Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Avantor, Inc.AVTR · Entity 3546 | Director | April 01, 2022 | April 05, 2022 |
| DuPont de Nemours, Inc.DD · Entity 3297 | Director | May 27, 2020 | May 29, 2020 |
| Howmet Aerospace Inc.ARNC · Entity 2911 | Director | May 16, 2019 | May 20, 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.
Avantor, Inc.
Report date April 01, 2022 · Filed April 05, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 780,562 |
Reported balance
After 2022-04-01 transaction · row 1
1 source rowRow 1 · 2022-04-01 · Grant · Acquired 1,215 · Balance 780,562 F1: Reflects a grant of restricted stock units that vests on May 11, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects a grant of restricted stock units that vests on May 11, 2022.
DuPont de Nemours, Inc.
Report date May 27, 2020 · Filed May 29, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,467.8498 |
Reported balance
After 2020-05-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-05-27 · Grant · Acquired 3,438 · Balance 6,467.8498 F1: Includes acquisition of shares pursuant to dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes acquisition of shares pursuant to dividend reinvestment.
Howmet Aerospace Inc.
Report date May 16, 2019 · Filed May 20, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 45,201 |
Reported balance
After 2019-05-16 transaction · row 1
1 source rowRow 1 · 2019-05-16 · Grant · Acquired 6,781 · Balance 45,201 |
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Aptiv PLC
Report date April 26, 2022 · Filed April 28, 2022
Section 16 reporting ended · disclosed 2022-04-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 45,586 |
Reported balance
After 2022-04-26 transaction · row 1
1 source rowRow 1 · 2022-04-26 · Tax withholding · Disposed 241 · Balance 45,586 F1: Shares withheld to pay tax liabilities incident to the vesting of restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld to pay tax liabilities incident to the vesting of restricted stock units.
Johnson Controls International plc
Report date September 02, 2016 · Filed September 07, 2016
Section 16 reporting ended · disclosed 2016-09-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 35,223 |
Reported balance
After 2016-09-02 transaction · row 1
1 source rowRow 1 · 2016-09-02 · Exercise / conversion · Acquired 15,083 · Balance 35,223 F1: Reflects ordinary shares delivered on conversion of deferred stock units ("DSUs") originally granted on multiple dates through September 2008. The number of ordinary shares reflects an adjustment for the 0.955-for-1 consolidation that applied to Tyco ordinary shares and equity awards immediately prior to the merger between Johnson Controls, Inc. and a subsidiary of Tyco International plc on September 2, 2016 (the "Merger"). |
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2016-09-02 · Exercise / conversion · Disposed 15,083 · Balance 0 F2: DSUs were issued under Tyco's 2004 Stock and Incentive Plan (the "Plan") at a value based on the closing price of Tyco common stock on the grant date. DSUs immediately vested upon grant date and accrued dividends while deferred. In connection with the Merger and pursuant to the terms of the DSUs, ordinary shares were delivered in respect of DSUs on a 1-for-1 basis. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects ordinary shares delivered on conversion of deferred stock units ("DSUs") originally granted on multiple dates through September 2008. The number of ordinary shares reflects an adjustment for the 0.955-for-1 consolidation that applied to Tyco ordinary shares and equity awards immediately prior to the merger between Johnson Controls, Inc. and a subsidiary of Tyco International plc on September 2, 2016 (the "Merger").
