Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| American Water Works Company, Inc.AWK · Entity 3169 | Director | May 13, 2026 | May 13, 2026 |
| CVS HEALTH CorpCVS · Entity 2884 | EVP and Chief People Officer | April 01, 2024 | April 03, 2024 |
| Otis Worldwide CorpOTIS · Entity 3170 | EVP & Chief People Officer | January 02, 2021 | January 05, 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.
American Water Works Company, Inc.
Report date May 13, 2026 · Filed May 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,369 |
Reported balance
After 2026-05-13 transaction · row 1
1 source rowRow 1 · 2026-05-13 · Grant · Acquired 1,374 · Balance 5,369 F1: The shares indicated constitute units that settle solely in the common stock of American Water Works Company, Inc. (the "Company") on a one-share-per-unit basis. The stock units vested on the date of grant and will be converted immediately into shares of Company common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares indicated constitute units that settle solely in the common stock of American Water Works Company, Inc. (the "Company") on a one-share-per-unit basis. The stock units vested on the date of grant and will be converted immediately into shares of Company common stock.
CVS HEALTH Corp
Report date April 01, 2024 · Filed April 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 37,553 |
Reported balance
After 2024-04-01 transaction · row 1
1 source rowRow 1 · 2024-04-01 · Tax withholding · Disposed 7,630 · Balance 37,553 F1: Surrender of shares in payment of withholding taxes due upon the vesting and settlement of performance stock units. |
| Common Stock (Restricted)SEC Table I · non-derivative | Direct | 9,426 |
Reported balance
After 2024-04-01 transaction · row 2
1 source rowRow 2 · 2024-04-01 · Grant · Acquired 9,426 · Balance 9,426 F2: Consists of restricted stock units awarded pursuant to Issuer's 2017 Incentive Compensation Plan. Restrictions lapse in four equal installments, commencing 4/1/2025. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $79.56 · Expires 2034-04-01 | Direct | 39,184 |
Reported balance
After 2024-04-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-04-01 · Grant · Acquired 39,184 · Balance 39,184 F3: Option becomes exercisable in four equal annual installments, commencing 4/1/2025. |
Filing footnotes · ownership attribution and instrument terms
F1: Surrender of shares in payment of withholding taxes due upon the vesting and settlement of performance stock units.
F2: Consists of restricted stock units awarded pursuant to Issuer's 2017 Incentive Compensation Plan. Restrictions lapse in four equal installments, commencing 4/1/2025.
F3: Option becomes exercisable in four equal annual installments, commencing 4/1/2025.
Otis Worldwide Corp
Report date January 02, 2021 · Filed January 05, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 12,370 |
Ending reported balance
After 2021-01-02 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2021-01-02 · Exercise / conversion · Acquired 3,148 · Balance 11,971 Row 2 · 2021-01-02 · Tax withholding · Disposed 916 · Balance 11,055 Row 3 · 2021-01-02 · Exercise / conversion · Acquired 1,854 · Balance 12,909 Row 4 · 2021-01-02 · Tax withholding · Disposed 539 · Balance 12,370 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-01-02 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-01-02 · Exercise / conversion · Acquired 3,148 · Balance 0 F1: Restricted stock units (RSUs) convert into common stock on a one-for-one basis upon vesting. F2: The reporting person was granted performance shares by our former parent on January 2, 2018. These were converted into issuer RSUs. These fully vested on the Transaction Date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-01-02 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-01-02 · Exercise / conversion · Acquired 1,854 · Balance 0 F1: Restricted stock units (RSUs) convert into common stock on a one-for-one basis upon vesting. F3: The reporting person was granted RSUs by our former parent on January 2, 2018. These RSUs included the right to accumulated dividends and were converted into issuer RSUs. These fully vested on the Transaction Date. |
| Common StockSEC Table I · non-derivative | IndirectBy UTC 401(k) | 1,127 |
Reported balance
Holding disclosure · report date 2021-01-02 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 1,127 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 40 |
Reported balance
Holding disclosure · report date 2021-01-02 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 40 |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock units (RSUs) convert into common stock on a one-for-one basis upon vesting.
