Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| OPENLANE, Inc.KAR · Entity 4015 | IAA CEO & President | March 02, 2019 | March 05, 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.
OPENLANE, Inc.
Report date March 02, 2019 · Filed March 05, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 77,168.6532 |
Ending reported balance
After 2019-03-02 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-03-02 · Exercise / conversion · Acquired 965 · Balance 77,596.6532 F1: Each restricted stock unit is convertible into a share of common stock on a 1-for-1 basis. The restricted stock units vested in common stock on March 2, 2019. Row 2 · 2019-03-02 · Tax withholding · Disposed 428 · Balance 77,168.6532 F2: Shares withheld by the Company to satisfy tax withholding requirements. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 1,930 |
Reported balance
After 2019-03-02 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-03-02 · Exercise / conversion · Disposed 965 · Balance 1,930 F3: Converts into common stock on a 1-for-1 basis. F5: These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vested on March 2, 2019, one-third of these restricted stock units vest on March 2, 2020 and the remaining one-third of these restricted stock units vest on March 2, 2021, assuming continued employment through the applicable vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 1,091 |
Reported balance
Holding disclosure · report date 2019-03-02 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 1,091 F3: Converts into common stock on a 1-for-1 basis. F4: These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vested on February 24, 2018, one-third of these restricted stock units vested on February 24, 2019 and the remaining one-third of these restricted stock units vest on February 24, 2020, assuming continued employment through the applicable vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 3,496 |
Reported balance
Holding disclosure · report date 2019-03-02 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 3,496 F3: Converts into common stock on a 1-for-1 basis. F6: These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vest on February 22, 2020, one-third of these restricted stock units vest on February 22, 2021 and the remaining one-third of these restricted stock units vest on February 22, 2022, assuming continued employment through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit is convertible into a share of common stock on a 1-for-1 basis. The restricted stock units vested in common stock on March 2, 2019.
F2: Shares withheld by the Company to satisfy tax withholding requirements.
F3: Converts into common stock on a 1-for-1 basis.
F4: These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vested on February 24, 2018, one-third of these restricted stock units vested on February 24, 2019 and the remaining one-third of these restricted stock units vest on February 24, 2020, assuming continued employment through the applicable vesting date.
F5: These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vested on March 2, 2019, one-third of these restricted stock units vest on March 2, 2020 and the remaining one-third of these restricted stock units vest on March 2, 2021, assuming continued employment through the applicable vesting date.
F6: These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vest on February 22, 2020, one-third of these restricted stock units vest on February 22, 2021 and the remaining one-third of these restricted stock units vest on February 22, 2022, assuming continued employment through the applicable vesting date.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
IAA, Inc.
Report date March 20, 2023 · Filed March 21, 2023
Section 16 reporting ended · disclosed 2023-03-21. 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 |
Ending reported balance
After 2023-03-20 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-03-20 · Grant · Acquired 84,436 · Balance 276,669.65 F1: Pursuant to an Agreement and Plan of Merger and Reorganization, dated as of November 7, 2022, as amended by the Amendment to the Agreement and Plan of Merger and Reorganization, dated as of January 22, 2023 (the "Merger Agreement" and the transactions contemplated thereby, the "Merger"), by and among the Issuer, a Delaware corporation, Ritchie Bros. Auctioneers Incorporated, a company organized under the federal laws of Canada ("RBA"), Ritchie Bros. Holdings Inc., a Washington corporation and a direct and indirect wholly owned subsidiary of RBA ("US Holdings"), Impala Merger Sub I, LLC, a Delaware limited liability company and a direct wholly owned subsidiary of US Holdings, and Impala Merger Sub II, LLC, a Delaware limited liability company and a direct wholly owned subsidiary of US Holdings, F2: (Continued from Footnote 1) awards of restricted stock units previously granted by the Issuer that were subject to performance-based vesting conditions were assumed by RBA at the effective time of the Merger (the "Effective Time") and converted into the right to receive, upon vesting, a number of RBA common shares determined based on an equity award exchange ratio of 0.763139 RBA common shares per share of Issuer stock underlying such award (the "equity award exchange ratio"). The RBA common shares underlying these restricted stock units will be subject