F2: DSUs were issued under Tyco's 2004 Stock and Incentive Plan (the "Plan") at a value based on the closing price of Tyco common stock on the grant date. DSUs immediately vested upon grant date and accrued dividends while deferred. In connection with the Merger and pursuant to the terms of the DSUs, ordinary shares were delivered in respect of DSUs on a 1-for-1 basis.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 26, 2022 Filed Apr 28, 2022 16:13 UTC | Aptiv PLC APTV · Entity 3559 | Tax withholdingOrdinary Shares | 241 | $102.51 | $24,704.91 |
DisclosureSEC source: 0001209191-22-025981 · doc4.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,586 F1 · price: Shares withheld to pay tax liabilities incident to the vesting of restricted stock units. Read SEC document |
| April 01, 2022 Filed Apr 5, 2022 16:58 UTC | Avantor, Inc. AVTR · Entity 3546 | GrantCommon Stock | 1,215 | $0.00 | $0.00 |
DisclosureSEC source: 0001722482-22-000084 · wf-form4_164919227643392.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 780,562 F1 · kind: Reflects a grant of restricted stock units that vests on May 11, 2022. Read SEC document |
| December 01, 2021 Filed Dec 3, 2021 08:31 UTC | Avantor, Inc. AVTR · Entity 3546 | SaleCommon Stock | 100,000 | $39.30 | $3,930,000.00 |
DisclosureSEC source: 0001722482-21-000269 · wf-form4_163853830451027.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 879,347 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $39.02 to $39.86, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth above. Read SEC document |
| November 09, 2021 Filed Feb 4, 2022 19:00 UTC | Avantor, Inc. AVTR · Entity 3546 | GiftCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001722482-22-000022 · wf-form5_164401924010404.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 779,347 Read SEC document |
| November 01, 2021 Filed Nov 2, 2021 20:24 UTC | Avantor, Inc. AVTR · Entity 3546 | SaleCommon Stock | 100,000 | $40.31 | $4,031,000.00 |
DisclosureSEC source: 0001722482-21-000258 · wf-form4_163589905052633.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 979,347 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $39.865 to $40.62, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth above. Read SEC document |
| October 01, 2021 Filed Oct 4, 2021 17:28 UTC | Avantor, Inc. AVTR · Entity 3546 | SaleCommon Stock | 100,000 | $39.94 | $3,994,000.00 |
DisclosureSEC source: 0001722482-21-000230 · wf-form4_163338290330787.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,079,347 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $39.30 to $40.99, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth above. Read SEC document |
| September 01, 2021 Filed Sep 2, 2021 17:55 UTC | Avantor, Inc. AVTR · Entity 3546 | SaleCommon Stock | 100,000 | $39.45 | $3,945,000.00 |
DisclosureSEC source: 0001722482-21-000226 · wf-form4_163061967554967.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,179,347 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $39.11 to $39.64, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth above. Read SEC document |
| August 20, 2021 Filed Aug 23, 2021 17:26 UTC | Avantor, Inc. AVTR · Entity 3546 | SaleCommon Stock | 100,000 | $38.81 | $3,881,000.00 |
DisclosureSEC source: 0001722482-21-000222 · wf-form4_162975397927172.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,279,347 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $38.50 to $39.08, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth above. Read SEC document |
| June 25, 2021 Filed Jun 28, 2021 16:55 UTC | Avantor, Inc. AVTR · Entity 3546 | SaleCommon Stock | 68,605 | $35.32 | $2,423,128.60 |
DisclosureSEC source: 0001722482-21-000184 · wf-form4_162491373742939.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,379,347 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $35.16 to $35.53, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth above. Read SEC document |
| May 27, 2021 Filed May 28, 2021 16:48 UTC | Avantor, Inc. AVTR · Entity 3546 | SaleCommon Stock | 78,109 | $31.94 | $2,494,801.46 |
DisclosureSEC source: 0001722482-21-000173 · wf-form4_162223490964033.xml · nonDerivative · entry 3 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 278,109 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $31.92 to $31.97, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth above. F2 · ownership.nature: Reflects securities held by trusts for the benefit of the Reporting Person's family, of which the spouse of the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of the securities held by the trusts, except to the extent of his pecuniary interest therein. Read SEC document |
| May 26, 2021 Filed May 28, 2021 16:48 UTC | Avantor, Inc. AVTR · Entity 3546 | SaleCommon Stock | 150,000 | $31.89 | $4,783,500.00 |
