Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ANTERO RESOURCES CorpAR · Entity 3448 | Director · See Remarks | April 22, 2021 | April 26, 2021 |
| Antero Midstream CorpAM · Entity 3501 | Director · See Remarks | April 15, 2021 | April 19, 2021 |
| Antero Midstream Partners LPAM · Entity 159113 | Director · President and Secretary | March 12, 2019 | March 14, 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.
ANTERO RESOURCES Corp
Report date April 22, 2021 · Filed April 26, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 9,530,745 |
Reported balance
After 2021-04-22 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-04-22 · Exercise / conversion · Acquired 25,125 · Balance 9,530,745 F1: On April 22, 2021, the Compensation Committee of the Issuer certified the Issuer's absolute total shareholder return ("TSR") performance over the first performance period, which ran from July 15, 2020 through April 15, 2021, at the maximum level, resulting in 25% of the performance share units ("PSUs") originally granted on July 15, 2020 that vest based on absolute TSR becoming earned at 150% of the target amount granted. These PSUs remain outstanding and subject to service-based vesting requirements until April 15, 2023. F2: Includes 3,848,997 shares of common stock of the Issuer ("Common Stock") held by Canton Investment Holdings LLC ("Canton"). The Reporting Person is the managing member and 50% owner of Canton. The Reporting Person disclaims beneficial ownership of all shares of Common Stock held by Canton except to the extent of his pecuniary interest therein. F3: Includes 100,500 shares of Common Stock subject to previously granted restricted stock unit awards that remain subject to vesting and 25,125 shares of Common Stock subject to previously granted performance stock unit awards that remain subject to vesting. |
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 9,555,870 |
Reported balance
After 2021-04-22 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2021-04-22 · Grant · Acquired 25,125 · Balance 9,555,870 F4: On April 22, 2021, the Compensation Committee of the Issuer certified the Issuer's relative TSR performance over the first performance period, which ran from July 15, 2020 through April 15, 2021, at the maximum level, resulting in 25% of the PSUs originally granted on July 15, 2020 that vest based on relative TSR becoming earned at 150% of the target amount granted. These PSUs remain outstanding and subject to service-based vesting requirements until April 15, 2023. F2: Includes 3,848,997 shares of common stock of the Issuer ("Common Stock") held by Canton Investment Holdings LLC ("Canton"). The Reporting Person is the managing member and 50% owner of Canton. The Reporting Person disclaims beneficial ownership of all shares of Common Stock held by Canton except to the extent of his pecuniary interest therein. F5: Includes 100,500 shares of Common Stock subject to previously granted restricted stock unit awards that remain subject to vesting and 50,250 shares of Common Stock subject to previously granted performance stock unit awards that remain subject to vesting |
| Performance Share UnitsSEC Table II · derivative / convertible security | Direct | 50,250 |
Reported balance
After 2021-04-22 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-04-22 · Exercise / conversion · Disposed 16,750 · Balance 50,250 F8: Each PSU represents a contingent right to receive one share of Common Stock. F9: Vesting of these PSUs granted on July 15, 2020 is contingent upon the achievement of both a performance and a service requirement. One third of the remaining 50,250 PSUs will become earned based on the Issuer's absolute TSR over the course of each of Performance Period Two (beginning on April 15, 2021 and ending on April 15, 2022), Performance Period Three (beginning on April 15, 2022 and ending on April 15, 2023), and Performance Period Four (beginning on the grant date and ending on April 15, 2023). |
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnote | 803,000 |
Reported balance
Holding disclosure · report date 2021-04-22 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 803,000 F6: Represents shares of Common Stock held by the Warren 2020 Family Trust (the "Warren 2020 Trust"), of which the Reporting Person is trustee. The Reporting Person and members of his immediate family are the sole beneficiaries of the Warren 2020 Trust. The Reporting Person disclaims beneficial ownership of all shares of Common Stock held by the Warren 2020 Trust except to the extent of his pecuniary interest therein. |
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnote | 7 |
Reported balance
Holding disclosure · report date 2021-04-22 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 7 F7: Represents shares of Common Stock purchased by a family member of the Reporting Person. All shares of Common Stock indicated as indirectly owned by the Reporting Person are included because of his relation to the holder. The Reporting Person disclaims beneficial ownership of all shares of Common Stock reported except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 22, 2021, the Compensation Committee of the Issuer certified the Issuer's absolute total shareholder return ("TSR") performance over the first performance period, which ran from July 15, 2020 through April 15, 2021, at the maximum level, resulting in 25% of the performance share units ("PSUs") originally granted on July 15, 2020 that vest based on absolute TSR becoming earned at 150% of the target amount granted. These PSUs remain outstanding and subject to service-based vesting requirements until April 15, 2023.
F2: Includes 3,848,997 shares of common stock of the Issuer ("Common Stock") held by Canton Investment Holdings LLC ("Canton"). The Reporting Person is the managing member and 50% owner of Canton. The Reporting Person disclaims beneficial ownership of all shares of Common Stock held by Canton except to the extent of his pecuniary interest therein.
