Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ForgeRock, Inc.FORG · Entity 15406 | 10% owner | September 20, 2021 | September 22, 2021 |
| Johnson Controls International plcJCI · Entity 2940 | EVP Chief Digital & Customer O | December 10, 2022 | December 12, 2022 |
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.
ForgeRock, Inc.
Report date September 20, 2021 · Filed September 22, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-09-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-09-20 · Other · Disposed 1,259,068 · Balance 0 F1: Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 1,259,068 |
Reported balance
After 2021-09-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-09-20 · Other · Acquired 1,259,068 · Balance 1,259,068 F1: Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer.
Johnson Controls International plc
Report date December 10, 2022 · Filed December 12, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 8,101.38 |
Ending reported balance
After 2022-12-12 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2022-12-10 · Tax withholding · Disposed 1,685 · Balance 10,217.38 Row 2 · 2022-12-12 · Exercise / conversion · Acquired 26,709 · Balance 36,926.38 Row 3 · 2022-12-12 · Sale · Disposed 26,709 · Balance 10,217.38 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $65.00 to $65.30 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 footnote 1 of this Form 4. Row 4 · 2022-12-12 · Sale · Disposed 2,116 · Balance 8,101.38 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $65.08 to $65.18 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 footnote 2 of this Form 4. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $45.69 · Expires 2030-12-10 | Direct | 26,709 |
Reported balance
After 2022-12-12 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-12-12 · Exercise / conversion · Disposed 26,709 · Balance 26,709 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $65.00 to $65.30 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 footnote 1 of this Form 4.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $65.08 to $65.18 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 footnote 2 of this Form 4.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Altus Power, Inc.
Report date December 09, 2021 · Filed December 13, 2021
Section 16 reporting ended · disclosed 2021-12-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 14,087.5 |
Reported balance
After 2021-12-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-12-09 · Disposition to issuer · Disposed 6,037.5 · Balance 14,087.5 F1: On December 9, 2021, CBRE Acquisition Holdings, Inc. completed a business combination with Altus Power, Inc. (the "Business Combination"), and CBRE Acquisition Holdings, Inc. changed its name to Altus Power, Inc. (the "Issuer"). Pursuant to the terms of the Class B common stock of the Issuer (the "Class B Common Stock"), of which an aggregate of 1,408,750 shares are currently outstanding, on the last day of each measurement period, which will occur annually over seven fiscal years following the completion of the Business Combination, an aggregate of 201,250 shares of Class B Common Stock will automatically convert, subject to adjustment, into shares of Class A common stock of the Issuer (the "Class A Common Stock"), pursuant to a formula based on the stock price of the Class A Common Stock, into an aggregate minimum of 2,013 shares of Class A Common Stock on each conversion date, up to an aggregate maximum of 14,596,637 shares of Class A Common Stock over such seven year period. F2: Represents a disposition of Class B Common Stock pursuant to the terms of the Class B Letter Agreement, dated July 12, 2021, pursuant to which CBRE Acquisition Sponsor, LLC and certain other persons, including the Reporting Person, agreed to forfeit a specified number of shares of Class B Common Stock, effective upon the closing of the Business Combination. F3: The number of shares of Class A Common Stock reported as underlying such shares of Class B Common Stock in the Table above represents the approximate maximum number of shares of Class A Common Stock that may be delivered with respect to shares of Class B Common Stock held by the Reporting Person based on his proportionate ownership of shares of Class B Common Stock. |
| Warrants (Right to Buy)SEC Table II · derivative / convertible security · Expires 2026-12-09 | Direct | 18,417 |
Reported balance
After 2021-12-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-12-09 · Other · Acquired 18,417 · Balance 18,417 F4: Each Warrant is initially exercisable for one share of Class A Common Stock at an exercise price of $11.00 per share, subject to certain adjustments. The Warrants become exercisable on January 8, 2022, 30 days after the Issuer completed its Business Combination, and expire five years after completion of the Business Combination or earlier upon redemption or liquidation. The Warrants were acquired by the Reporting Person in connection with the initial public offering of CBRE Acquisition Holdings, Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: On December 9, 2021, CBRE Acquisition Holdings, Inc. completed a business combination with Altus Power, Inc. (the "Business Combination"), and CBRE Acquisition Holdings, Inc. changed its name to Altus Power, Inc. (the "Issuer"). Pursuant to the terms of the Class B common stock of the Issuer (the "Class B Common Stock"), of which an aggregate of 1,408,750 shares are currently outstanding, on the last day of each measurement period, which will occur annually over seven fiscal years following the completion of the Business Combination, an aggregate of 201,250 shares of Class B Common Stock will automatically convert, subject to adjustment, into shares of Class A common stock of the Issuer (the "Class A Common Stock"), pursuant to a formula based on the stock price of the Class A Common Stock, into an aggregate minimum of 2,013 shares of Class A Common Stock on each conversion date, up to an aggregate maximum of 14,596,637 shares of Class A Common Stock over such seven year period.