DisclosureSEC source: 0001722482-21-000173 · wf-form4_162223490964033.xml · nonDerivative · entry 2 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 356,218 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $31.80 to $31.97, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth above. F2 · ownership.nature: Reflects securities held by trusts for the benefit of the Reporting Person's family, of which the spouse of the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of the securities held by the trusts, except to the extent of his pecuniary interest therein. Read SEC document |
| May 24, 2021 Filed May 26, 2021 17:43 UTC | Avantor, Inc. AVTR · Entity 3546 | SaleCommon Stock | 157,571 | $31.57 | $4,974,516.47 |
DisclosureSEC source: 0001722482-21-000168 · wf-form4_162206538465120.xml · nonDerivative · entry 3 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 506,218 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $31.50 to $31.70, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth above. F2 · ownership.nature: Reflects securities held by trusts for the benefit of the Reporting Person's family, of which the spouse of the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of the securities held by the trusts, except to the extent of his pecuniary interest therein. Read SEC document |
| May 24, 2021 Filed May 26, 2021 17:43 UTC | Avantor, Inc. AVTR · Entity 3546 | SaleCommon Stock | 180,000 | $31.74 | $5,713,200.00 |
DisclosureSEC source: 0001722482-21-000168 · wf-form4_162206538465120.xml · nonDerivative · entry 2 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 663,789 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $31.70 to $31.81, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth above. F2 · ownership.nature: Reflects securities held by trusts for the benefit of the Reporting Person's family, of which the spouse of the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of the securities held by the trusts, except to the extent of his pecuniary interest therein. Read SEC document |
| April 30, 2021 Filed May 3, 2021 14:25 UTC | Aptiv PLC APTV · Entity 3559 | GrantOrdinary Shares | 2,169 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-029432 · doc4.xml · nonDerivative · entry 2 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,827 F2 · price: The Reporting Person has received restricted stock units that each represent a right to receive one ordinary share of the Issuer pursuant to the Issuer's Long Term Incentive Plan and will vest in full one day before the Issuer's Annual Meeting of Shareholders in 2022. Read SEC document |
| April 29, 2021 Filed May 3, 2021 14:25 UTC | Aptiv PLC APTV · Entity 3559 | Tax withholdingOrdinary Shares | 1,205 | $144.54 | $174,170.70 |
DisclosureSEC source: 0001209191-21-029432 · doc4.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,658 F1 · price: Shares withheld to pay tax liabilities incident to the vesting of restricted stock units. Read SEC document |
| February 25, 2021 Filed Mar 1, 2021 17:35 UTC | Avantor, Inc. AVTR · Entity 3546 | GrantCommon Stock | 7,236 | $0.00 | $0.00 |
DisclosureSEC source: 0001722482-21-000095 · wf-form4_161463812139005.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,447,952 F1 · kind: Reflects a grant of restricted stock units that vests on February 25, 2022. Read SEC document |
| December 11, 2020 Filed Feb 16, 2021 18:17 UTC | Avantor, Inc. AVTR · Entity 3546 | GiftCommon Stock | 316,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001722482-21-000043 · wf-form5_161351741592443.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,440,716 Read SEC document |
| August 19, 2020 Filed Aug 19, 2020 14:06 UTC | Avantor, Inc. AVTR · Entity 3546 | Exercise / conversionStock Options (Right to Buy) · Derivative | 430,325 | $0.00 Strike: $1.60 | $0.00 |
DisclosureSEC source: 0001722482-20-000152 · wf-form4_159786036300368.xml · derivative · entry 5 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 430,325 shares Expires 2021-02-28 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. F3 · derivative.exercise_date: These options are fully vested. Read SEC document |
| August 19, 2020 Filed Aug 19, 2020 14:06 UTC | Avantor, Inc. AVTR · Entity 3546 | Exercise / conversionStock Options (Right to Buy) · Derivative | 717,645 | $0.00 Strike: $1.60 | $0.00 |
DisclosureSEC source: 0001722482-20-000152 · wf-form4_159786036300368.xml · derivative · entry 4 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 717,645 shares Expires 2020-11-03 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. F3 · derivative.exercise_date: These options are fully vested. Read SEC document |
| August 19, 2020 Filed Aug 19, 2020 14:06 UTC | Avantor, Inc. AVTR · Entity 3546 | GiftCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001722482-20-000152 · wf-form4_159786036300368.xml · nonDerivative · entry 2 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,756,716 F1 · kind: Reflects a gift to his adult daughters. Read SEC document |