to the same terms and conditions, including time-based vesting and forfeiture provisions, but not performance-vesting provisions, as applied to the restricted stock units as of immediately prior to the Effective Time. Row 2 · 2023-03-20 · Disposition to issuer · Disposed 276,669.65 · Balance 0 F3: Pursuant to the Merger Agreement, each share of the Issuer's common stock held by the Reporting Person, automatically and without any required action by the Reporting Person, was converted into the right to receive: (i) 0.5252 of a common share of RBA plus cash in lieu of any fractional RBA common share, and (ii) $12.80 in cash, without interest and less any required withholding taxes. F1: Pursuant to an Agreement and Plan of Merger and Reorganization, dated as of November 7, 2022, as amended by the Amendment to the Agreement and Plan of Merger and Reorganization, dated as of January 22, 2023 (the "Merger Agreement" and the transactions contemplated thereby, the "Merger"), by and among the Issuer, a Delaware corporation, Ritchie Bros. Auctioneers Incorporated, a company organized under the federal laws of Canada ("RBA"), Ritchie Bros. Holdings Inc., a Washington corporation and a direct and indirect wholly owned subsidiary of RBA ("US Holdings"), Impala Merger Sub I, LLC, a Delaware limited liability company and a direct wholly owned subsidiary of US Holdings, and Impala Merger Sub II, LLC, a Delaware limited liability company and a direct wholly owned subsidiary of US Holdings, F2: (Continued from Footnote 1) awards of restricted stock units previously granted by the Issuer that were subject to performance-based vesting conditions were assumed by RBA at the effective time of the Merger (the "Effective Time") and converted into the right to receive, upon vesting, a number of RBA common shares determined based on an equity award exchange ratio of 0.763139 RBA common shares per share of Issuer stock underlying such award (the "equity award exchange ratio"). The RBA common shares underlying these restricted stock units will be subject to the same terms and conditions, including time-based vesting and forfeiture provisions, but not performance-vesting provisions, as applied to the restricted stock units as of immediately prior to the Effective Time. F4: In addition to the restricted stock units described in footnote 1, includes 44,222 shares underlying restricted stock units that were subject to time-based vesting conditions. Pursuant to the terms of the Merger Agreement, these restricted stock units were assumed by RBA at the Effective Time and converted into the right to receive a number of RBA common shares determined based on the equity award exchange ratio. The RBA common shares stock underlying these restricted stock units will be subject to the same terms and conditions, including vesting and forfeiture terms, applicable to the restricted stock units as of immediately prior to the Effective Time. |
| Employee stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $46.97 · Expires 2029-07-29 | Direct | 0 |
Reported balance
After 2023-03-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-03-20 · Disposition to issuer · Disposed 41,914 · Balance 0 F5: This option, which provided for vesting in three equal annual installments beginning on July 29, 2020, was assumed by RBA at the Effective Time and converted into an option to purchase a number of RBA common shares and at an exercise price, in each case determined based on the equity award exchange ratio. The RBA common shares underlying the option will be subject to the same terms and conditions, including vesting, exercise, expiration and forfeiture terms, applicable to the option as of immediately prior to the Effective Time. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to an Agreement and Plan of Merger and Reorganization, dated as of November 7, 2022, as amended by the Amendment to the Agreement and Plan of Merger and Reorganization, dated as of January 22, 2023 (the "Merger Agreement" and the transactions contemplated thereby, the "Merger"), by and among the Issuer, a Delaware corporation, Ritchie Bros. Auctioneers Incorporated, a company organized under the federal laws of Canada ("RBA"), Ritchie Bros. Holdings Inc., a Washington corporation and a direct and indirect wholly owned subsidiary of RBA ("US Holdings"), Impala Merger Sub I, LLC, a Delaware limited liability company and a direct wholly owned subsidiary of US Holdings, and Impala Merger Sub II, LLC, a Delaware limited liability company and a direct wholly owned subsidiary of US Holdings,
F2: (Continued from Footnote 1) awards of restricted stock units previously granted by the Issuer that were subject to performance-based vesting conditions were assumed by RBA at the effective time of the Merger (the "Effective Time") and converted into the right to receive, upon vesting, a number of RBA common shares determined based on an equity award exchange ratio of 0.763139 RBA common shares per share of Issuer stock underlying such award (the "equity award exchange ratio"). The RBA common shares underlying these restricted stock units will be subject to the same terms and conditions, including time-based vesting and forfeiture provisions, but not performance-vesting provisions, as applied to the restricted stock units as of immediately prior to the Effective Time.