F2: Represents a disposition of Class B Common Stock pursuant to the terms of the Class B Letter Agreement, dated July 12, 2021, pursuant to which CBRE Acquisition Sponsor, LLC and certain other persons, including the Reporting Person, agreed to forfeit a specified number of shares of Class B Common Stock, effective upon the closing of the Business Combination.
F3: The number of shares of Class A Common Stock reported as underlying such shares of Class B Common Stock in the Table above represents the approximate maximum number of shares of Class A Common Stock that may be delivered with respect to shares of Class B Common Stock held by the Reporting Person based on his proportionate ownership of shares of Class B Common Stock.
F4: Each Warrant is initially exercisable for one share of Class A Common Stock at an exercise price of $11.00 per share, subject to certain adjustments. The Warrants become exercisable on January 8, 2022, 30 days after the Issuer completed its Business Combination, and expire five years after completion of the Business Combination or earlier upon redemption or liquidation. The Warrants were acquired by the Reporting Person in connection with the initial public offering of CBRE Acquisition Holdings, Inc.
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 |
|---|---|---|---|---|---|---|
| December 12, 2022 Filed Dec 12, 2022 22:56 UTC | Johnson Controls International plc JCI · Entity 2940 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 26,709 | $0.00 Strike: $45.69 | $0.00 |
DisclosureSEC source: 0001127602-22-027339 · form4.xml · derivative · entry 5 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,709 Underlying: Ordinary Shares · 26,709 shares Expires 2030-12-10 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 |
| December 12, 2022 Filed Dec 12, 2022 22:56 UTC | Johnson Controls International plc JCI · Entity 2940 | SaleOrdinary Shares | 2,116 | $65.12 | $137,793.92 |
DisclosureSEC source: 0001127602-22-027339 · form4.xml · nonDerivative · entry 4 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,101.38 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $65.08 to $65.18 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 footnote 2 of this Form 4. Read SEC document |
| December 12, 2022 Filed Dec 12, 2022 22:56 UTC | Johnson Controls International plc JCI · Entity 2940 | SaleOrdinary Shares | 26,709 | $65.15 | $1,740,091.35 |
DisclosureSEC source: 0001127602-22-027339 · form4.xml · nonDerivative · entry 3 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,217.38 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $65.00 to $65.30 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 footnote 1 of this Form 4. Read SEC document |
| December 12, 2022 Filed Dec 12, 2022 22:56 UTC | Johnson Controls International plc JCI · Entity 2940 | Exercise / conversionOrdinary Shares | 26,709 | $45.69 | $1,220,334.21 |
DisclosureSEC source: 0001127602-22-027339 · form4.xml · nonDerivative · entry 2 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,926.38 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 |
| December 10, 2022 Filed Dec 12, 2022 22:56 UTC | Johnson Controls International plc JCI · Entity 2940 | Tax withholdingOrdinary Shares | 1,685 | $65.77 | $110,822.45 |
DisclosureSEC source: 0001127602-22-027339 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,217.38 Read SEC document |
| December 09, 2022 Filed Dec 9, 2022 22:35 UTC | Johnson Controls International plc JCI · Entity 2940 | SaleOrdinary Shares | 1,194 | $66.16 | $78,995.04 |
DisclosureSEC source: 0001127602-22-027240 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,902.38 Read SEC document |
| December 08, 2022 Filed Dec 9, 2022 21:46 UTC | Johnson Controls International plc JCI · Entity 2940 | Tax withholdingOrdinary Shares | 952 | $66.77 | $63,565.04 |
DisclosureSEC source: 0001127602-22-027196 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,096.38 Read SEC document |
| December 08, 2022 Filed Dec 9, 2022 21:28 UTC | Johnson Controls International plc JCI · Entity 2940 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 68,587 | $0.00 Strike: $41.75 | $0.00 |
DisclosureSEC source: 0001127602-22-027190 · form4.xml · derivative · entry 5 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 68,587 shares Expires 2029-12-05 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: Subject to certain acceleration and forfeiture provisions, fifty percent of the options become exercisable on the second anniversary of the grant and the remaining fifty percent become exercisable on the third anniversary of the grant. Read SEC document |
