Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Chaparral Energy, Inc.CHAP · Entity 148198 | Director | June 26, 2020 | June 29, 2020 |
| Cobalt International Energy, Inc.CIE · Entity 12711 | Director | February 22, 2017 | February 24, 2017 |
| PEABODY ENERGY CORPBTU · Entity 4124 | Director | May 08, 2020 | May 11, 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.
Chaparral Energy, Inc.
Report date June 26, 2020 · Filed June 29, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 6,708 |
Ending reported balance
After 2020-06-26 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-06-26 · Exercise / conversion · Acquired 10,000 · Balance 16,708 F1: The Restricted Stock Units ("RSUs") were granted to the reporting person by Chaparral Energy, Inc. (the "Issuer") under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and were settleable, at the Issuer's option, in shares of Class A Common Stock or cash at vesting. The RSUs vested on June 26, 2020 at the Issuer's annual meeting of stockholders. The Issuer elected to settle the RSUs in cash. Row 2 · 2020-06-26 · Disposition to issuer · Disposed 10,000 · Balance 6,708 F1: The Restricted Stock Units ("RSUs") were granted to the reporting person by Chaparral Energy, Inc. (the "Issuer") under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and were settleable, at the Issuer's option, in shares of Class A Common Stock or cash at vesting. The RSUs vested on June 26, 2020 at the Issuer's annual meeting of stockholders. The Issuer elected to settle the RSUs in cash. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2020-06-26 | Direct | 0 |
Reported balance
After 2020-06-26 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-06-26 · Exercise / conversion · Disposed 10,000 · Balance 0 F1: The Restricted Stock Units ("RSUs") were granted to the reporting person by Chaparral Energy, Inc. (the "Issuer") under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and were settleable, at the Issuer's option, in shares of Class A Common Stock or cash at vesting. The RSUs vested on June 26, 2020 at the Issuer's annual meeting of stockholders. The Issuer elected to settle the RSUs in cash. |
Filing footnotes · ownership attribution and instrument terms
F1: The Restricted Stock Units ("RSUs") were granted to the reporting person by Chaparral Energy, Inc. (the "Issuer") under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and were settleable, at the Issuer's option, in shares of Class A Common Stock or cash at vesting. The RSUs vested on June 26, 2020 at the Issuer's annual meeting of stockholders. The Issuer elected to settle the RSUs in cash.
Cobalt International Energy, Inc.
Report date February 22, 2017 · Filed February 24, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 233,333 |
Reported balance
After 2017-02-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-02-22 · Grant · Acquired 233,333 · Balance 233,333 F1: The reporting person was awarded the reported securities under the Amended and Restated Non-Employee's Directors Compensation Plan (the "Plan"). Each restricted stock unit represents a contingent right to receive one share of Common Stock, the cash equivalent of Common Stock or a combination thereof, at the Issuer's election. F2: Subject to certain circumstances, the restricted stock units vest in full and settle on the first anniversary of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person was awarded the reported securities under the Amended and Restated Non-Employee's Directors Compensation Plan (the "Plan"). Each restricted stock unit represents a contingent right to receive one share of Common Stock, the cash equivalent of Common Stock or a combination thereof, at the Issuer's election.
F2: Subject to certain circumstances, the restricted stock units vest in full and settle on the first anniversary of the grant date.
PEABODY ENERGY CORP
Report date May 08, 2020 · Filed May 11, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 26,871 |
Reported balance
After 2020-05-08 transaction · row 1
1 source rowRow 1 · 2020-05-08 · Grant · Acquired 14,000 · Balance 26,871 F1: Represent deferred stock units that generally vest pro rata over 12 months. |
Filing footnotes · ownership attribution and instrument terms
F1: Represent deferred stock units that generally vest pro rata over 12 months.
