Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CHART INDUSTRIES INCGTLS · Entity 30179 | Director · Executive Chairman | January 05, 2018 | January 09, 2018 |
| Lumentum Holdings Inc.LITE · Entity 2957 | Director | August 13, 2020 | August 26, 2020 |
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.
CHART INDUSTRIES INC
Report date January 05, 2018 · Filed January 09, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 168,331 |
Reported balance
After 2018-01-05 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-01-05 · Tax withholding · Disposed 4,235 · Balance 168,331 F1: The reporting person surrendered 4,235 shares subject to the restricted share unit award, to satisfy tax withholding liabilities associated with the award, in an exempt transaction under Rule 16b-3 F2: 19,038 and 12,467 shares of the total amount beneficially owned were granted on January 3, 2017 and January 4, 2016, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. |
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy spouse | 28,275 |
Reported balance
Holding disclosure · report date 2018-01-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 28,275 |
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy Trusts | 48,020 |
Reported balance
Holding disclosure · report date 2018-01-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 48,020 F3: Held by trusts for the benefit of the reporting person's family member. The reporting person disclaims beneficial ownership of the shares held by the trusts, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trusts' shares for purposes of Section 16 or for any other purpose. |
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy Trust | 36,000 |
Reported balance
Holding disclosure · report date 2018-01-05 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 36,000 F4: Held by trust, with spouse as trustee, for the benefit of the reporting person's family member. The reporting person disclaims beneficial ownership of the shares held by the trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trust's shares for purposes of Section 16 or for any other purpose. |
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy Trust | 54,000 |
Reported balance
Holding disclosure · report date 2018-01-05 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 54,000 F5: Held by trust for the benefit of the reporting person's family members, including his spouse. The reporting person disclaims beneficial ownership of the shares held by the trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trust's shares for purposes of Section 16 or for any other purpose. |
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy Trust | 46,000 |
Reported balance
Holding disclosure · report date 2018-01-05 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 46,000 F6: Held by trust for the benefit of the reporting person's family members, including the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person surrendered 4,235 shares subject to the restricted share unit award, to satisfy tax withholding liabilities associated with the award, in an exempt transaction under Rule 16b-3
F2: 19,038 and 12,467 shares of the total amount beneficially owned were granted on January 3, 2017 and January 4, 2016, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction.
F3: Held by trusts for the benefit of the reporting person's family member. The reporting person disclaims beneficial ownership of the shares held by the trusts, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trusts' shares for purposes of Section 16 or for any other purpose.
F4: Held by trust, with spouse as trustee, for the benefit of the reporting person's family member. The reporting person disclaims beneficial ownership of the shares held by the trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trust's shares for purposes of Section 16 or for any other purpose.
F5: Held by trust for the benefit of the reporting person's family members, including his spouse. The reporting person disclaims beneficial ownership of the shares held by the trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trust's shares for purposes of Section 16 or for any other purpose.
F6: Held by trust for the benefit of the reporting person's family members, including the reporting person.
Lumentum Holdings Inc.
Report date August 13, 2020 · Filed August 26, 2020 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 14,337 |
Reported balance
After 2020-08-13 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2020-08-13 · Sale · Disposed 8,754 · Balance 14,337 F1: These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. F2: The original Form 4 erroneously reported the number of shares sold as 1,548. F3: These sales were executed in multiple trades at prices ranging from $92.08 to $93.07. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
F2: The original Form 4 erroneously reported the number of shares sold as 1,548.
