Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ASHLAND INC.ASH · Entity 4139 | Director | January 30, 2020 | February 03, 2020 |
| Celanese CorpCE · Entity 3922 | Director · Chairman and CEO | February 15, 2020 | February 19, 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.
ASHLAND INC.
Report date January 30, 2020 · Filed February 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 57,485 |
Reported balance
After 2020-01-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-01-30 · Grant · Acquired 1,449 · Balance 57,485 F1: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock. F2: Grant of stock-settled Restricted Stock Units granted under Ashland's Omnibus Incentive Plan and deferred under Ashland's Deferred Compensation Plan for Non-Employee Directors, and exempt under Rule 16b-3. The Restricted Stock Units will vest one year after date of grant. (One (1) Restricted Stock Unit in the Deferred Compensation Plan for Non-Employee Directors is the equivalent of one (1) share of Ashland Common Stock.) F3: Balance includes 176 additional Restricted Stock Units acquired in lieu of cash dividends paid on March 15, 2019, 197 additional Restricted Stock Units acquired in lieu of cash dividends paid on June 15, 2019, 198 additional Restricted Stock Units acquired in lieu of cash dividends paid on September 15, 2019, and 214 additional Restricted Stock Units acquired in lieu of cash dividends paid on December 15, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock.
F2: Grant of stock-settled Restricted Stock Units granted under Ashland's Omnibus Incentive Plan and deferred under Ashland's Deferred Compensation Plan for Non-Employee Directors, and exempt under Rule 16b-3. The Restricted Stock Units will vest one year after date of grant. (One (1) Restricted Stock Unit in the Deferred Compensation Plan for Non-Employee Directors is the equivalent of one (1) share of Ashland Common Stock.)
F3: Balance includes 176 additional Restricted Stock Units acquired in lieu of cash dividends paid on March 15, 2019, 197 additional Restricted Stock Units acquired in lieu of cash dividends paid on June 15, 2019, 198 additional Restricted Stock Units acquired in lieu of cash dividends paid on September 15, 2019, and 214 additional Restricted Stock Units acquired in lieu of cash dividends paid on December 15, 2019.
Celanese Corp
Report date February 15, 2020 · Filed February 19, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 716,257 |
Ending reported balance
After 2020-02-15 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-02-15 · Grant · Acquired 178,379 · Balance 804,082 F1: Represents performance-based restricted stock units ("PRSUs") granted to the reporting person on February 9, 2017 under the Company's 2009 Global Incentive Plan, as amended, which have vested and been settled. Row 2 · 2020-02-15 · Tax withholding · Disposed 87,825 · Balance 716,257 F2: Shares withheld for the payment of taxes on the vesting and settlement of PRSUs and previously reported time-based restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents performance-based restricted stock units ("PRSUs") granted to the reporting person on February 9, 2017 under the Company's 2009 Global Incentive Plan, as amended, which have vested and been settled.
F2: Shares withheld for the payment of taxes on the vesting and settlement of PRSUs and previously reported time-based restricted stock units.
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 |
|---|---|---|---|---|---|---|
| February 15, 2020 Filed Feb 19, 2020 16:15 UTC | Celanese Corp CE · Entity 3922 | Tax withholdingCommon Stock | 87,825 | $109.58 | $9,623,863.50 |
DisclosureSEC source: 0001306830-20-000053 · wf-form4_158214692127415.xml · nonDerivative · entry 2 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 716,257 F2 · shares: Shares withheld for the payment of taxes on the vesting and settlement of PRSUs and previously reported time-based restricted stock units. Read SEC document |
| February 15, 2020 Filed Feb 19, 2020 16:15 UTC | Celanese Corp CE · Entity 3922 | GrantCommon Stock | 178,379 | $0.00 | $0.00 |
DisclosureSEC source: 0001306830-20-000053 · wf-form4_158214692127415.xml · nonDerivative · entry 1 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 804,082 F1 · shares: Represents performance-based restricted stock units ("PRSUs") granted to the reporting person on February 9, 2017 under the Company's 2009 Global Incentive Plan, as amended, which have vested and been settled. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:38 UTC | ASHLAND INC. ASH · Entity 4139 | GrantRestricted Stock Units · Derivative | 1,449 | $75.90 | $109,979.10 |