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 |
|---|---|---|---|---|---|---|
| June 26, 2020 Filed Jun 29, 2020 18:02 UTC | Chaparral Energy, Inc. CHAP · Entity 148198 | Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001346980-20-000071 · wf-form4_159346810947680.xml · derivative · entry 3 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 10,000 shares Expires 2020-06-26 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: The Restricted Stock Units ("RSUs") were granted to the reporting person by Chaparral Energy, Inc. (the "Issuer") under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and were settleable, at the Issuer's option, in shares of Class A Common Stock or cash at vesting. The RSUs vested on June 26, 2020 at the Issuer's annual meeting of stockholders. The Issuer elected to settle the RSUs in cash. F1 · kind: The Restricted Stock Units ("RSUs") were granted to the reporting person by Chaparral Energy, Inc. (the "Issuer") under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and were settleable, at the Issuer's option, in shares of Class A Common Stock or cash at vesting. The RSUs vested on June 26, 2020 at the Issuer's annual meeting of stockholders. The Issuer elected to settle the RSUs in cash. F1 · price: The Restricted Stock Units ("RSUs") were granted to the reporting person by Chaparral Energy, Inc. (the "Issuer") under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and were settleable, at the Issuer's option, in shares of Class A Common Stock or cash at vesting. The RSUs vested on June 26, 2020 at the Issuer's annual meeting of stockholders. The Issuer elected to settle the RSUs in cash. F1 · balance_after: The Restricted Stock Units ("RSUs") were granted to the reporting person by Chaparral Energy, Inc. (the "Issuer") under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and were settleable, at the Issuer's option, in shares of Class A Common Stock or cash at vesting. The RSUs vested on June 26, 2020 at the Issuer's annual meeting of stockholders. The Issuer elected to settle the RSUs in cash. Read SEC document |
| June 26, 2020 Filed Jun 29, 2020 18:02 UTC | Chaparral Energy, Inc. CHAP · Entity 148198 | Disposition to issuerClass A Common Stock | 10,000 | $0.69 | $6,874.00 |
DisclosureSEC source: 0001346980-20-000071 · wf-form4_159346810947680.xml · nonDerivative · entry 2 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,708 F1 · kind: The Restricted Stock Units ("RSUs") were granted to the reporting person by Chaparral Energy, Inc. (the "Issuer") under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and were settleable, at the Issuer's option, in shares of Class A Common Stock or cash at vesting. The RSUs vested on June 26, 2020 at the Issuer's annual meeting of stockholders. The Issuer elected to settle the RSUs in cash. F1 · price: The Restricted Stock Units ("RSUs") were granted to the reporting person by Chaparral Energy, Inc. (the "Issuer") under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and were settleable, at the Issuer's option, in shares of Class A Common Stock or cash at vesting. The RSUs vested on June 26, 2020 at the Issuer's annual meeting of stockholders. The Issuer elected to settle the RSUs in cash. Read SEC document |
| June 26, 2020 Filed Jun 29, 2020 18:02 UTC | Chaparral Energy, Inc. CHAP · Entity 148198 | Exercise / conversionClass A Common Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001346980-20-000071 · wf-form4_159346810947680.xml · nonDerivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,708 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: The Restricted Stock Units ("RSUs") were granted to the reporting person by Chaparral Energy, Inc. (the "Issuer") under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and were settleable, at the Issuer's option, in shares of Class A Common Stock or cash at vesting. The RSUs vested on June 26, 2020 at the Issuer's annual meeting of stockholders. The Issuer elected to settle the RSUs in cash. F1 · price: The Restricted Stock Units ("RSUs") were granted to the reporting person by Chaparral Energy, Inc. (the "Issuer") under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and were settleable, at the Issuer's option, in shares of Class A Common Stock or cash at vesting. The RSUs vested on June 26, 2020 at the Issuer's annual meeting of stockholders. The Issuer elected to settle the RSUs in cash. Read SEC document |
| May 08, 2020 Filed May 11, 2020 21:33 UTC | PEABODY ENERGY CORP BTU · Entity 4124 | GrantCommon Stock | 14,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-009497 · doc1.xml · nonDerivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,871 F1 · shares: Represent deferred stock units that generally vest pro rata over 12 months. Read SEC document |
| March 31, 2020 Filed Apr 1, 2020 18:27 UTC | Chaparral Energy, Inc. CHAP · Entity 148198 | OtherClass A Common Stock | 6,044 | $0.00 | $0.00 |
DisclosureSEC source: 0001346980-20-000040 · wf-form4_158578001531760.xml · nonDerivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,708 F1 · kind: Mr. Moore has voluntarily agreed to forfeit 6,044 unvested shares of time restricted stock awarded under the Management Incentive Plan of the Issuer, dated as of August 9, 2017. These restricted shares were granted on July 23, 2018 and were scheduled to vest on April 1, 2020. Mr. Moore continues to serve as a director. F1 · price: Mr. Moore has voluntarily agreed to forfeit 6,044 unvested shares of time restricted stock awarded under the Management Incentive Plan of the Issuer, dated as of August 9, 2017. These restricted shares were granted on July 23, 2018 and were scheduled to vest on April 1, 2020. Mr. Moore continues to serve as a director. Read SEC document |
| November 29, 2019 Filed Dec 3, 2019 21:57 UTC | PEABODY ENERGY CORP BTU · Entity 4124 | GrantCommon Stock | 72 | $9.68 | $696.96 |