| December 08, 2022 Filed Dec 9, 2022 21:28 UTC | Johnson Controls International plc JCI · Entity 2940 | SaleOrdinary Shares | 68,587 | $66.55 | $4,564,464.85 |
DisclosureSEC source: 0001127602-22-027190 · form4.xml · nonDerivative · entry 4 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,048.38 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $66.27 to $66.76 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 footnote 3 of this Form 4. Read SEC document |
| December 08, 2022 Filed Dec 9, 2022 21:28 UTC | Johnson Controls International plc JCI · Entity 2940 | SaleOrdinary Shares | 33,909 | $66.59 | $2,258,000.31 |
DisclosureSEC source: 0001127602-22-027190 · form4.xml · nonDerivative · entry 3 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,635.38 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $66.27 to $66.75 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 footnote 2 of this Form 4. Read SEC document |
| December 08, 2022 Filed Dec 9, 2022 21:28 UTC | Johnson Controls International plc JCI · Entity 2940 | SaleOrdinary Shares | 11,234 | $66.62 | $748,409.08 |
DisclosureSEC source: 0001127602-22-027190 · form4.xml · nonDerivative · entry 2 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,544.38 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $66.56 to $66.69 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 footnote 1 of this Form 4. Read SEC document |
| December 08, 2022 Filed Dec 9, 2022 21:28 UTC | Johnson Controls International plc JCI · Entity 2940 | Exercise / conversionOrdinary Shares | 68,587 | $41.75 | $2,863,507.25 |
DisclosureSEC source: 0001127602-22-027190 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,778.38 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 |
| December 07, 2022 Filed Dec 8, 2022 19:36 UTC | Johnson Controls International plc JCI · Entity 2940 | Tax withholdingOrdinary Shares | 8,937 | $66.39 | $593,327.43 |
DisclosureSEC source: 0001127602-22-027067 · form4.xml · nonDerivative · entry 2 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,191.38 Read SEC document |
| December 07, 2022 Filed Dec 8, 2022 19:36 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 20,171.72 | $66.39 | $1,339,200.49 |
DisclosureSEC source: 0001127602-22-027067 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,128.38 F1 · shares: Represents performance share units for the three-year performance period ended September 30, 2022. The Compensation Committee approved the performance results on November 18, 2022. Read SEC document |
| December 05, 2022 Filed Dec 6, 2022 17:51 UTC | Johnson Controls International plc JCI · Entity 2940 | Tax withholdingOrdinary Shares | 1,896 | $67.21 | $127,430.16 |
DisclosureSEC source: 0001127602-22-026956 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,956.66 Read SEC document |
| October 14, 2022 Filed Oct 18, 2022 13:59 UTC | Johnson Controls International plc JCI · Entity 2940 | Tax withholdingOrdinary Shares | 19,104 | $50.84 | $971,247.36 |
DisclosureSEC source: 0001127602-22-024001 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,384.76 Read SEC document |
| December 10, 2021 Filed Dec 13, 2021 22:46 UTC | Johnson Controls International plc JCI · Entity 2940 | Tax withholdingOrdinary Shares | 1,644 | $79.32 | $130,402.08 |
DisclosureSEC source: 0001127602-21-030831 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,303.8 Read SEC document |
| December 09, 2021 Filed Dec 13, 2021 17:34 UTC | Altus Power, Inc. AMPS · Entity 15102 | OtherWarrants (Right to Buy) · Derivative | 18,417 | $11.00 | $202,587.00 |
DisclosureSEC source: 0000899243-21-047915 · doc4.xml · derivative · entry 2 ELLIS MICHAEL J · CIK 0001791056 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,417 Underlying: Class A Common Stock · 18,417 shares Expires 2026-12-09 F4 · derivative.exercise_price: Each Warrant is initially exercisable for one share of Class A Common Stock at an exercise price of $11.00 per share, subject to certain adjustments. The Warrants become exercisable on January 8, 2022, 30 days after the Issuer completed its Business Combination, and expire five years after completion of the Business Combination or earlier upon redemption or liquidation. The Warrants were acquired by the Reporting Person in connection with the initial public offering of CBRE Acquisition Holdings, Inc. F4 · kind: Each Warrant is initially exercisable for one share of Class A Common Stock at an exercise price of $11.00 per share, subject to certain