DisclosureSEC source: 0001127602-20-003168 · form4.xml · derivative · entry 1 ROHR MARK C · CIK 0001235356 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,485 Underlying: Common Stock · 1,449 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock. F2 · derivative.exercise_date: Grant of stock-settled Restricted Stock Units granted under Ashland's Omnibus Incentive Plan and deferred under Ashland's Deferred Compensation Plan for Non-Employee Directors, and exempt under Rule 16b-3. The Restricted Stock Units will vest one year after date of grant. (One (1) Restricted Stock Unit in the Deferred Compensation Plan for Non-Employee Directors is the equivalent of one (1) share of Ashland Common Stock.) F2 · derivative.expiration_date: Grant of stock-settled Restricted Stock Units granted under Ashland's Omnibus Incentive Plan and deferred under Ashland's Deferred Compensation Plan for Non-Employee Directors, and exempt under Rule 16b-3. The Restricted Stock Units will vest one year after date of grant. (One (1) Restricted Stock Unit in the Deferred Compensation Plan for Non-Employee Directors is the equivalent of one (1) share of Ashland Common Stock.) F3 · balance_after: Balance includes 176 additional Restricted Stock Units acquired in lieu of cash dividends paid on March 15, 2019, 197 additional Restricted Stock Units acquired in lieu of cash dividends paid on June 15, 2019, 198 additional Restricted Stock Units acquired in lieu of cash dividends paid on September 15, 2019, and 214 additional Restricted Stock Units acquired in lieu of cash dividends paid on December 15, 2019. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 16:18 UTC | Celanese Corp CE · Entity 3922 | Tax withholdingCommon Stock | 94,809 | $99.97 | $9,478,055.73 |
DisclosureSEC source: 0001306830-19-000044 · wf-form4_155069752088913.xml · nonDerivative · entry 2 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 625,703 F2 · shares: Shares withheld for the payment of taxes on the vesting and settlement of PRSUs and previously reported time-based restricted stock units. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 16:18 UTC | Celanese Corp CE · Entity 3922 | GrantCommon Stock | 213,501 | $0.00 | $0.00 |
DisclosureSEC source: 0001306830-19-000044 · wf-form4_155069752088913.xml · nonDerivative · entry 1 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 720,512 F1 · shares: Represents performance-based restricted stock units ("PRSUs") granted to the reporting person on February 3, 2016 under the Company's 2009 Global Incentive Plan, as amended, which have vested and been settled. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 16:07 UTC | Celanese Corp CE · Entity 3922 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 30,032 | $0.00 Strike: $45.38 | $0.00 |
DisclosureSEC source: 0001306830-19-000032 · wf-form4_155026485613657.xml · derivative · entry 3 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,032 shares Expires 2019-04-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Granted pursuant to the Company's 2009 Global Incentive Plan. The options vested in four equal annual installments beginning April 5, 2013. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 16:07 UTC | Celanese Corp CE · Entity 3922 | Tax withholdingCommon Stock | 20,095 | $99.47 | $1,998,849.65 |
DisclosureSEC source: 0001306830-19-000032 · wf-form4_155026485613657.xml · nonDerivative · entry 2 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 507,011 F1 · kind: Represents a "net exercise" of outstanding stock options expiring in April 2019. These shares were withheld by the Company for payment of exercise price and applicable taxes, based on the market price of Company's common stock at the time of the option exercise. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 16:07 UTC | Celanese Corp CE · Entity 3922 | Exercise / conversionCommon Stock | 30,032 | $45.38 | $1,362,852.16 |
DisclosureSEC source: 0001306830-19-000032 · wf-form4_155026485613657.xml · nonDerivative · entry 1 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 527,106 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 08, 2019 Filed Feb 12, 2019 20:26 UTC | ASHLAND INC. ASH · Entity 4139 | GrantRestricted Stock Units · Derivative | 1,413 | $77.85 | $110,002.05 |
DisclosureSEC source: 0001127602-19-005333 · form4.xml · derivative · entry 1 ROHR MARK C · CIK 0001235356 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,248 Underlying: Common Stock · 1,413 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock. F2 · derivative.exercise_date: Grant of deferred Restricted Stock Units pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, and exempt under Rule 16b-3. The Restricted Stock Units will vest one year after date of grant. (One (1) Restricted Stock Unit in the Deferred Compensation Plan for Non-Employee Directors is the equivalent of one (1) share of Ashland Common Stock.) F2 · derivative.expiration_date: Grant of deferred Restricted Stock Units pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, and exempt under Rule 16b-3. The Restricted Stock Units will vest one year after date of grant. (One (1) Restricted Stock Unit in the Deferred Compensation Plan for Non-Employee Directors is the equivalent of one (1) share of Ashland Common Stock.) F3 · balance_after: Balance includes 165 additional Restricted Stock Units acquired in lieu of cash dividends paid on March 15, 2018, 170 additional Restricted Stock Units acquired in lieu of cash dividends paid on June 15, 2018, 158 additional Restricted Stock Units acquired in lieu of cash dividends paid on September 15, 2018 and 189 additional Restricted Stock Units acquired in lieu of cash dividends paid on December 15, 2018, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors (the "Plan") and exempt under Rule 16b-3. One (1) Restricted Stock Unit in the Plan is the equivalent of one (1) share of Ashland Common Stock. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 16:18 UTC | Celanese Corp CE · Entity 3922 | GrantCommon Stock | 42,571 | $0.00 | $0.00 |