| August 19, 2020 Filed Aug 19, 2020 14:06 UTC | Avantor, Inc. AVTR · Entity 3546 | Exercise / conversionCommon Stock | 1,147,970 | $1.60 | $1,836,752.00 |
DisclosureSEC source: 0001722482-20-000152 · wf-form4_159786036300368.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,856,716 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 27, 2020 Filed May 29, 2020 16:26 UTC | DuPont de Nemours, Inc. DD · Entity 3297 | GrantCommon Stock | 3,438 | $49.46 | $170,043.48 |
DisclosureSEC source: 0001666700-20-000028 · edgar.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,467.8498 F1 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment. Read SEC document |
| April 23, 2020 Filed Apr 24, 2020 12:56 UTC | Aptiv PLC APTV · Entity 3559 | GrantOrdinary Shares | 8,563 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-025543 · doc4.xml · nonDerivative · entry 3 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,863 F3 · price: The Reporting Person has received restricted stock units that each represent a right to receive one ordinary share of the Issuer pursuant to the Issuer's Long Term Incentive Plan, as amended and restated, and will vest in full one day before the Issuer's Annual Meeting of Shareholders in 2021. Read SEC document |
| April 22, 2020 Filed Apr 24, 2020 12:56 UTC | Aptiv PLC APTV · Entity 3559 | OtherDividend Equivalent Right · Derivative | 53 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-025543 · doc4.xml · derivative · entry 4 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 53 shares Expires not disclosed F1 · derivative.exercise_price: Settlement of dividend equivalent rights in connection with the vesting of restricted stock units. The rights accrued when and as dividends were paid on the Issuer's ordinary shares and vest upon the vesting of the restricted stock unit to which they relate. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.exercise_date: Settlement of dividend equivalent rights in connection with the vesting of restricted stock units. The rights accrued when and as dividends were paid on the Issuer's ordinary shares and vest upon the vesting of the restricted stock unit to which they relate. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.expiration_date: Settlement of dividend equivalent rights in connection with the vesting of restricted stock units. The rights accrued when and as dividends were paid on the Issuer's ordinary shares and vest upon the vesting of the restricted stock unit to which they relate. Each dividend equivalent right is the economic equivalent of one ordinary share. Read SEC document |
| April 22, 2020 Filed Apr 24, 2020 12:56 UTC | Aptiv PLC APTV · Entity 3559 | Tax withholdingOrdinary Shares | 561 | $60.50 | $33,940.50 |
DisclosureSEC source: 0001209191-20-025543 · doc4.xml · nonDerivative · entry 2 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,300 F2 · price: Shares withheld to pay current tax liabilities incident to the vesting of restricted stock units and settlement of dividend equivalent rights. Read SEC document |
| April 22, 2020 Filed Apr 24, 2020 12:56 UTC | Aptiv PLC APTV · Entity 3559 | OtherOrdinary Shares | 53 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-025543 · doc4.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,861 F1 · price: Settlement of dividend equivalent rights in connection with the vesting of restricted stock units. The rights accrued when and as dividends were paid on the Issuer's ordinary shares and vest upon the vesting of the restricted stock unit to which they relate. Each dividend equivalent right is the economic equivalent of one ordinary share. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 16:25 UTC | Avantor, Inc. AVTR · Entity 3546 | Exercise / conversionStock Options (Right to Buy) · Derivative | 143,000 | $0.00 Strike: $1.60 | $0.00 |
DisclosureSEC source: 0001722482-20-000067 · wf-form4_158404473964523.xml · derivative · entry 3 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 717,645 Underlying: Common Stock · 143,000 shares Expires 2020-11-03 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. F2 · derivative.exercise_date: These options are fully vested. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 16:25 UTC | Avantor, Inc. AVTR · Entity 3546 | Exercise / conversionCommon Stock | 143,000 | $1.60 | $228,800.00 |
DisclosureSEC source: 0001722482-20-000067 · wf-form4_158404473964523.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 708,746 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 21, 2020 Filed Feb 25, 2020 17:48 UTC | Avantor, Inc. AVTR · Entity 3546 | GrantCommon Stock | 11,319 | $0.00 | $0.00 |