adjustments. The Warrants become exercisable on January 8, 2022, 30 days after the Issuer completed its Business Combination, and expire five years after completion of the Business Combination or earlier upon redemption or liquidation. The Warrants were acquired by the Reporting Person in connection with the initial public offering of CBRE Acquisition Holdings, Inc. F4 · derivative.exercise_date: Each Warrant is initially exercisable for one share of Class A Common Stock at an exercise price of $11.00 per share, subject to certain adjustments. The Warrants become exercisable on January 8, 2022, 30 days after the Issuer completed its Business Combination, and expire five years after completion of the Business Combination or earlier upon redemption or liquidation. The Warrants were acquired by the Reporting Person in connection with the initial public offering of CBRE Acquisition Holdings, Inc. Read SEC document |
| December 09, 2021 Filed Dec 13, 2021 17:34 UTC | Altus Power, Inc. AMPS · Entity 15102 | Disposition to issuerClass B Common Stock · Derivative | 6,037.5 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-047915 · doc4.xml · derivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,087.5 Underlying: Class A Common Stock · 145,966 shares Expires not disclosed F1 · derivative.exercise_price: On December 9, 2021, CBRE Acquisition Holdings, Inc. completed a business combination with Altus Power, Inc. (the "Business Combination"), and CBRE Acquisition Holdings, Inc. changed its name to Altus Power, Inc. (the "Issuer"). Pursuant to the terms of the Class B common stock of the Issuer (the "Class B Common Stock"), of which an aggregate of 1,408,750 shares are currently outstanding, on the last day of each measurement period, which will occur annually over seven fiscal years following the completion of the Business Combination, an aggregate of 201,250 shares of Class B Common Stock will automatically convert, subject to adjustment, into shares of Class A common stock of the Issuer (the "Class A Common Stock"), pursuant to a formula based on the stock price of the Class A Common Stock, into an aggregate minimum of 2,013 shares of Class A Common Stock on each conversion date, up to an aggregate maximum of 14,596,637 shares of Class A Common Stock over such seven year period. F2 · kind: Represents a disposition of Class B Common Stock pursuant to the terms of the Class B Letter Agreement, dated July 12, 2021, pursuant to which CBRE Acquisition Sponsor, LLC and certain other persons, including the Reporting Person, agreed to forfeit a specified number of shares of Class B Common Stock, effective upon the closing of the Business Combination. F1 · price: On December 9, 2021, CBRE Acquisition Holdings, Inc. completed a business combination with Altus Power, Inc. (the "Business Combination"), and CBRE Acquisition Holdings, Inc. changed its name to Altus Power, Inc. (the "Issuer"). Pursuant to the terms of the Class B common stock of the Issuer (the "Class B Common Stock"), of which an aggregate of 1,408,750 shares are currently outstanding, on the last day of each measurement period, which will occur annually over seven fiscal years following the completion of the Business Combination, an aggregate of 201,250 shares of Class B Common Stock will automatically convert, subject to adjustment, into shares of Class A common stock of the Issuer (the "Class A Common Stock"), pursuant to a formula based on the stock price of the Class A Common Stock, into an aggregate minimum of 2,013 shares of Class A Common Stock on each conversion date, up to an aggregate maximum of 14,596,637 shares of Class A Common Stock over such seven year period. F3 · price: The number of shares of Class A Common Stock reported as underlying such shares of Class B Common Stock in the Table above represents the approximate maximum number of shares of Class A Common Stock that may be delivered with respect to shares of Class B Common Stock held by the Reporting Person based on his proportionate ownership of shares of Class B Common Stock. F1 · derivative.exercise_date: On December 9, 2021, CBRE Acquisition Holdings, Inc. completed a business combination with Altus Power, Inc. (the "Business Combination"), and CBRE Acquisition Holdings, Inc. changed its name to Altus Power, Inc. (the "Issuer"). Pursuant to the terms of the Class B common stock of the Issuer (the "Class B Common Stock"), of which an aggregate of 1,408,750 shares are currently outstanding, on the last day of each measurement period, which will occur annually over seven