Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Sotera Health CoSHC · Entity 3869 | Interim SVP, GC and Secretary | October 01, 2022 | October 07, 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.
Sotera Health Co
Report date October 01, 2022 · Filed October 07, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par value per share ("Common Stock")SEC Table I · non-derivative | Direct | 37,703 |
Reported balance
Holding disclosure · report date 2022-10-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 37,703 F1: These securities consist of 5,489 shares of Common Stock and 32,214 Restricted Stock Units ("RSUs"). 23,478 RSUs were granted on November 20, 2020, and the balance of these RSUs will vest in three equal annual installments beginning on November 20, 2022, subject to the Reporting Person's continued service through each such date. 8,736 RSUs were granted on March 2, 2022, and will vest in three equal annual installments on each of the first three anniversaries of the date of grant, subject to the Reporting Person's continued service through each such date. The RSUs were granted pursuant to the terms of RSU agreements under the Sotera Health Company 2020 Omnibus Incentive Plan ("2020 Incentive Plan"). Each RSU represents the Reporting Person's right to receive one share of common stock, subject to vesting conditions. |
| Common StockSEC Table I · non-derivative | IndirectBy grantor trust | 314,286 |
Reported balance
Holding disclosure · report date 2022-10-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 314,286 F2: Consists of 220,526 shares of vested Common Stock and 93,760 shares of unvested Common Stock. 93,760 of the unvested shares of Common Stock will vest as of the first date on which (i) certain investment funds and entities affiliated with Warburg Pincus LLC and GTCR, LLC (the "Sponsors") have received two and one-half times their invested capital in the company and (ii) the Sponsors' internal rate of return exceeds twenty percent. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $23.00 · Expires 2030-11-20 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2022-10-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F3: These options were granted on November 20, 2020, pursuant to the terms of a stock option agreement under the 2020 Incentive Plan. The options vest in four equal installments on each of the first four anniversaries of the date of grant, subject to the Reporting Person's continued service through each such date. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $20.03 · Expires 2032-03-02 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2022-10-01 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F4: These options were granted on March 2, 2022, pursuant to the terms of a stock option agreement under the 2020 Incentive Plan. The options vest in three equal installments on each of the first three anniversaries of the date of grant, subject to the Reporting Person's continued service through each such date. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities consist of 5,489 shares of Common Stock and 32,214 Restricted Stock Units ("RSUs"). 23,478 RSUs were granted on November 20, 2020, and the balance of these RSUs will vest in three equal annual installments beginning on November 20, 2022, subject to the Reporting Person's continued service through each such date. 8,736 RSUs were granted on March 2, 2022, and will vest in three equal annual installments on each of the first three anniversaries of the date of grant, subject to the Reporting Person's continued service through each such date. The RSUs were granted pursuant to the terms of RSU agreements under the Sotera Health Company 2020 Omnibus Incentive Plan ("2020 Incentive Plan"). Each RSU represents the Reporting Person's right to receive one share of common stock, subject to vesting conditions.
F2: Consists of 220,526 shares of vested Common Stock and 93,760 shares of unvested Common Stock. 93,760 of the unvested shares of Common Stock will vest as of the first date on which (i) certain investment funds and entities affiliated with Warburg Pincus LLC and GTCR, LLC (the "Sponsors") have received two and one-half times their invested capital in the company and (ii) the Sponsors' internal rate of return exceeds twenty percent.
F3: These options were granted on November 20, 2020, pursuant to the terms of a stock option agreement under the 2020 Incentive Plan. The options vest in four equal installments on each of the first four anniversaries of the date of grant, subject to the Reporting Person's continued service through each such date.
F4: These options were granted on March 2, 2022, pursuant to the terms of a stock option agreement under the 2020 Incentive Plan. The options vest in three equal installments on each of the first three anniversaries of the date of grant, subject to the Reporting Person's continued service through each such date.
