source: 0001006837-19-000023 · wf-form4_155294100763027.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Trusts FBO Children Disclosed balance after: 6,000 F1 · ownership.nature: The shares of common stock reported herein are held in two trusts, each trust for the benefit of one of the Reporting Person's children. The Reporting Person's spouse serves as trustee for each trust. The Reporting Person disclaims beneficial ownership of all securities held by such trusts except to the extent of her pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| March 14, 2019 Filed Mar 19, 2019 21:08 UTC Amendment | INNOVATE Corp. HCHC · Entity 6766 | PurchaseCommon Stock | 6,000 | $2.61 | $15,672.00 |
DisclosureSEC source: 0001006837-19-000025 · wf-form4a_155302969889527.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Trusts FBO Children Disclosed balance after: 6,000 F1 · ownership.nature: The shares of common stock reported herein are held in two trusts, each trust for the benefit of one of the Reporting Person's children. The Reporting Person's spouse serves as trustee for each trust. The Reporting Person disclaims beneficial ownership of all securities held by such trusts except to the extent of her pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| March 10, 2019 Filed Mar 12, 2019 21:08 UTC | INNOVATE Corp. HCHC · Entity 6766 | Tax withholdingCommon Stock | 2,316 | $3.03 | $7,017.48 |
DisclosureSEC source: 0001006837-19-000019 · wf-form4_155242488197016.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,511 F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. Read SEC document |
| March 16, 2018 Filed Mar 20, 2018 00:47 UTC | INNOVATE Corp. HCHC · Entity 6766 | GrantCommon Stock | 20,642 | $0.00 | $0.00 |
DisclosureSEC source: 0001006837-18-000028 · wf-form4_152150684166794.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,827 F1 · shares: Reflects shares of restricted stock granted pursuant to the HC2 Holdings, Inc. Amended and Restated 2014 Omnibus Equity Award Plan, 13,761 of which will vest on March 16, 2019 and 6,881 of which will vest on March 16, 2020, provided the Reporting Person is employed by the Issuer on the applicable vesting date. Read SEC document |
| March 10, 2018 Filed Mar 13, 2018 21:06 UTC | INNOVATE Corp. HCHC · Entity 6766 | Tax withholdingCommon Stock | 2,308 | $5.74 | $13,247.92 |
DisclosureSEC source: 0001006837-18-000012 · wf-form4_152097519112111.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,185 F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. Read SEC document |
| November 13, 2017 Filed Nov 14, 2017 22:33 UTC | INNOVATE Corp. HCHC · Entity 6766 | SaleCommon Stock | 5,303 | $4.99 | $26,483.18 |
DisclosureSEC source: 0001006837-17-000193 · wf-form4_151069877609495.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,493 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.950 to $5.025, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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. Read SEC document |
| March 10, 2017 Filed Mar 14, 2017 20:54 UTC | INNOVATE Corp. HCHC · Entity 6766 | Tax withholdingCommon Stock | 6,019 | $5.50 | $33,104.50 |
DisclosureSEC source: 0001006837-17-000048 · wf-form4_148952487591561.xml · nonDerivative · entry 2 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,796 F2 · shares: Reflects common stock withheld by Issuer to satisfy tax obligations. Read SEC document |
| March 10, 2017 Filed Mar 14, 2017 20:54 UTC | INNOVATE Corp. HCHC · Entity 6766 | GrantCommon Stock | 15,909 | $0.00 | $0.00 |
DisclosureSEC source: 0001006837-17-000048 · wf-form4_148952487591561.xml · nonDerivative · entry 1 Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,815 F1 · shares: Reflects shares of restricted stock granted pursuant to the HC2 Holdings, Inc. 2014 Omnibus Equity Award Plan (the "Plan"), which vests 1/3 on the grant date and 1/3 on each of the next two anniversaries of the grant date, provided the Reporting Person is employed by the Issuer on the applicable vesting 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.