F3: Includes 100,500 shares of Common Stock subject to previously granted restricted stock unit awards that remain subject to vesting and 25,125 shares of Common Stock subject to previously granted performance stock unit awards that remain subject to vesting.
F4: On April 22, 2021, the Compensation Committee of the Issuer certified the Issuer's relative TSR performance over the first performance period, which ran from July 15, 2020 through April 15, 2021, at the maximum level, resulting in 25% of the PSUs originally granted on July 15, 2020 that vest based on relative TSR becoming earned at 150% of the target amount granted. These PSUs remain outstanding and subject to service-based vesting requirements until April 15, 2023.
F5: Includes 100,500 shares of Common Stock subject to previously granted restricted stock unit awards that remain subject to vesting and 50,250 shares of Common Stock subject to previously granted performance stock unit awards that remain subject to vesting
F6: Represents shares of Common Stock held by the Warren 2020 Family Trust (the "Warren 2020 Trust"), of which the Reporting Person is trustee. The Reporting Person and members of his immediate family are the sole beneficiaries of the Warren 2020 Trust. The Reporting Person disclaims beneficial ownership of all shares of Common Stock held by the Warren 2020 Trust except to the extent of his pecuniary interest therein.
F7: Represents shares of Common Stock purchased by a family member of the Reporting Person. All shares of Common Stock indicated as indirectly owned by the Reporting Person are included because of his relation to the holder. The Reporting Person disclaims beneficial ownership of all shares of Common Stock reported except to the extent of his pecuniary interest therein.
F8: Each PSU represents a contingent right to receive one share of Common Stock.
F9: Vesting of these PSUs granted on July 15, 2020 is contingent upon the achievement of both a performance and a service requirement. One third of the remaining 50,250 PSUs will become earned based on the Issuer's absolute TSR over the course of each of Performance Period Two (beginning on April 15, 2021 and ending on April 15, 2022), Performance Period Three (beginning on April 15, 2022 and ending on April 15, 2023), and Performance Period Four (beginning on the grant date and ending on April 15, 2023).
Antero Midstream Corp
Report date April 15, 2021 · Filed April 19, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 6,191,816 |
Reported balance
After 2021-04-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-04-15 · Tax withholding · Disposed 25,907 · Balance 6,191,816 F1: In connection with the vesting and settlement of restricted stock units through the issuance of common stock of the Issuer ("Common Stock") pursuant to the Antero Midstream Corporation Long Term Incentive Plan, the Issuer withheld Common Stock that would otherwise have been issued to the Reporting Person to satisfy its tax withholding obligations. The number of shares of Common Stock withheld was determined based on the closing price per share of Common Stock on April 15, 2021. F2: Includes 126,890 shares of Common Stock subject to previously granted restricted stock unit awards that remain subject to vesting. |
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnote | 817,000 |
Reported balance
Holding disclosure · report date 2021-04-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 817,000 F3: Represents shares of Common Stock held by the Warren 2020 Family Trust (the "Warren 2020 Trust"), of which the Reporting Person is trustee. The Reporting Person and members of his immediate family are the sole beneficiaries of the Warren 2020 Trust. The Reporting Person disclaims beneficial ownership of all shares of Common Stock held by the Warren 2020 Trust except to the extent of his pecuniary interest therein. |
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnote | 3,966,804 |
Reported balance
Holding disclosure · report date 2021-04-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 3,966,804 F4: Represents shares of Common Stock held by Canton Investment Holdings LLC ("Canton"). The Reporting Person is the managing member and 50% owner of Canton. The Reporting Person disclaims beneficial ownership of all shares of Common Stock held by Canton except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the vesting and settlement of restricted stock units through the issuance of common stock of the Issuer ("Common Stock") pursuant to the Antero Midstream Corporation Long Term Incentive Plan, the Issuer withheld Common Stock that would otherwise have been issued to the Reporting Person to satisfy its tax withholding obligations. The number of shares of Common Stock withheld was determined based on the closing price per share of Common Stock on April 15, 2021.
F2: Includes 126,890 shares of Common Stock subject to previously granted restricted stock unit awards that remain subject to vesting.
F3: Represents shares of Common Stock held by the Warren 2020 Family Trust (the "Warren 2020 Trust"), of which the Reporting Person is trustee. The Reporting Person and members of his immediate family are the sole beneficiaries of the Warren 2020 Trust. The Reporting Person disclaims beneficial ownership of all shares of Common Stock held by the Warren 2020 Trust except to the extent of his pecuniary interest therein.
F4: Represents shares of Common Stock held by Canton Investment Holdings LLC ("Canton"). The Reporting Person is the managing member and 50% owner of Canton. The Reporting Person disclaims beneficial ownership of all shares of Common Stock held by Canton except to the extent of his pecuniary interest therein.