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 22, 2021 Filed Mar 24, 2021 16:39 UTC | Sotera Health Co SHC · Entity 3869 | SaleCommon Stock, $0.01 par value per share ("Common Stock") | 41,952 | $26.12 | $1,095,891.12 |
DisclosureSEC source: 0001628280-21-005474 · wf-form4_161661834574085.xml · nonDerivative · entry 1 Klaben Matthew J · CIK 0001369000 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor trust Disclosed balance after: 327,286 F1 · shares: On March 22, 2021, Mr. Klaben sold a total of 41,952 shares of Common Stock of Sotera Health Company in an underwritten public secondary offering (the "Offering"). F2 · price: Reflects a price equal to the Offering price per share less underwriting discounts and commissions payable thereon, as disclosed in the company's Prospectus 424(b)(4), filed with the United States Securities and Exchange Commission on March 18, 2021. F3 · balance_after: Consists of 196,997 shares of vested Common Stock and 130,289 shares of unvested Common Stock as of March 22, 2021. 36,529 of the unvested shares of Common Stock will vest on a daily basis, pro rata through November 15, 2021. 93,760 of the unvested shares of Common Stock will vest as of the first date on which (i) certain investment funds and entities affiliated with Warburg Pincus LLC and GTCR, LLC (the "Sponsors") have received two and one-half times their invested capital in the company and (ii) the Sponsors' internal rate of return exceeds twenty percent. Read SEC document |
| November 24, 2020 Filed Nov 24, 2020 18:59 UTC | Sotera Health Co SHC · Entity 3869 | Disposition to issuerCommon Stock | 69,196 | $21.68 | $1,500,169.28 |
DisclosureSEC source: 0000899243-20-032081 · doc4.xml · nonDerivative · entry 2 Klaben Matthew J · CIK 0001369000 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor trust Disclosed balance after: 369,238 F2 · price: Reflects a company repurchase price equal to the initial public offering price per share less underwriting discounts and commissions payable thereon, as disclosed in the company's Registration Statement on Form S-1. F3 · balance_after: Consists of 220,762 shares of vested Common Stock and 148,476 shares of unvested Common Stock. 54,716 of the unvested shares of Common Stock will vest on a daily basis, pro rata through November 15, 2021. 93,760 of the unvested shares of Common Stock will vest as of the first date on which (i) certain investment funds and entities affiliated with Warburg Pincus LLC and GTCR, LLC (the "Sponsors") have received two and one-half times their invested capital in the company and (ii) the Sponsors' internal rate of return exceeds twenty percent. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 18:59 UTC | Sotera Health Co SHC · Entity 3869 | GrantStock Options · Derivative | 134,161 | $0.00 Strike: $23.00 | $0.00 |
DisclosureSEC source: 0000899243-20-032081 · doc4.xml · derivative · entry 3 Klaben Matthew J · CIK 0001369000 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,161 Underlying: Common Stock · 134,161 shares Expires 2030-11-20 F4 · derivative.exercise_date: These options were granted on November 20, 2020, pursuant to the terms of a stock option agreement under the 2020 Incentive Plan. The options vest in four equal installments on each of the first four anniversaries of the date of grant, subject to the Reporting Person's continued service through each such date. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 18:59 UTC | Sotera Health Co SHC · Entity 3869 | GrantCommon Stock, $0.01 par value per share ("Common Stock") | 31,304 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-032081 · doc4.xml · nonDerivative · entry 1 Klaben Matthew J · CIK 0001369000 · SVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,304 F1 · shares: These securities consist of Restricted Stock Units ("RSUs") that were granted on November 20, 2020, pursuant to the terms of an RSU agreement under the Sotera Health Company 2020 Omnibus Incentive Plan ("2020 Incentive Plan"). Each RSU represents the Reporting Person's right to receive one share of common stock, subject to vesting conditions. The RSUs vest in four equal installments on each of the first four anniversaries of the date of grant, subject to the Reporting Person's continued service through each such 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.