DisclosureSEC source: 0001722482-20-000060 · wf-form4_158267090597687.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 565,746 F1 · kind: Reflects a grant of restricted stock units that vests on February 21, 2021. Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 12:51 UTC | Aptiv PLC APTV · Entity 3559 | GrantDividend Equivalent Right · Derivative | 11.907 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-011411 · doc4.xml · derivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52.273 Underlying: Ordinary Shares · 11.907 shares Expires not disclosed F1 · derivative.exercise_price: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.exercise_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.expiration_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. Read SEC document |
| November 20, 2019 Filed Nov 22, 2019 12:22 UTC | Aptiv PLC APTV · Entity 3559 | GrantDividend Equivalent Right · Derivative | 12.039 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-057734 · doc4.xml · derivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40.366 Underlying: Ordinary Shares · 12.039 shares Expires not disclosed F1 · derivative.exercise_price: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.exercise_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.expiration_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. Read SEC document |
| August 21, 2019 Filed Aug 23, 2019 09:01 UTC | Aptiv PLC APTV · Entity 3559 | GrantDividend Equivalent Right · Derivative | 12.881 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-047213 · doc4.xml · derivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28.327 Underlying: Ordinary Shares · 12.881 shares Expires not disclosed F1 · derivative.exercise_price: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.exercise_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.expiration_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 16:37 UTC | DuPont de Nemours, Inc. DD · Entity 3297 | GrantCommon Stock | 2,240 | $76.10 | $170,464.00 |
DisclosureSEC source: 0001666700-19-000051 · edgar.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,977.5535 F1 · balance_after: Includes unvested RSUs. Read SEC document |
| May 22, 2019 Filed May 24, 2019 08:43 UTC | Aptiv PLC APTV · Entity 3559 | GrantDividend Equivalent Right · Derivative | 15.446 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-032565 · doc4.xml · derivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15.446 Underlying: Ordinary Shares · 15.446 shares Expires not disclosed F1 · derivative.exercise_price: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.exercise_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.expiration_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. Read SEC document |
| May 21, 2019 Filed May 23, 2019 19:22 UTC | Avantor, Inc. AVTR · Entity 3546 | Exercise / conversionExisting Junior Convertible Preferred · Derivative | 4,440 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-014587 · doc4.xml · derivative · entry 3 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 523,286 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. F2 · derivative.exercise_price: Existing Junior Convertible Preferred Stock automatically converted into common stock of the Issuer upon consummation of the Issuer's initial public offering. The number of shares of common stock received upon conversion of the Existing Junior Convertible Preferred Stock was based on the aggregate liquidation preference of such stock divided by the initial public offering price of $14.00 per share. F2 · derivative.exercise_date: Existing Junior Convertible Preferred Stock automatically converted into common stock of the Issuer upon consummation of the Issuer's initial public offering. The number of shares of common stock received upon conversion of the Existing Junior Convertible Preferred Stock was based on the aggregate liquidation preference of such stock divided by the initial public offering price of $14.00 per share. F2 · derivative.expiration_date: Existing Junior Convertible Preferred Stock automatically converted into common stock of the Issuer upon consummation of the Issuer's initial public offering. The number of shares of common stock received upon conversion of the Existing Junior Convertible Preferred Stock was based on the aggregate liquidation preference of such stock divided by the initial public offering price of $14.00 per share. F3 · ownership.nature: Reflects securities held by a trust for the benefit of the Reporting Person's family, of which the spouse of the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of the securities held by the trust, except to the extent of his pecuniary interest therein. The Existing Junior Convertible Preferred were inadvertently reported as directly held by the Reporting Person on the Form 3 filed by him on May 16, 2019. Read SEC document |