F3: Pursuant to the Merger Agreement, each share of the Issuer's common stock held by the Reporting Person, automatically and without any required action by the Reporting Person, was converted into the right to receive: (i) 0.5252 of a common share of RBA plus cash in lieu of any fractional RBA common share, and (ii) $12.80 in cash, without interest and less any required withholding taxes.
F4: In addition to the restricted stock units described in footnote 1, includes 44,222 shares underlying restricted stock units that were subject to time-based vesting conditions. Pursuant to the terms of the Merger Agreement, these restricted stock units were assumed by RBA at the Effective Time and converted into the right to receive a number of RBA common shares determined based on the equity award exchange ratio. The RBA common shares stock underlying these restricted stock units will be subject to the same terms and conditions, including vesting and forfeiture terms, applicable to the restricted stock units as of immediately prior to the Effective Time.
F5: This option, which provided for vesting in three equal annual installments beginning on July 29, 2020, was assumed by RBA at the Effective Time and converted into an option to purchase a number of RBA common shares and at an exercise price, in each case determined based on the equity award exchange ratio. The RBA common shares underlying the option will be subject to the same terms and conditions, including vesting, exercise, expiration and forfeiture terms, applicable to the option as of immediately prior to the Effective Time.
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 |
|---|---|---|---|---|---|---|
| February 20, 2018 Filed Feb 22, 2018 18:07 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock | 1,072 | $0.00 | $0.00 |
DisclosureSEC source: 0001395942-18-000038 · wf-form4_151934084995629.xml · nonDerivative · entry 1 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,100.6532 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 restricted stock unit is convertible into a share of common stock on a 1-for-1 basis. The restricted stock units vested in common stock on February 20, 2018. Read SEC document |
| February 06, 2018 Filed Feb 8, 2018 21:06 UTC | OPENLANE, Inc. KAR · Entity 4015 | GrantRestricted Stock Units · Derivative | 3,273 | $0.00 | $0.00 |
DisclosureSEC source: 0001395942-18-000019 · wf-form4_151814198454120.xml · derivative · entry 5 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,273 Underlying: Common Stock · 3,273 shares Expires not disclosed F4 · derivative.exercise_price: Converts into common stock on a 1-for-1 basis. F7 · derivative.exercise_date: The compensation committee certified on February 6, 2018 that the Company achieved the 2017 net income performance goal for the restricted stock unit awards granted in 2017 under the KAR Auction Services, Inc. 2009 Omnibus Stock and Incentive Plan. These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vest on February 24, 2018, one-third of these restricted stock units vest on February 24, 2019 and the remaining one-third of these restricted stock units vest on February 24, 2020, assuming continued employment through the applicable vesting date. F7 · derivative.expiration_date: The compensation committee certified on February 6, 2018 that the Company achieved the 2017 net income performance goal for the restricted stock unit awards granted in 2017 under the KAR Auction Services, Inc. 2009 Omnibus Stock and Incentive Plan. These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vest on February 24, 2018, one-third of these restricted stock units vest on February 24, 2019 and the remaining one-third of these restricted stock units vest on February 24, 2020, assuming continued employment through the applicable vesting date. Read SEC document |
| February 06, 2018 Filed Feb 8, 2018 21:06 UTC | OPENLANE, Inc. KAR · Entity 4015 | Tax withholdingCommon Stock | 4,986 | $51.04 | $254,485.44 |
DisclosureSEC source: 0001395942-18-000019 · wf-form4_151814198454120.xml · nonDerivative · entry 2 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,028.6532 F3 · kind: Shares withheld by the Company to satisfy tax withholding requirements. Read SEC document |
| February 06, 2018 Filed Feb 8, 2018 21:06 UTC | OPENLANE, Inc. KAR · Entity 4015 | GrantCommon Stock | 14,043.6532 | $0.00 | $0.00 |
DisclosureSEC source: 0001395942-18-000019 · wf-form4_151814198454120.xml · nonDerivative · entry 1 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,014.6532 F1 · shares: The number of performance-based restricted stock units that vested was determined based on the Company's cumulative adjusted net income per share exceeding certain levels over the three-year period beginning on January 1, 2015 and ending on December 31, 2017. F2 · price: Each performance-based restricted stock unit is convertible into a share of common stock on a 1-for-1 basis. The performance-based restricted stock units vested into common stock on February 6, 2018. Read SEC document |