F3: These sales were executed in multiple trades at prices ranging from $92.08 to $93.07. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
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 |
|---|---|---|---|---|---|---|
| August 13, 2020 Filed Aug 14, 2020 20:38 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 1,548 | $92.65 | $143,421.27 |
DisclosureSEC source: 0001209191-20-046803 · doc4.xml · nonDerivative · entry 2 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,337 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. F3 · price: These sales were executed in multiple trades at prices ranging from $92.08 to $93.07. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 20:38 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 10,962 | $91.67 | $1,004,863.52 |
DisclosureSEC source: 0001209191-20-046803 · doc4.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,091 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. F2 · price: These sales were executed in multiple trades at prices ranging from $91.06 to $92.05. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document |
| August 13, 2020 Filed Aug 26, 2020 00:48 UTC Amendment | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 8,754 | $92.65 | $811,052.85 |
DisclosureSEC source: 0001209191-20-048315 · doc4a.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,337 F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. F2 · shares: The original Form 4 erroneously reported the number of shares sold as 1,548. F3 · price: These sales were executed in multiple trades at prices ranging from $92.08 to $93.07. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document |
| November 14, 2019 Filed Nov 19, 2019 17:38 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 4,064 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-057092 · doc4.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,053 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents the contingent right to receive, following vesting, one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the one-year anniversary of the grant date, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| November 09, 2018 Filed Nov 13, 2018 21:21 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 3,017 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-18-000135 · edgar.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,989 F1 · shares: Each restricted stock unit (RSU) represents the contingent right to receive, following vesting, one share of Common Stock of Lumentum Holdings. 100% of the shares shall vest on the one (1) year anniversary of the grant date, subject to the Participant continuing through such date to be a Service Provider as defined under the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| August 15, 2018 Filed Aug 16, 2018 23:47 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 3,282 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-18-000066 · edgar.xml · derivative · entry 2 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,282 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. F1 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| August 15, 2018 Filed Aug 16, 2018 23:47 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 3,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-18-000066 · edgar.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,980 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 |
| August 15, 2018 Filed Nov 13, 2018 21:19 UTC Amendment | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 3,282 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-18-000134 · edgar.xml · derivative · entry 2 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,282 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. F1 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| August 15, 2018 Filed Nov 13, 2018 21:19 UTC Amendment | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 3,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-18-000134 · edgar.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,972 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 · balance_after: Correction to Table I, increasing the total amount to reflect the correct holdings at the time of the filing. Read SEC document |
| January 05, 2018 Filed Jan 9, 2018 21:33 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Tax withholdingCommon stock, par value $0.01 per share | 4,235 | $52.73 | $223,311.55 |
DisclosureSEC source: 0000892553-18-000029 · wf-form4_151553357382732.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,331 F1 · shares: The reporting person surrendered 4,235 shares subject to the restricted share unit award, to satisfy tax withholding liabilities associated with the award, in an exempt transaction under Rule 16b-3 F2 · balance_after: 19,038 and 12,467 shares of the total amount beneficially owned were granted on January 3, 2017 and January 4, 2016, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. Read SEC document |
| January 03, 2018 Filed Jan 4, 2018 21:26 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Tax withholdingCommon stock, par value $0.01 per share | 2,294 | $50.99 | $116,971.06 |
DisclosureSEC source: 0000892553-18-000025 · wf-form4_151510117787651.xml · nonDerivative · entry 2 THOMAS SAMUEL F · CIK 0001266362 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,566 F2 · shares: The reporting person surrendered 2,294 shares subject to the restricted share unit award, to satisfy tax withholding liabilities associated with the award, in an exempt transaction under Rule 16b-3 F3 · balance_after: 19,038 and 24,934 shares of the total amount beneficially owned were granted on January 3, 2017 and January 4, 2016, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:26 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Tax withholdingCommon stock, par value $0.01 per share | 1,440 | $48.39 | $69,681.60 |
DisclosureSEC source: 0000892553-18-000025 · wf-form4_151510117787651.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,860 F1 · shares: The reporting person surrendered 1,440 shares subject to the restricted share unit award, to satisfy tax withholding liabilities associated with the award, in an exempt transaction under Rule 16b-3 Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 16:25 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Exercise / conversionStock Option (Right to Buy) · Derivative | 18,950 | $0.00 Strike: $30.95 | $0.00 |
DisclosureSEC source: 0000892553-17-000078 · wf-form4_151240472292102.xml · derivative · entry 7 THOMAS SAMUEL F · CIK 0001266362 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,950 shares Expires 2018-01-02 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. F7 · derivative.exercise_date: These options were granted on January 2, 2008 pursuant to the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant. F7 · balance_after: These options were granted on January 2, 2008 pursuant to the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 16:25 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Exercise / conversionCommon Stock | 18,950 | $30.95 | $586,502.50 |