fiscal years following the completion of the Business Combination, an aggregate of 201,250 shares of Class B Common Stock will automatically convert, subject to adjustment, into shares of Class A common stock of the Issuer (the "Class A Common Stock"), pursuant to a formula based on the stock price of the Class A Common Stock, into an aggregate minimum of 2,013 shares of Class A Common Stock on each conversion date, up to an aggregate maximum of 14,596,637 shares of Class A Common Stock over such seven year period. F1 · derivative.expiration_date: On December 9, 2021, CBRE Acquisition Holdings, Inc. completed a business combination with Altus Power, Inc. (the "Business Combination"), and CBRE Acquisition Holdings, Inc. changed its name to Altus Power, Inc. (the "Issuer"). Pursuant to the terms of the Class B common stock of the Issuer (the "Class B Common Stock"), of which an aggregate of 1,408,750 shares are currently outstanding, on the last day of each measurement period, which will occur annually over seven fiscal years following the completion of the Business Combination, an aggregate of 201,250 shares of Class B Common Stock will automatically convert, subject to adjustment, into shares of Class A common stock of the Issuer (the "Class A Common Stock"), pursuant to a formula based on the stock price of the Class A Common Stock, into an aggregate minimum of 2,013 shares of Class A Common Stock on each conversion date, up to an aggregate maximum of 14,596,637 shares of Class A Common Stock over such seven year period. F1 · derivative.underlying_shares: On December 9, 2021, CBRE Acquisition Holdings, Inc. completed a business combination with Altus Power, Inc. (the "Business Combination"), and CBRE Acquisition Holdings, Inc. changed its name to Altus Power, Inc. (the "Issuer"). Pursuant to the terms of the Class B common stock of the Issuer (the "Class B Common Stock"), of which an aggregate of 1,408,750 shares are currently outstanding, on the last day of each measurement period, which will occur annually over seven fiscal years following the completion of the Business Combination, an aggregate of 201,250 shares of Class B Common Stock will automatically convert, subject to adjustment, into shares of Class A common stock of the Issuer (the "Class A Common Stock"), pursuant to a formula based on the stock price of the Class A Common Stock, into an aggregate minimum of 2,013 shares of Class A Common Stock on each conversion date, up to an aggregate maximum of 14,596,637 shares of Class A Common Stock over such seven year period. F3 · derivative.underlying_shares: The number of shares of Class A Common Stock reported as underlying such shares of Class B Common Stock in the Table above represents the approximate maximum number of shares of Class A Common Stock that may be delivered with respect to shares of Class B Common Stock held by the Reporting Person based on his proportionate ownership of shares of Class B Common Stock. Read SEC document |
| December 08, 2021 Filed Dec 10, 2021 23:12 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 26,896 | $0.00 Strike: $79.54 | $0.00 |
DisclosureSEC source: 0001127602-21-030730 · form4.xml · derivative · entry 2 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,896 Underlying: Ordinary Shares · 26,896 shares Expires 2031-12-08 F2 · shares: Subject to certain acceleration and forfeiture provisions, fifty percent of the options become exercisable on the second anniversary of the grant and the remaining fifty percent become exercisable on the third anniversary of the grant. Read SEC document |
| December 08, 2021 Filed Dec 10, 2021 23:12 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 6,286 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-030730 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,947.8 F1 · shares: Reflects grant of restricted share units. Restricted share units accrue dividend equivalent units and convert to ordinary shares upon vesting. Read SEC document |
| December 05, 2021 Filed Dec 7, 2021 01:28 UTC | Johnson Controls International plc JCI · Entity 2940 | Tax withholdingOrdinary Shares | 1,848 | $77.95 | $144,051.60 |
DisclosureSEC source: 0001127602-21-030397 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,661.8 Read SEC document |