| August 01, 2017 Filed Aug 2, 2017 20:40 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock · Derivative | 17,049 | $10.00 Strike: $10.00 | $170,490.00 |
DisclosureSEC source: 0001395942-17-000097 · wf-form4_150172080684116.xml · derivative · entry 3 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,049 shares Expires 2017-08-20 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_date: All of these options are currently exercisable. Read SEC document |
| August 01, 2017 Filed Aug 2, 2017 20:40 UTC | OPENLANE, Inc. KAR · Entity 4015 | SaleCommon Stock | 10,011 | $42.01 | $420,572.12 |
DisclosureSEC source: 0001395942-17-000097 · wf-form4_150172080684116.xml · nonDerivative · entry 2 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,971 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on February 24, 2017. F2 · shares: Reflects 10,011 shares sold to fund the cashless exercise of 17,049 options owned by the reporting person. F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.86 to $42.19 per share, 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 range set forth in this footnote. Read SEC document |
| August 01, 2017 Filed Aug 2, 2017 20:40 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock | 17,049 | $10.00 | $170,490.00 |
DisclosureSEC source: 0001395942-17-000097 · wf-form4_150172080684116.xml · nonDerivative · entry 1 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,982 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. Read SEC document |
| July 03, 2017 Filed Jul 5, 2017 10:10 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock · Derivative | 17,049 | $10.00 Strike: $10.00 | $170,490.00 |
DisclosureSEC source: 0001395942-17-000087 · wf-form4_149926381150119.xml · derivative · entry 3 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,049 Underlying: Common Stock · 17,049 shares Expires 2017-08-20 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_date: All of these options are currently exercisable. Read SEC document |
| July 03, 2017 Filed Jul 5, 2017 10:10 UTC | OPENLANE, Inc. KAR · Entity 4015 | SaleCommon Stock | 10,008 | $42.06 | $420,982.52 |
DisclosureSEC source: 0001395942-17-000087 · wf-form4_149926381150119.xml · nonDerivative · entry 2 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,933 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on February 24, 2017. F2 · shares: Reflects 10,008 shares sold to fund the cashless exercise of 17,049 options owned by the reporting person. F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.96 to $42.16 per share, 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 range set forth in this footnote. Read SEC document |
| July 03, 2017 Filed Jul 5, 2017 10:10 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock | 17,049 | $10.00 | $170,490.00 |
DisclosureSEC source: 0001395942-17-000087 · wf-form4_149926381150119.xml · nonDerivative · entry 1 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,941 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. Read SEC document |
| June 01, 2017 Filed Jun 1, 2017 13:46 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock · Derivative | 17,049 | $10.00 Strike: $10.00 | $170,490.00 |
DisclosureSEC source: 0001395942-17-000076 · wf-form4_149633919097369.xml · derivative · entry 3 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,098 Underlying: Common Stock · 17,049 shares Expires 2017-08-20 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_date: All of these options are currently exercisable. Read SEC document |
| June 01, 2017 Filed Jun 1, 2017 13:46 UTC | OPENLANE, Inc. KAR · Entity 4015 | SaleCommon Stock | 9,913 | $43.92 | $435,420.59 |
DisclosureSEC source: 0001395942-17-000076 · wf-form4_149633919097369.xml · nonDerivative · entry 2 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,892 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on February 24, 2017. F2 · shares: Reflects 9,913 shares sold to fund the cashless exercise of 17,049 options owned by the reporting person. F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.46 to $44.07 per share, 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 range set forth in this footnote. Read SEC document |
| June 01, 2017 Filed Jun 1, 2017 13:46 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock | 17,049 | $10.00 | $170,490.00 |