| May 21, 2019 Filed May 23, 2019 19:22 UTC | Avantor, Inc. AVTR · Entity 3546 | Exercise / conversionCommon Stock | 523,286 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-014587 · doc4.xml · nonDerivative · entry 2 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 843,791 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. F2 · price: Existing Junior Convertible Preferred Stock automatically converted into common stock of the Issuer upon consummation of the Issuer's initial public offering. The number of shares of common stock received upon conversion of the Existing Junior Convertible Preferred Stock was based on the aggregate liquidation preference of such stock divided by the initial public offering price of $14.00 per share. F3 · ownership.nature: Reflects securities held by a trust for the benefit of the Reporting Person's family, of which the spouse of the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of the securities held by the trust, except to the extent of his pecuniary interest therein. The Existing Junior Convertible Preferred were inadvertently reported as directly held by the Reporting Person on the Form 3 filed by him on May 16, 2019. Read SEC document |
| May 21, 2019 Filed May 23, 2019 19:22 UTC | Avantor, Inc. AVTR · Entity 3546 | GrantCommon Stock | 14,286 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-014587 · doc4.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 554,427 F1 · kind: Reflects a grant of restricted stock units that vests on May 21, 2020. Read SEC document |
| May 16, 2019 Filed May 20, 2019 19:47 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | GrantCommon Stock | 6,781 | $0.00 | $0.00 |
DisclosureSEC source: 0000004281-19-000080 · edgar.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,201 Read SEC document |
| May 02, 2019 Filed May 6, 2019 20:17 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | PurchaseCommon Stock | 22,603 | $22.10 | $499,447.19 |
DisclosureSEC source: 0000004281-19-000064 · edgar.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,420 F1 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $22.0750 to $22.1000. The reporting person undertakes to provide to Arconic Inc., any security holder of Arconic Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| April 25, 2019 Filed Apr 26, 2019 15:42 UTC | Aptiv PLC APTV · Entity 3559 | GrantOrdinary Shares | 4,869 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-026161 · doc4.xml · nonDerivative · entry 3 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,808 F3 · price: The Reporting Person has received restricted stock units that each represent a right to receive one ordinary share of the Issuer pursuant to the Issuer's Long Term Incentive Plan, as amended and restated, and will vest in full one day before the Issuer's Annual Meeting of Shareholders in 2020. Read SEC document |
| April 24, 2019 Filed Apr 26, 2019 15:42 UTC | Aptiv PLC APTV · Entity 3559 | OtherDividend Equivalent Right · Derivative | 48 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-026161 · doc4.xml · derivative · entry 4 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 48 shares Expires not disclosed F1 · derivative.exercise_price: Settlement of dividend equivalent rights in connection with the vesting of restricted stock units. The rights accrued when and as dividends were paid on the Issuer's ordinary shares and vest upon the vesting of the restricted stock unit to which they relate. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.exercise_date: Settlement of dividend equivalent rights in connection with the vesting of restricted stock units. The rights accrued when and as dividends were paid on the Issuer's ordinary shares and vest upon the vesting of the restricted stock unit to which they relate. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.expiration_date: Settlement of dividend equivalent rights in connection with the vesting of restricted stock units. The rights accrued when and as dividends were paid on the Issuer's ordinary shares and vest upon the vesting of the restricted stock unit to which they relate. Each dividend equivalent right is the economic equivalent of one ordinary share. Read SEC document |
| April 24, 2019 Filed Apr 26, 2019 15:42 UTC | Aptiv PLC APTV · Entity 3559 | Tax withholdingOrdinary Shares | 650 | $88.95 | $57,817.50 |
DisclosureSEC source: 0001209191-19-026161 · doc4.xml · nonDerivative · entry 2 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,939 F2 · price: Shares withheld to pay current tax liabilities incident to the vesting of restricted stock units and settlement of dividend equivalent rights. Read SEC document |
| April 24, 2019 Filed Apr 26, 2019 15:42 UTC | Aptiv PLC APTV · Entity 3559 | OtherOrdinary Shares | 48 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-026161 · doc4.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,589 F1 · price: Settlement of dividend equivalent rights in connection with the vesting of restricted stock units. The rights accrued when and as dividends were paid on the Issuer's ordinary shares and vest upon the vesting of the restricted stock unit to which they relate. Each dividend equivalent right is the economic equivalent of one ordinary share. Read SEC document |