| September 20, 2021 Filed Sep 22, 2021 16:26 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherClass B Common Stock · Derivative | 1,259,068 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-057255 · doc4.xml · derivative · entry 2 ELLIS MICHAEL J · CIK 0001791056 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,259,068 Underlying: Class A Common Stock · 1,259,068 shares Expires not disclosed F1 · derivative.exercise_price: Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. F1 · price: Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. F1 · derivative.exercise_date: Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. F1 · derivative.expiration_date: Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. Read SEC document |
| September 20, 2021 Filed Sep 22, 2021 16:26 UTC | ForgeRock, Inc. FORG · Entity 15406 | OtherCommon Stock | 1,259,068 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-057255 · doc4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. F1 · price: Pursuant to a reclassification exempt under Rule 16b-7 (the "Reclassification"), each share of ForgeRock, Inc.'s (the "Issuer") common stock, par value $0.001 per share (the "Common Stock"), was automatically reclassified into one share of the Issuer's Class B common stock, par value $0.001 per share (the "Class B Common Stock"), immediately prior to the closing of the initial public offering (the "IPO") of the Issuer's Class A common stock, par value $0.001 per share (the "Class A Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:35 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 53,418 | $0.00 Strike: $45.69 | $0.00 |
DisclosureSEC source: 0001127602-20-031274 · form4.xml · derivative · entry 2 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,418 Underlying: Ordinary Shares · 53,418 shares Expires 2030-12-10 F3 · derivative.exercise_date: Subject to certain acceleration and forfeiture provisions, fifty percent of the options become exercisable on the second anniversary of the grant and the remaining fifty percent become exercisable on the third anniversary of the grant. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:35 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 10,943 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-031274 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,428.18 F1 · shares: Reflects grant of restricted share units. Restricted share units accrue dividend equivalent units and convert to ordinary shares upon vesting. F2 · price: Each restricted share unit is the economic equivalent of one ordinary share of JCI. Read SEC document |
| December 05, 2020 Filed Dec 7, 2020 23:01 UTC | Johnson Controls International plc JCI · Entity 2940 | Tax withholdingOrdinary Shares | 1,203 | $45.89 | $55,205.67 |
DisclosureSEC source: 0001127602-20-030728 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital & Customer O 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,485.18 Read SEC document |
| December 05, 2019 Filed Dec 10, 2019 00:06 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 68,587 | $0.00 Strike: $41.75 | $0.00 |
DisclosureSEC source: 0001127602-19-034615 · form4.xml · derivative · entry 2 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,587 Underlying: Ordinary Shares · 68,587 shares Expires 2029-12-05 F3 · derivative.exercise_date: Subject to certain acceleration and forfeiture provisions, fifty percent of the options become exercisable on the second anniversary of the grant and the remaining fifty percent become exercisable on the third anniversary of the grant. Read SEC document |
| December 05, 2019 Filed Dec 10, 2019 00:06 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 11,976 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-034615 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,222 F1 · shares: Reflects grant of restricted share units. Restricted share units accrue dividend equivalent units and convert to ordinary shares upon vesting. F2 · price: Each restricted share unit is the economic equivalent of one ordinary share of JCI. Read SEC document |
| October 14, 2019 Filed Oct 16, 2019 20:14 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 40,246 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-030614 · form4.xml · nonDerivative · entry 1 ELLIS MICHAEL J · CIK 0001791056 · EVP Chief Digital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,246 F1 · kind: Reflects grant of restricted share units. Restricted share units accrue dividend equivalent units and convert to ordinary shares upon vesting. F2 · shares: Subject to certain acceleration and forfeiture provisions, 100 percent vest on the third anniversary of the grant date. F3 · price: Each restricted share unit is the economic equivalent of one ordinary share of JCI. 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.