DisclosureSEC source: 0001395942-17-000076 · wf-form4_149633919097369.xml · nonDerivative · entry 1 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,805 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. Read SEC document |
| May 01, 2017 Filed May 1, 2017 20:21 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock · Derivative | 17,049 | $10.00 Strike: $10.00 | $170,490.00 |
DisclosureSEC source: 0001395942-17-000069 · wf-form4_149368449549918.xml · derivative · entry 3 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,147 Underlying: Common Stock · 17,049 shares Expires 2017-08-20 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_date: All of these options are currently exercisable. Read SEC document |
| May 01, 2017 Filed May 1, 2017 20:21 UTC | OPENLANE, Inc. KAR · Entity 4015 | SaleCommon Stock | 9,938 | $43.41 | $431,424.48 |
DisclosureSEC source: 0001395942-17-000069 · wf-form4_149368449549918.xml · nonDerivative · entry 2 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,756 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on February 24, 2017. F2 · shares: Reflects 9,938 shares sold to fund the cashless exercise of 17,049 options owned by the reporting person. F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.24 to $43.67 per share, 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 range set forth in this footnote. Read SEC document |
| May 01, 2017 Filed May 1, 2017 20:21 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock | 17,049 | $10.00 | $170,490.00 |
DisclosureSEC source: 0001395942-17-000069 · wf-form4_149368449549918.xml · nonDerivative · entry 1 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,694 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. Read SEC document |
| April 03, 2017 Filed Apr 5, 2017 20:43 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock · Derivative | 17,050 | $10.00 Strike: $10.00 | $170,500.00 |
DisclosureSEC source: 0001395942-17-000057 · wf-form4_149143940400980.xml · derivative · entry 3 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,196 Underlying: Common Stock · 17,050 shares Expires 2017-08-20 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_date: All of these options are currently exercisable. Read SEC document |
| April 03, 2017 Filed Apr 5, 2017 20:43 UTC | OPENLANE, Inc. KAR · Entity 4015 | SaleCommon Stock | 8,321 | $43.36 | $360,817.70 |
DisclosureSEC source: 0001395942-17-000057 · wf-form4_149143940400980.xml · nonDerivative · entry 2 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,645 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on February 24, 2017. F2 · shares: Reflects 8,321 shares sold to fund the cashless exercise of 17,050 options owned by the reporting person. F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.19 to $43.73 per share, 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 range set forth in this footnote. Read SEC document |
| April 03, 2017 Filed Apr 5, 2017 20:43 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock | 17,050 | $10.00 | $170,500.00 |
DisclosureSEC source: 0001395942-17-000057 · wf-form4_149143940400980.xml · nonDerivative · entry 1 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,966 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. Read SEC document |
| February 23, 2017 Filed Feb 27, 2017 21:37 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionRestricted Stock Units · Derivative | 1,166 | $0.00 | $0.00 |
DisclosureSEC source: 0001395942-17-000040 · wf-form4_148824940716969.xml · derivative · entry 7 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,332 Underlying: Common Stock · 1,166 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 restricted stock unit is convertible into a share of common stock on a 1-for-1 basis. The restricted stock units vested in common stock on February 23, 2017. F7 · derivative.exercise_date: These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vested on February 23, 2017, one-third of these restricted stock units vest on February 22, 2018 and the remaining one-third of these restricted stock units vest on February 22, 2019, assuming continued employment through the applicable vesting date. F7 · derivative.expiration_date: These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vested on February 23, 2017, one-third of these restricted stock units vest on February 22, 2018 and the remaining one-third of these restricted stock units vest on February 22, 2019, assuming continued employment through the applicable vesting date. Read SEC document |
| February 23, 2017 Filed Feb 27, 2017 21:37 UTC | OPENLANE, Inc. KAR · Entity 4015 | GrantRestricted Stock Units · Derivative | 3,498 | $0.00 | $0.00 |