| February 20, 2019 Filed Feb 22, 2019 09:52 UTC | Aptiv PLC APTV · Entity 3559 | GrantDividend Equivalent Right · Derivative | 12.415 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-012383 · doc4.xml · derivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47.609 Underlying: Ordinary Shares · 12.415 shares Expires not disclosed F1 · derivative.exercise_price: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.exercise_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.expiration_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 14:01 UTC | Aptiv PLC APTV · Entity 3559 | GrantDividend Equivalent Right · Derivative | 13.799 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-059897 · doc4.xml · derivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35.194 Underlying: Ordinary Shares · 13.799 shares Expires not disclosed F1 · derivative.exercise_price: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.exercise_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.expiration_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. Read SEC document |
| August 22, 2018 Filed Aug 24, 2018 12:34 UTC | Aptiv PLC APTV · Entity 3559 | GrantDividend Equivalent Right · Derivative | 11.11 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-048313 · doc4.xml · derivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21.395 Underlying: Ordinary Shares · 11.11 shares Expires not disclosed F1 · derivative.exercise_price: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.exercise_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.expiration_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. Read SEC document |
| May 23, 2018 Filed May 25, 2018 08:50 UTC | Aptiv PLC APTV · Entity 3559 | GrantDividend Equivalent Right · Derivative | 10.285 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-033309 · doc4.xml · derivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10.285 Underlying: Ordinary Shares · 10.285 shares Expires not disclosed F1 · derivative.exercise_price: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.exercise_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.expiration_date: The dividend equivalent rights accrued with respect to an outstanding award of restricted stock units. Each dividend equivalent right is the economic equivalent of one ordinary share. Read SEC document |
| May 18, 2018 Filed May 22, 2018 21:12 UTC | Howmet Aerospace Inc. ARNC · Entity 2911 | GrantCommon Stock | 8,296 | $0.00 | $0.00 |
DisclosureSEC source: 0000004281-18-000083 · edgar.xml · nonDerivative · entry 1 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,817 Read SEC document |
| April 26, 2018 Filed Apr 27, 2018 12:54 UTC | Aptiv PLC APTV · Entity 3559 | GrantOrdinary Shares | 4,576 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-026407 · doc4.xml · nonDerivative · entry 3 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,541 F4 · price: The Reporting Person has received restricted stock units that each represent a right to receive one ordinary share of the Issuer pursuant to the Issuer's Long Term Incentive Plan, as amended and restated, and will vest in full one day before the Issuer's Annual Meeting of Shareholders in 2019. Read SEC document |
| April 25, 2018 Filed Apr 27, 2018 12:54 UTC | Aptiv PLC APTV · Entity 3559 | OtherDividend Equivalent Right · Derivative | 70 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-026407 · doc4.xml · derivative · entry 4 GUPTA RAJIV · CIK 0001068731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 70 shares Expires not disclosed F1 · derivative.exercise_price: Settlement of dividend equivalent rights in connection with the vesting of restricted stock units. The rights accrued when and as dividends were paid on the Issuer's ordinary shares and vest upon the vesting of the restricted stock unit to which they relate. Each dividend equivalent right is the economic equivalent of one ordinary share. F5 · shares: Reflects here and in Table 1 above the Spin-Off Adjustment to the Reporting Person's dividend equivalent rights. F1 · derivative.exercise_date: Settlement of dividend equivalent rights in connection with the vesting of restricted stock units. The rights accrued when and as dividends were paid on the Issuer's ordinary shares and vest upon the vesting of the restricted stock unit to which they relate. Each dividend equivalent right is the economic equivalent of one ordinary share. F1 · derivative.expiration_date: Settlement of dividend equivalent rights in connection with the vesting of restricted stock units. The rights accrued when and as dividends were paid on the Issuer's ordinary shares and vest upon the vesting of the restricted stock unit to which they relate. Each dividend equivalent right is the economic equivalent of one ordinary share. 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.