Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CSX CORPCSX · Entity 442 | Director | March 15, 2017 | March 17, 2017 |
| PNC FINANCIAL SERVICES GROUP, INC.PNC · Entity 2924 | Director | July 01, 2019 | July 03, 2019 |
| TRAVELERS COMPANIES, INC.TRV · Entity 2960 | Director | December 31, 2020 | January 04, 2021 |
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.
CSX CORP
Report date March 15, 2017 · Filed March 17, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectCSX Corporation Directors Deferred Compensation Plan | 268,626 |
Reported balance
After 2017-03-15 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-03-15 · Grant · Acquired 651 · Balance 268,626 F1: Exempt payment of director's fees and/or annual retainer in the form of CSX Common Stock pursuant to the 2010 CSX Stock and Incentive Award Plan. F2: By Trustee, CSX Directors Deferred Compensation Plan (the "Plan"). The shares are payable after the reporting person ceases to be a director or otherwise pursuant to the terms of the Plan. |
| Common StockSEC Table I · non-derivative | Direct | 12,000 |
Reported balance
Holding disclosure · report date 2017-03-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 12,000 |
Filing footnotes · ownership attribution and instrument terms
F1: Exempt payment of director's fees and/or annual retainer in the form of CSX Common Stock pursuant to the 2010 CSX Stock and Incentive Award Plan.
F2: By Trustee, CSX Directors Deferred Compensation Plan (the "Plan"). The shares are payable after the reporting person ceases to be a director or otherwise pursuant to the terms of the Plan.
PNC FINANCIAL SERVICES GROUP, INC.
Report date July 01, 2019 · Filed July 03, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitSEC Table II · derivative / convertible security | IndirectDeferred Compensation Plan 2 | 22,040 |
Reported balance
After 2019-07-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-07-01 · Grant · Acquired 21 · Balance 22,040 F1: One phantom stock unit is the economic equivalent of one share of The PNC Financial Services Group, Inc. ("PNC") common stock. Phantom stock units will be settled in cash upon distribution to the reporting person and generally do not expire. F2: Includes an aggregate of 152 phantom stock units acquired by the reporting person as dividend equivalents under the PNC Deferred Compensation Plan subsequent to the date of the reporting person's most recent filing on Form 4. |
| Phantom Stock UnitSEC Table II · derivative / convertible security | IndirectDeferred Stock Unit Plan | 20,592 |
Reported balance
Holding disclosure · report date 2019-07-01 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 20,592 F1: One phantom stock unit is the economic equivalent of one share of The PNC Financial Services Group, Inc. ("PNC") common stock. Phantom stock units will be settled in cash upon distribution to the reporting person and generally do not expire. F3: Includes an aggregate of 142 phantom stock units acquired by the reporting person as dividend equivalents under the PNC Outside Directors Deferred Stock Unit Plan subsequent to the date of the reporting person's most recent filing on Form 4. |
| Deferred Stock UnitSEC Table II · derivative / convertible security | Direct | 2,278 |
Reported balance
Holding disclosure · report date 2019-07-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 2,278 F4: Deferred stock unit ("DSU") granted pursuant to the PNC Directors Deferred Stock Unit Program (the "Program") under PNC's 2016 Incentive Award Plan. Each DSU represents the right to receive at retirement one share of PNC common stock, or in limited circumstances cash equal to the fair market value of one share of PNC common stock on the payment determination date, pursuant to the terms of the Program. F5: Includes an aggregate of 15 DSUs acquired by the reporting person as dividend equivalents under the Program subsequent to the date of the reporting person's most recent filing on Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: One phantom stock unit is the economic equivalent of one share of The PNC Financial Services Group, Inc. ("PNC") common stock. Phantom stock units will be settled in cash upon distribution to the reporting person and generally do not expire.
F2: Includes an aggregate of 152 phantom stock units acquired by the reporting person as dividend equivalents under the PNC Deferred Compensation Plan subsequent to the date of the reporting person's most recent filing on Form 4.
F3: Includes an aggregate of 142 phantom stock units acquired by the reporting person as dividend equivalents under the PNC Outside Directors Deferred Stock Unit Plan subsequent to the date of the reporting person's most recent filing on Form 4.