DisclosureSEC source: 0000892553-17-000078 · wf-form4_151240472292102.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,300 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 · balance_after: 28,904, 24,934, and 5,756 shares of the total amount beneficially owned were granted on January 3, 2017, January 4, 2016, and January 2, 2015, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. Read SEC document |
| November 02, 2017 Filed Nov 3, 2017 22:33 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 2,992 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000129 · wf-form4_150974836704833.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,690 F1 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of common Stock of Lumentum Holding Inc. F2 · shares: Award will vest upon the earlier of (i) the day prior to the next year's annual meeting of stockholders or (ii) one year from grant, subject to continued service as a director through the applicable vesting date. Read SEC document |
| August 15, 2017 Filed Aug 18, 2017 01:21 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 3,282 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000066 · wf-form4_150301927713057.xml · derivative · entry 2 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,282 Underlying: Common Stock · 3,282 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. F1 · derivative.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| August 15, 2017 Filed Aug 18, 2017 01:21 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 3,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000066 · wf-form4_150301927713057.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,698 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 08, 2017 Filed May 10, 2017 20:46 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Exercise / conversionStock Option (Right to Buy) · Derivative | 18,300 | $0.00 Strike: $27.74 | $0.00 |
DisclosureSEC source: 0001209191-17-031338 · doc4.xml · derivative · entry 7 THOMAS SAMUEL F · CIK 0001266362 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,300 shares Expires 2017-08-02 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. F7 · derivative.exercise_date: These options were granted on August 2, 2007 pursuant to the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant. F7 · balance_after: These options were granted on August 2, 2007 pursuant to the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant. Read SEC document |
| May 08, 2017 Filed May 10, 2017 20:46 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Exercise / conversionCommon Stock, par value $0.01 per share | 18,300 | $27.74 | $507,642.00 |
DisclosureSEC source: 0001209191-17-031338 · doc4.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,350 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 · balance_after: 28,904, 24,934, and 5,756 shares of the total amount beneficially owned were granted on January 3, 2017, January 4, 2016, and January 2, 2015, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:29 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Tax withholdingCommon Stock, par value $0.01 per share | 5,990 | $39.78 | $238,282.20 |
DisclosureSEC source: 0001209191-17-012109 · doc4.xml · nonDerivative · entry 2 THOMAS SAMUEL F · CIK 0001266362 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,050 F3 · shares: The reporting person surrendered 5,990 shares upon the vesting of performance units, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3. F2 · balance_after: 28,904, 24,934, and 5,756 shares of the total amount beneficially owned were granted on January 3, 2017, January 4, 2016, and January 2, 2015, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:29 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | GrantCommon Stock, par value $0.01 per share | 14,277 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012109 · doc4.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,040 F1 · security: Represents performance units granted on January 2, 2014, under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan, that have vested and are paid out in shares of common stock. F2 · balance_after: 28,904, 24,934, and 5,756 shares of the total amount beneficially owned were granted on January 3, 2017, January 4, 2016, and January 2, 2015, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. Read SEC document |
| January 04, 2017 Filed Jan 5, 2017 23:29 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Tax withholdingCommon Stock, par value $0.01 per share | 2,885 | $38.14 | $110,033.90 |
DisclosureSEC source: 0001209191-17-002346 · doc4.xml · nonDerivative · entry 3 THOMAS SAMUEL F · CIK 0001266362 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,763 F5 · shares: The reporting person surrendered 2,885 shares upon the vesting of 11,538 restricted share units, which is one-third (1/3) of the reporting person's January 4, 2016 restricted share unit award, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3. F6 · balance_after: 28,904, 24,934, and 5,756 shares of the total amount beneficially owned were granted on January 3, 2017, January 4, 2016, and January 2, 2015, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 23:29 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | GrantStock Option (Right to Buy) · Derivative | 89,220 | $0.00 Strike: $36.93 | $0.00 |
DisclosureSEC source: 0001209191-17-002346 · doc4.xml · derivative · entry 19 THOMAS SAMUEL F · CIK 0001266362 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,220 Underlying: Common Stock · 89,220 shares Expires 2027-01-03 F22 · security: These options were granted on January 3, 2017 pursuant to the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant. F22 · derivative.exercise_date: These options were granted on January 3, 2017 pursuant to the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant. F22 · balance_after: These options were granted on January 3, 2017 pursuant to the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 23:29 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Tax withholdingCommon Stock, par value $0.01 per share | 696 | $36.93 | $25,703.28 |
DisclosureSEC source: 0001209191-17-002346 · doc4.xml · nonDerivative · entry 2 THOMAS SAMUEL F · CIK 0001266362 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,648 F3 · shares: The reporting person surrendered 696 shares subject to the restricted share unit award, to satisfy tax withholding liabilities associated with the award, in an exempt transaction under Rule 16b-3. F4 · balance_after: 28,904, 36,472, and 5,756 shares of the total amount beneficially owned were granted on January 3, 2017, January 4, 2016, and January 2, 2015, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 23:29 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | GrantCommon Stock, par value $0.01 per share | 29,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-002346 · doc4.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,344 F1 · security: These restricted share units were granted on January 3, 2017 pursuant to the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. Shares of Company common stock will be issued with respect to one-third (1/3) of the total number of shares on each of the first three anniversaries of the date of grant, subject to tax withholding requirements. F2 · balance_after: 29,600, 36,472, and 5,756 shares of the total amount beneficially owned were granted on January 3, 2017, January 4, 2016, and January 2, 2015, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. Read SEC document |