DisclosureSEC source: 0001395942-17-000040 · wf-form4_148824940716969.xml · derivative · entry 6 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,498 Underlying: Common Stock · 3,498 shares Expires not disclosed F4 · derivative.exercise_price: Converts into common stock on a 1-for-1 basis. F6 · derivative.exercise_date: The compensation committee certified on February 23, 2017 that the Company achieved the 2016 net income performance goal for the restricted stock unit awards granted in 2016 under the KAR Auction Services, Inc. 2009 Omnibus Stock and Incentive Plan. These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vested on February 23, 2017, one-third of these restricted stock units vest on February 22, 2018 and the remaining one-third of these restricted stock units vest on February 22, 2019, assuming continued employment through the applicable vesting date. F6 · derivative.expiration_date: The compensation committee certified on February 23, 2017 that the Company achieved the 2016 net income performance goal for the restricted stock unit awards granted in 2016 under the KAR Auction Services, Inc. 2009 Omnibus Stock and Incentive Plan. These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vested on February 23, 2017, one-third of these restricted stock units vest on February 22, 2018 and the remaining one-third of these restricted stock units vest on February 22, 2019, assuming continued employment through the applicable vesting date. Read SEC document |
| February 23, 2017 Filed Feb 27, 2017 21:37 UTC | OPENLANE, Inc. KAR · Entity 4015 | Tax withholdingCommon Stock | 380 | $44.80 | $17,024.00 |
DisclosureSEC source: 0001395942-17-000040 · wf-form4_148824940716969.xml · nonDerivative · entry 3 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 786 F2 · kind: Shares withheld by the Company to satisfy tax withholding requirements. Read SEC document |
| February 23, 2017 Filed Feb 27, 2017 21:37 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock | 1,166 | $0.00 | $0.00 |
DisclosureSEC source: 0001395942-17-000040 · wf-form4_148824940716969.xml · nonDerivative · entry 2 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,166 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 · price: Each restricted stock unit is convertible into a share of common stock on a 1-for-1 basis. The restricted stock units vested in common stock on February 23, 2017. Read SEC document |
| February 20, 2017 Filed Feb 22, 2017 20:44 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionRestricted Stock Units · Derivative | 1,072 | $0.00 | $0.00 |
DisclosureSEC source: 0001395942-17-000025 · wf-form4_148781428626880.xml · derivative · entry 5 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072 Underlying: Common Stock · 1,072 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 restricted stock unit is convertible into a share of common stock on a 1-for-1 basis. The restricted stock units vested in common stock on February 20, 2017. F4 · derivative.exercise_date: These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vested on February 20, 2016, one-third of these restricted stock units vested on February 20, 2017 and the remaining one-third of these restricted stock units vest on February 20, 2018, assuming continued employment through the applicable vesting date. F4 · derivative.expiration_date: These restricted stock units remain subject to a time-vesting requirement and are scheduled to vest and settle in common stock as follows: one-third of these restricted stock units vested on February 20, 2016, one-third of these restricted stock units vested on February 20, 2017 and the remaining one-third of these restricted stock units vest on February 20, 2018, assuming continued employment through the applicable vesting date. Read SEC document |
| February 20, 2017 Filed Feb 22, 2017 20:44 UTC | OPENLANE, Inc. KAR · Entity 4015 | Tax withholdingCommon Stock | 391 | $46.48 | $18,173.68 |
DisclosureSEC source: 0001395942-17-000025 · wf-form4_148781428626880.xml · nonDerivative · entry 3 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 681 F2 · kind: Shares withheld by the Company to satisfy tax withholding requirements. Read SEC document |
| February 20, 2017 Filed Feb 22, 2017 20:44 UTC | OPENLANE, Inc. KAR · Entity 4015 | Exercise / conversionCommon Stock | 1,072 | $0.00 | $0.00 |
DisclosureSEC source: 0001395942-17-000025 · wf-form4_148781428626880.xml · nonDerivative · entry 2 Kett John W · CIK 0001295822 · IAA CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072 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 restricted stock unit is convertible into a share of common stock on a 1-for-1 basis. The restricted stock units vested in common stock on February 20, 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.