F4: Deferred stock unit ("DSU") granted pursuant to the PNC Directors Deferred Stock Unit Program (the "Program") under PNC's 2016 Incentive Award Plan. Each DSU represents the right to receive at retirement one share of PNC common stock, or in limited circumstances cash equal to the fair market value of one share of PNC common stock on the payment determination date, pursuant to the terms of the Program.
F5: Includes an aggregate of 15 DSUs acquired by the reporting person as dividend equivalents under the Program subsequent to the date of the reporting person's most recent filing on Form 4.
TRAVELERS COMPANIES, INC.
Report date December 31, 2020 · Filed January 04, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 42,382.13 |
Reported balance
After 2020-12-31 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-12-31 · Grant · Acquired 231.53 · Balance 42,382.13 F1: These are deferred common stock units received in lieu of cash compensation pursuant to the Company's Deferred Compensation Plan for Non-Employee Directors. The deferred common stock units will be converted into shares of Company common stock on a one-for-one basis upon distribution. Distribution of shares of common stock occurs, at the election of the director, either in a lump sum or in annual installments pursuant to the Company's Deferred Compensation Plan for Non-Employee Directors. F2: Includes the deferred common stock units granted under one or more of the Company's directors' compensation plans. Also includes 253.704 deferred common stock units acquired on December 31, 2020 pursuant to the dividend reinvestment features of those plans, which will be distributed as described in footnote 1 above. |
Filing footnotes · ownership attribution and instrument terms
F1: These are deferred common stock units received in lieu of cash compensation pursuant to the Company's Deferred Compensation Plan for Non-Employee Directors. The deferred common stock units will be converted into shares of Company common stock on a one-for-one basis upon distribution. Distribution of shares of common stock occurs, at the election of the director, either in a lump sum or in annual installments pursuant to the Company's Deferred Compensation Plan for Non-Employee Directors.
F2: Includes the deferred common stock units granted under one or more of the Company's directors' compensation plans. Also includes 253.704 deferred common stock units acquired on December 31, 2020 pursuant to the dividend reinvestment features of those plans, which will be distributed as described in footnote 1 above.
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 |
|---|---|---|---|---|---|---|
| October 03, 2016 Filed Oct 5, 2016 20:13 UTC Amendment | PNC FINANCIAL SERVICES GROUP, INC. PNC · Entity 2924 | GrantPhantom Stock Unit · Derivative | 452 | $89.40 | $40,408.80 |
DisclosureSEC source: 0001209191-16-144886 · doc4a.xml · derivative · entry 1 SHEPARD DONALD J · CIK 0001237373 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Deferred Compensation Plan 2 Disclosed balance after: 17,369 Underlying: $5 Par Common Stock · 452 shares Expires not disclosed F1 · derivative.exercise_price: One phantom stock unit is the economic equivalent of one share of The PNC Financial Services Group, Inc. ("PNC") Common Stock. Phantom stock units will be settled in cash upon distribution to the reporting person and generally do not expire. F2 · shares: The reporting person is amending this Form 4 to reflect the correct number of phantom stock units granted on October 3, 2016 under the PNC Deferred Compensation Plan. F1 · derivative.exercise_date: One phantom stock unit is the economic equivalent of one share of The PNC Financial Services Group, Inc. ("PNC") Common Stock. Phantom stock units will be settled in cash upon distribution to the reporting person and generally do not expire. F1 · derivative.expiration_date: One phantom stock unit is the economic equivalent of one share of The PNC Financial Services Group, Inc. ("PNC") Common Stock. Phantom stock units will be settled in cash upon distribution to the reporting person and generally do not expire. F3 · balance_after: Includes an aggregate of 110 Phantom Stock Units acquired by the reporting person as dividend equivalents under the PNC Deferred Compensation Plan subsequent to the date of the reporting person's most recent filing on Form 4. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:33 UTC | TRAVELERS COMPANIES, INC. TRV · Entity 2960 | GrantCommon Stock | 338.28 | $114.55 | $38,749.97 |