| January 02, 2017 Filed Jan 5, 2017 02:05 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Exercise / conversionRestricted Stock Unit · Derivative | 4,860 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-001628 · doc4.xml · derivative · entry 17 THOMAS SAMUEL F · CIK 0001266362 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,860 shares Expires 2017-01-02 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. F18 · security: This LRSU award was granted on January 2, 2014 pursuant to a Leveraged Restricted Share Unit Agreement under the Chart Industries, Inc. 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The minimum number of shares of Company common stock that could be issued at payment is 50% of the grant amount of LRSUs, and the maximum number of shares of Company common stock that could be issued at payment is 150% of the grant amount of LRSUs. This LRSU award was originally reported at target performance levels comprising 9,720 shares, but only 4,860 shares vested, which reflects actual performance under the LRSU award agreement. F18 · derivative.exercise_date: This LRSU award was granted on January 2, 2014 pursuant to a Leveraged Restricted Share Unit Agreement under the Chart Industries, Inc. 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The minimum number of shares of Company common stock that could be issued at payment is 50% of the grant amount of LRSUs, and the maximum number of shares of Company common stock that could be issued at payment is 150% of the grant amount of LRSUs. This LRSU award was originally reported at target performance levels comprising 9,720 shares, but only 4,860 shares vested, which reflects actual performance under the LRSU award agreement. F18 · balance_after: This LRSU award was granted on January 2, 2014 pursuant to a Leveraged Restricted Share Unit Agreement under the Chart Industries, Inc. 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The minimum number of shares of Company common stock that could be issued at payment is 50% of the grant amount of LRSUs, and the maximum number of shares of Company common stock that could be issued at payment is 150% of the grant amount of LRSUs. This LRSU award was originally reported at target performance levels comprising 9,720 shares, but only 4,860 shares vested, which reflects actual performance under the LRSU award agreement. Read SEC document |
| January 02, 2017 Filed Jan 5, 2017 02:05 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Tax withholdingCommon Stock, par value $0.01 per share | 1,549 | $36.02 | $55,794.98 |
DisclosureSEC source: 0001209191-17-001628 · doc4.xml · nonDerivative · entry 3 THOMAS SAMUEL F · CIK 0001266362 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,744 F4 · shares: The reporting person surrendered 1,549 shares upon the vesting of LRSUs, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3. F2 · balance_after: 36,472 and 5,756 shares of the total amount beneficially owned were granted on January 4, 2016 and January 2, 2015, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. Read SEC document |
| January 02, 2017 Filed Jan 5, 2017 02:05 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Exercise / conversionCommon Stock, par value $0.01 per share | 4,860 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-001628 · doc4.xml · nonDerivative · entry 2 THOMAS SAMUEL F · CIK 0001266362 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,293 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 · shares: These shares represent vesting of Leveraged Restricted Share Units (LRSUs) granted on January 2, 2014 pursuant to a Leveraged Restricted Share Unit Agreement under the Chart Industries, Inc. 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The LRSU award was originally reported at target performance levels comprising 9,720 shares, but only 4,860 shares vested and will be paid in shares of Company common stock, which reflects actual performance under the LRSU award agreement. F2 · balance_after: 36,472 and 5,756 shares of the total amount beneficially owned were granted on January 4, 2016 and January 2, 2015, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. Read SEC document |
| January 02, 2017 Filed Jan 5, 2017 02:05 UTC | CHART INDUSTRIES INC GTLS · Entity 30179 | Tax withholdingCommon Stock, par value $0.01 per share | 1,440 | $36.02 | $51,868.80 |
DisclosureSEC source: 0001209191-17-001628 · doc4.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,433 F1 · shares: The reporting person surrendered 1,440 shares upon the vesting of 5,757 restricted share units, which is one-third (1/3) of the reporting person's January 2, 2015 restricted share unit award, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3. F2 · balance_after: 36,472 and 5,756 shares of the total amount beneficially owned were granted on January 4, 2016 and January 2, 2015, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. Read SEC document |
| December 15, 2016 Filed Dec 17, 2016 00:45 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 9,869 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000154 · wf-form4_148193549583438.xml · derivative · entry 2 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,869 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.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| December 15, 2016 Filed Dec 17, 2016 00:45 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 9,869 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000154 · wf-form4_148193549583438.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,416 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 · kind: Each unit converts upon vesting into one share of common stock. Read SEC document |
| November 11, 2016 Filed Nov 16, 2016 01:49 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 4,264 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000114 · wf-form4_147926096535890.xml · nonDerivative · entry 1 THOMAS SAMUEL F · CIK 0001266362 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,547 F1 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of common Stock of Lumentum Holding Inc. F2 · shares: Award will vest upon the earlier of (i) the day prior to the next year's annual meeting of stockholders or (ii) one year from grant, subject to continued service as a director through the applicable vesting date. Upon retirement of an outside Director, all unvested RSUs will automatically vest in full. 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.