DisclosureSEC source: 0001306830-19-000024 · wf-form4_154966071274878.xml · nonDerivative · entry 1 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 497,074 F1 · shares: Time-based restricted stock units ("RSUs") granted pursuant to the Company's 2018 Global Incentive Plan. Each RSU represents the right to receive one share of Common Stock. The RSUs will vest, subject to continued employment, with respect to 33% of the RSUs on each of February 15, 2020 and February 15, 2021, and with respect to 34% of the RSUs on February 15, 2022. Read SEC document |
| November 05, 2018 Filed Feb 8, 2019 16:17 UTC | Celanese Corp CE · Entity 3922 | GiftCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0001306830-19-000023 · wf-form5_154966064155386.xml · nonDerivative · entry 1 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 454,503 Read SEC document |
| February 08, 2018 Filed Feb 12, 2018 16:45 UTC | Celanese Corp CE · Entity 3922 | GrantSeries A Common Stock | 83,134 | $0.00 | $0.00 |
DisclosureSEC source: 0001306830-18-000033 · wf-form4_151847189494675.xml · nonDerivative · entry 1 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 455,003 F1 · shares: Time-based restricted stock units ("RSUs") granted pursuant to the Company's 2009 Global Incentive Plan. Each RSU represents the right to receive one share of Series A Common Stock. The RSUs will vest, subject to continued employment, with respect to 33% of the RSUs on each of February 15, 2019 and February 15, 2020, and with respect to 34% of the RSUs on February 15, 2021. Read SEC document |
| January 25, 2018 Filed Jan 26, 2018 23:36 UTC | ASHLAND INC. ASH · Entity 4139 | GrantRestricted Stock Units · Derivative | 1,453 | $75.71 | $110,006.63 |
DisclosureSEC source: 0001127602-18-002691 · form4.xml · derivative · entry 1 ROHR MARK C · CIK 0001235356 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,153 Underlying: Common Stock · 1,453 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock. F2 · derivative.exercise_date: Grant of deferred Restricted Stock Units pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, and exempt under Rule 16b-3. The Restricted Stock Units will vest one year after date of grant. (One (1) Restricted Stock Unit in the Deferred Compensation Plan for Non-Employee Directors is the equivalent of one (1) share of Ashland Common Stock.) F2 · derivative.expiration_date: Grant of deferred Restricted Stock Units pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, and exempt under Rule 16b-3. The Restricted Stock Units will vest one year after date of grant. (One (1) Restricted Stock Unit in the Deferred Compensation Plan for Non-Employee Directors is the equivalent of one (1) share of Ashland Common Stock.) F3 · balance_after: Balance includes 164 additional Restricted Stock Units acquired in lieu of cash dividends on December 15, 2017 pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors (the "Plan") and exempt under Rule 16b-3. One (1) Restricted Stock Unit in the Plan is the equivalent of one (1) share of Ashland Common Stock. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 16:52 UTC | Celanese Corp CE · Entity 3922 | Tax withholdingSeries A Common Stock | 8,181 | $107.92 | $882,893.52 |
DisclosureSEC source: 0001306830-18-000009 · wf-form4_151501631550744.xml · nonDerivative · entry 1 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 371,869 F1 · shares: Shares withheld for the payment of taxes on the vesting and settlement of previously reported performance-based restricted stock units. Read SEC document |
| June 05, 2017 Filed Jun 6, 2017 22:21 UTC | ASHLAND INC. ASH · Entity 4139 | GrantCommon Stock | 883 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-020720 · form4.xml · nonDerivative · entry 1 ROHR MARK C · CIK 0001235356 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,883 F1 · price: Represents 883 shares of restricted stock granted pursuant to the adjustment described in this footnote. Ashland Global Holdings Inc. ("Ashland") distributed to its stockholders on May 12, 2017 (the "Distribution Date") 170,000,000 shares of Valvoline Inc. common stock as a pro rata dividend (the "Distribution"). Pursuant to the terms of the applicable equity compensation plan, the Reporting Person was entitled to receive the number of shares of restricted stock equal to the quotient of (x) the closing price of Ashland common stock on the Distribution Date and (y) the simple arithmetic average of the volume-weighted average price of Ashland common stock for each of the ten consecutive trading days immediately following the Distribution Date (such quotient, the "Equity Award Adjustment Ratio") for each such share of restricted stock. F2 · balance_after: Balance includes 1,883 shares of unvested Restricted Stock. Read SEC document |