DisclosureSEC source: 0001127602-16-064019 · form4.xml · nonDerivative · entry 1 SHEPARD DONALD J · CIK 0001237373 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,159.726 F1 · shares: These are deferred common stock units received in lieu of cash compensation pursuant to the Company's Deferred Compensation Plan for Non-Employee Directors. The deferred common stock units will be converted into shares of Company common stock on a one-for-one basis upon distribution. Distribution of shares of common stock occurs at the election of the director, either in a lump sum or in annual installments beginning at least six months following termination of his or her service as a director pursuant to the Company's Deferred Compensation Plan for Non-Employee Directors. F2 · balance_after: Includes the deferred common stock units granted under one or more of the Company's directors' compensation plans. Also includes 161.782 deferred common stock units acquired on September 30, 2016 pursuant to the dividend reinvestment features of those plans, which will be distributed as described in footnote 1 above. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 19:59 UTC | PNC FINANCIAL SERVICES GROUP, INC. PNC · Entity 2924 | Exercise / conversionPhantom Stock Unit · Derivative | 272 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-144118 · doc4.xml · derivative · entry 3 SHEPARD DONALD J · CIK 0001237373 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Deferred Compensation Plan Disclosed balance after: 939 Underlying: $5 Par Common Stock · 272 shares Expires 2016-09-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: One phantom stock unit was the economic equivalent of one share of The PNC Financial Services Group, Inc. ("PNC") Common Stock. The units were settled in cash and distributed to the reporting person on the transaction date. F1 · price: One phantom stock unit was the economic equivalent of one share of The PNC Financial Services Group, Inc. ("PNC") Common Stock. The units were settled in cash and distributed to the reporting person on the transaction date. F2 · balance_after: Includes an aggregate of 8 Phantom Stock Units acquired by the reporting person as dividend equivalents under the PNC Deferred Compensation Plan subsequent to the date of the reporting person's most recent filing on Form 4. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 19:59 UTC | PNC FINANCIAL SERVICES GROUP, INC. PNC · Entity 2924 | Disposition to issuer$5 Par Common Stock | 272 | $90.09 | $24,504.48 |
DisclosureSEC source: 0001209191-16-144118 · doc4.xml · nonDerivative · entry 2 SHEPARD DONALD J · CIK 0001237373 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,967 Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 19:59 UTC | PNC FINANCIAL SERVICES GROUP, INC. PNC · Entity 2924 | Exercise / conversion$5 Par Common Stock | 272 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-144118 · doc4.xml · nonDerivative · entry 1 SHEPARD DONALD J · CIK 0001237373 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,239 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: One phantom stock unit was the economic equivalent of one share of The PNC Financial Services Group, Inc. ("PNC") Common Stock. The units were settled in cash and distributed to the reporting person on the transaction date. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 18:21 UTC | CSX CORP CSX · Entity 442 | GrantPhantom Stock · Derivative | 16 | $26.39 Strike: $26.39 | $422.24 |
DisclosureSEC source: 0001209191-16-141935 · doc4.xml · derivative · entry 3 SHEPARD DONALD J · CIK 0001237373 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,649 Underlying: Common Stock · 16 shares Expires not disclosed F3 · shares: Reflects units of phantom stock acquired through the dividend reinvestment feature of the CSX Director Deferred Compensation Plan. F4 · derivative.exercise_date: Each unit of phantom stock is the economic equivalent of one share of Company common stock. Units of phantom stock become payable, in cash, consistent with the Reporting Person's distribution election made at the time of deferral. F4 · derivative.expiration_date: Each unit of phantom stock is the economic equivalent of one share of Company common stock. Units of phantom stock become payable, in cash, consistent with the Reporting Person's distribution election made at the time of deferral. F3 · derivative.underlying_shares: Reflects units of phantom stock acquired through the dividend reinvestment feature of the CSX Director Deferred Compensation Plan. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 18:21 UTC | CSX CORP CSX · Entity 442 | GrantCommon Stock | 940 | $29.23 | $27,476.20 |
DisclosureSEC source: 0001209191-16-141935 · doc4.xml · nonDerivative · entry 1 SHEPARD DONALD J · CIK 0001237373 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · CSX Corporation Directors Deferred Compensation Plan Disclosed balance after: 260,293 F1 · shares: Exempt payment of director's fees and/or annual retainer in the form of CSX Common Stock pursuant to the 2010 CSX Stock and Incentive Award Plan. F2 · ownership.nature: By Trustee, CSX Directors Deferred Compensation Plan (the "Plan"). The shares are payable after the reporting person ceases to be a director or otherwise pursuant to the terms of the Plan. 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.