Antero Midstream Partners LP
Report date March 12, 2019 · Filed March 14, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Units representing limited partner interestsSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2019-03-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-03-12 · Disposition to issuer · Disposed 134,996 · Balance 58,231 F1: Each common unit representing limited partnership interests of the Issuer ("AM Common Units") was disposed of pursuant to the Simplification Agreement (the "Simplification Agreement"), dated as of October 9, 2018, by and among the Issuer, Antero Midstream Corporation (f/k/a Antero Midstream GP LP, "New AM") and certain of their affiliates. Pursuant to the Simplification Agreement, holders of AM Common Units (other than Antero Resources Corporation) received, in exchange for each AM Common Unit held, (i) $3.415 in cash without interest and 1.6350 shares of New AM Common Stock, (ii) 1.8926 shares of New AM Common Stock, or (iii) $10.1364 in cash and 1.1279 shares of New AM Common Stock. Row 2 · 2019-03-12 · Disposition to issuer · Disposed 58,231 · Balance 0 F2: Pursuant to the Simplification Agreement, each phantom unit ("Phantom Unit") was converted into the right to receive 1.8926 restricted stock units (the "RSUs"), each settleable in one share of New AM Common Stock. The RSUs will be subject to the same vesting conditions to which the Phantom Units were subject. |
Filing footnotes · ownership attribution and instrument terms
F1: Each common unit representing limited partnership interests of the Issuer ("AM Common Units") was disposed of pursuant to the Simplification Agreement (the "Simplification Agreement"), dated as of October 9, 2018, by and among the Issuer, Antero Midstream Corporation (f/k/a Antero Midstream GP LP, "New AM") and certain of their affiliates. Pursuant to the Simplification Agreement, holders of AM Common Units (other than Antero Resources Corporation) received, in exchange for each AM Common Unit held, (i) $3.415 in cash without interest and 1.6350 shares of New AM Common Stock, (ii) 1.8926 shares of New AM Common Stock, or (iii) $10.1364 in cash and 1.1279 shares of New AM Common Stock.
F2: Pursuant to the Simplification Agreement, each phantom unit ("Phantom Unit") was converted into the right to receive 1.8926 restricted stock units (the "RSUs"), each settleable in one share of New AM Common Stock. The RSUs will be subject to the same vesting conditions to which the Phantom Units were subject.
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 |
|---|---|---|---|---|---|---|
| November 12, 2016 Filed Nov 15, 2016 16:56 UTC | Antero Midstream Partners LP AM · Entity 159113 | Tax withholdingCommon Units representing limited partner interests | 14,906 | $27.96 | $416,771.76 |
DisclosureSEC source: 0001104659-16-157297 · a4.xml · nonDerivative · entry 1 Warren Glen C Jr · CIK 0001375364 · Director · President and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,829 F1 · shares: In connection with the vesting and settlement of phantom units through the issuance of common units representing limited partner interests in the Issuer ("Common Units") pursuant to a Phantom Unit Agreement and the Antero Midstream Partners LP Long-Term Incentive Plan, the Issuer withheld Common Units that would otherwise have been issued to the Reporting Person to satisfy its tax withholding obligations. The number of Common Units withheld was determined based on the closing price per Common Unit on November 11, 2016. F2 · balance_after: Includes 111,081 Common Units that remain subject to vesting. F3 · balance_after: Includes 40,000 Common Units held by Canton Investment Holdings LLC ("Canton"). Mr. Warren is the sole member of Canton. Mr. Warren disclaims beneficial ownership of all Common Units held by Canton except to the extent of his pecuniary interest therein. Read SEC document |
| October 22, 2016 Filed Jan 24, 2017 22:21 UTC | ANTERO RESOURCES Corp AR · Entity 3448 | Tax withholdingCommon stock, par value $0.01 per share | 47,740 | $26.48 | $1,264,155.20 |
DisclosureSEC source: 0001104659-17-003835 · a4.xml · nonDerivative · entry 1 Warren Glen C Jr · CIK 0001375364 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,619,018 F1 · date: This Form 4 was originally filed on October 24, 2016 but was misdirected to the incorrect issuer on the EDGAR system due to a clerical error and is being refiled to appear associated with the correct issuer. F2 · shares: In connection with the vesting of shares of restricted stock units pursuant to the Antero Resources Corporation Long-Term Incentive Plan, the Issuer withheld shares that would otherwise have been issued to the Reporting Person to satisfy its tax withholding obligations. The number of shares withheld was determined based on the closing price per share on October 21, 2016. F3 · balance_after: Includes 249,557 shares of common stock that remain subject to vesting. F4 · balance_after: Includes 3,847,251 shares of common stock held by Canton Investment Holdings LLC ("Canton"). Mr. Warren is the sole member of Canton. Mr. Warren disclaims beneficial ownership of all shares held by Canton except to the extent of his pecuniary interest therein. 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.