| June 02, 2017 Filed Jun 6, 2017 22:21 UTC | ASHLAND INC. ASH · Entity 4139 | GrantRestricted Stock Units · Derivative | 24,045 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-020720 · form4.xml · derivative · entry 2 ROHR MARK C · CIK 0001235356 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,262 Underlying: Common Stock · 24,045 shares Expires not disclosed F3 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock. F5 · price: Pursuant to the terms of Ashland's Deferred Compensation Plan for Non-Employee Directors, the Reporting Person was entitled to receive the number of Restricted Stock Units equal to the Equity Award Adjustment Ratio for each such Restricted Stock Unit. Restricted Stock Units were acquired pursuant to Ashland's Deferred Compensation Plan for Non--Employee Directors. One (1) Restricted Stock Unit is the equivalent of one (1) share of common stock. F4 · derivative.exercise_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution. F4 · derivative.expiration_date: The Restricted Stock Units are payable upon the same terms and conditions as were applicable to the Reporting Person's awards of Restricted Stock Units immediately prior to the Distribution. F6 · balance_after: Balance includes 85 additional Restricted Stock Units acquired in lieu of cash dividends paid on March 15, 2017, pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, exempt under Rule 16b-3 and converted as described above in footnote 5. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 17:07 UTC | Celanese Corp CE · Entity 3922 | Tax withholdingSeries A Common Stock | 8,146 | $88.45 | $720,472.97 |
DisclosureSEC source: 0001306830-17-000069 · wf-form4_148736922690874.xml · nonDerivative · entry 2 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 380,050 F2 · shares: Shares withheld for the payment of taxes on the vesting and settlement of PRSUs. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 17:07 UTC | Celanese Corp CE · Entity 3922 | GrantSeries A Common Stock | 38,834 | $0.00 | $0.00 |
DisclosureSEC source: 0001306830-17-000069 · wf-form4_148736922690874.xml · nonDerivative · entry 1 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 388,196 F1 · shares: Represents performance-based restricted stock units ("PRSUs") granted to the reporting person on February 4, 2015 under the Company's 2009 Global Incentive Plan, as amended (the "Plan"), of which 19,417 have vested and been settled. The remaining 19,417 PRSUs will vest in full on January 1, 2018. Read SEC document |
| January 26, 2017 Filed Jan 27, 2017 22:15 UTC | ASHLAND INC. ASH · Entity 4139 | GrantRestricted Stock Units · Derivative | 946 | $116.25 | $109,972.50 |
DisclosureSEC source: 0001127602-17-002696 · form4.xml · derivative · entry 1 ROHR MARK C · CIK 0001235356 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,132 Underlying: Common Stock · 946 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents a right to receive one (1) share of Ashland Common Stock. F2 · derivative.exercise_date: Grant of deferred Restricted Stock Units pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, and exempt under Rule 16b-3. The Restricted Stock Units will vest one year after date of grant. (One (1) Restricted Stock Unit in the Deferred Compensation Plan for Non-Employee Directors is the equivalent of one (1) share of Ashland Common Stock.) F2 · derivative.expiration_date: Grant of deferred Restricted Stock Units pursuant to Ashland's Deferred Compensation Plan for Non-Employee Directors, and exempt under Rule 16b-3. The Restricted Stock Units will vest one year after date of grant. (One (1) Restricted Stock Unit in the Deferred Compensation Plan for Non-Employee Directors is the equivalent of one (1) share of Ashland Common Stock.) F3 · balance_after: Balance includes 91 additional Restricted Stock Units acquired in lieu of cash dividends paid on December 15, 2016 pursuant to Ashland's Deferred Compensation Plan and exempt under Rule 16b-3. One (1) Common Stock Unit in is the equivalent of one (1) share of Ashland Common Stock). Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 16:58 UTC | Celanese Corp CE · Entity 3922 | Tax withholdingSeries A Common Stock | 51,902 | $78.97 | $4,098,441.43 |
DisclosureSEC source: 0001306830-17-000009 · wf-form4_148356710002769.xml · nonDerivative · entry 1 ROHR MARK C · CIK 0001235356 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 349,362 F1 · shares: Shares withheld for the payment of taxes on the vesting and settlement of previously reported performance-based restricted stock units. 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.