DisclosureSEC source: 0001567619-19-022590 · doc1.xml · nonDerivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,871 F1 · shares: The shares of Common Stock represent exempt dividend equivalents on prior deferred stock unit awards. F2 · balance_after: During 2019, a new plan administrator assumed record-keeping responsibilities. The new administrator calculates the number of shares granted to individuals through dividend reinvestment using a different method than the previous administrator. Thus, even though this individual did not contribute additional funds to acquire Company common stock nor gain any funds by selling Company common stock during 2019, there was a decrease of 2 shares in the individual's total amount of holdings. Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 20:40 UTC | PEABODY ENERGY CORP BTU · Entity 4124 | GrantCommon Stock | 35 | $18.53 | $648.55 |
DisclosureSEC source: 0001567619-19-018294 · doc1.xml · nonDerivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,801 F1 · shares: The shares of Common Stock represent exempt dividend equivalents on prior deferred stock unit awards. Read SEC document |
| August 30, 2019 Filed Sep 3, 2019 16:09 UTC | Chaparral Energy, Inc. CHAP · Entity 148198 | GrantRestricted Stock Units · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001346980-19-000048 · wf-form4_156754137421025.xml · derivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Restricted Stock Units · 10,000 shares Expires not disclosed F1 · derivative.exercise_date: Restricted stock units granted under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and settleable, at the company's option, in shares of Class A common stock or cash of equivalent value that vest on the earlier of the one year anniversary of the grant date or the next ensuing annual meeting of the company's stockholders. F1 · derivative.expiration_date: Restricted stock units granted under the Chaparral Energy, Inc. 2019 Long-Term Incentive Plan, dated June 28, 2019, and settleable, at the company's option, in shares of Class A common stock or cash of equivalent value that vest on the earlier of the one year anniversary of the grant date or the next ensuing annual meeting of the company's stockholders. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 20:34 UTC | PEABODY ENERGY CORP BTU · Entity 4124 | GrantCommon Stock | 27 | $22.52 | $608.04 |
DisclosureSEC source: 0000899243-19-017072 · doc4.xml · nonDerivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,766 F1 · shares: The shares of Common Stock represent exempt dividend equivalents on prior deferred stock unit awards. Read SEC document |
| May 10, 2019 Filed May 14, 2019 20:40 UTC | PEABODY ENERGY CORP BTU · Entity 4124 | GrantCommon Stock | 4,391 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-013460 · doc4.xml · nonDerivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,739 F1 · shares: Represent deferred stock units that generally vest pro rata over 12 months. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 19:43 UTC | Chaparral Energy, Inc. CHAP · Entity 148198 | Tax withholdingClass A Common Stock | 2,720 | $5.61 | $15,259.20 |
DisclosureSEC source: 0000899243-19-009862 · doc4.xml · nonDerivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,752 F1 · kind: Exempt sale pursuant to Rule 16b-3(e) promulgated under the Securities Exchange Act of 1934. Represents shares of Class A Common Stock of the Issuer delivered for payment of tax obligations upon the vesting of 6,044 shares of restricted stock awarded under the Management Incentive Plan of the Issuer, dated as of August 9, 2017. The number of vested shares delivered was based on the closing price of the Issuer's Class A Common Stock on April 1, 2019. Read SEC document |
| May 11, 2018 Filed May 15, 2018 20:01 UTC | PEABODY ENERGY CORP BTU · Entity 4124 | GrantCommon Stock | 3,354 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-012868 · doc4.xml · nonDerivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,348 F1 · shares: Represent deferred stock units that generally vest pro rata over 12 months. Read SEC document |
| May 02, 2017 Filed May 4, 2017 20:20 UTC | PEABODY ENERGY CORP BTU · Entity 4124 | GrantCommon Stock | 4,994 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-011831 · doc4.xml · nonDerivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,994 F1 · shares: Represent deferred stock units that vest pro rata over 12 months and are converted into common stock upon the earlier to occur of the third anniversary of the grant date and the reporting person's separation from service. Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 16:58 UTC | Cobalt International Energy, Inc. CIE · Entity 12711 | GrantRestricted Stock Units · Derivative | 233,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-014405 · doc4.xml · derivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,333 Underlying: Common Stock · 233,333 shares Expires not disclosed F1 · derivative.exercise_price: The reporting person was awarded the reported securities under the Amended and Restated Non-Employee's Directors Compensation Plan (the "Plan"). Each restricted stock unit represents a contingent right to receive one share of Common Stock, the cash equivalent of Common Stock or a combination thereof, at the Issuer's election. F2 · derivative.exercise_date: Subject to certain circumstances, the restricted stock units vest in full and settle on the first anniversary of the grant date. F2 · derivative.expiration_date: Subject to certain circumstances, the restricted stock units vest in full and settle on the first anniversary of the grant date. Read SEC document |
| October 03, 2016 Filed Oct 4, 2016 18:24 UTC | Cobalt International Energy, Inc. CIE · Entity 12711 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-16-016881 · dp69282_4-moore.xml · nonDerivative · entry 1 Moore Kenneth W · CIK 0001332659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,921 F1 · price: The reporting person elected to receive, subject to deferral under the Issuer's Non-Employee Directors Deferral Plan, the reported securities in lieu of a cash retainer under the Issuer's Amended and Restated Non-Employee Directors Compensation Plan in respect of his service to the Board of Directors of the Issuer for the fourth calendar quarter of 2016. 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.