F2: The reporting person was granted performance shares by our former parent on January 2, 2018. These were converted into issuer RSUs. These fully vested on the Transaction Date.
F3: The reporting person was granted RSUs by our former parent on January 2, 2018. These RSUs included the right to accumulated dividends and were converted into issuer RSUs. These fully vested on the Transaction Date.
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 |
|---|---|---|---|---|---|---|
| May 13, 2026 Filed May 13, 2026 23:22 UTC | American Water Works Company, Inc. AWK · Entity 3169 | GrantCommon Stock | 1,374 | $0.00 | $0.00 |
DisclosureSEC source: 0001410636-26-000080 · wk-form4_1778714534.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,369 F1 · shares: The shares indicated constitute units that settle solely in the common stock of American Water Works Company, Inc. (the "Company") on a one-share-per-unit basis. The stock units vested on the date of grant and will be converted immediately into shares of Company common stock. Read SEC document |
| May 14, 2025 Filed May 15, 2025 18:07 UTC | American Water Works Company, Inc. AWK · Entity 3169 | GrantCommon Stock | 1,308 | $0.00 | $0.00 |
DisclosureSEC source: 0001410636-25-000099 · wk-form4_1747332442.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,995 F1 · shares: The shares indicated constitute units that settle solely in the common stock of American Water Works Company, Inc. (the "Company") on a one-share-per-unit basis. The stock units vested on the date of grant and will be converted immediately into shares of Company common stock. Read SEC document |
| May 15, 2024 Filed May 17, 2024 14:55 UTC | American Water Works Company, Inc. AWK · Entity 3169 | GrantCommon Stock | 1,234 | $0.00 | $0.00 |
DisclosureSEC source: 0001410636-24-000106 · wk-form4_1715957719.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,687 Read SEC document |
| April 01, 2024 Filed Apr 3, 2024 21:02 UTC | CVS HEALTH Corp CVS · Entity 2884 | GrantStock Option · Derivative | 39,184 | $79.56 Strike: $79.56 | $3,117,479.04 |
DisclosureSEC source: 0001127602-24-012271 · form4.xml · derivative · entry 3 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,184 Underlying: Common Stock · 39,184 shares Expires 2034-04-01 F3 · kind: Option becomes exercisable in four equal annual installments, commencing 4/1/2025. Read SEC document |
| April 01, 2024 Filed Apr 3, 2024 21:02 UTC | CVS HEALTH Corp CVS · Entity 2884 | GrantCommon Stock (Restricted) | 9,426 | $79.56 | $749,932.56 |
DisclosureSEC source: 0001127602-24-012271 · form4.xml · nonDerivative · entry 2 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,426 F2 · kind: Consists of restricted stock units awarded pursuant to Issuer's 2017 Incentive Compensation Plan. Restrictions lapse in four equal installments, commencing 4/1/2025. Read SEC document |
| April 01, 2024 Filed Apr 3, 2024 21:02 UTC | CVS HEALTH Corp CVS · Entity 2884 | Tax withholdingCommon Stock | 7,630 | $79.56 | $607,042.80 |
DisclosureSEC source: 0001127602-24-012271 · form4.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,553 F1 · kind: Surrender of shares in payment of withholding taxes due upon the vesting and settlement of performance stock units. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 21:37 UTC | CVS HEALTH Corp CVS · Entity 2884 | Tax withholdingCommon Stock | 6,698 | $76.43 | $511,928.14 |
DisclosureSEC source: 0001127602-24-007442 · form4.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,183 F1 · kind: Surrender of shares in payment of withholding taxes due upon the vesting of a restricted stock award. Read SEC document |
| February 12, 2024 Filed Feb 14, 2024 22:14 UTC | CVS HEALTH Corp CVS · Entity 2884 | GrantCommon Stock | 16,817 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-24-005073 · form4.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,203 F1 · shares: Represents shares earned by the reporting person pursuant to certain performance stock units (the "PSUs"), which were granted to the reporting person under the Issuer's 2017 Incentive Compensation Plan on April 1, 2021. The PSUs were earned based on the attainment of certain performance metrics, which performance metrics were certified by the Management and Planning Committee of the Board of Directors of the Issuer on February 12, 2024. Read SEC document |
| May 10, 2023 Filed May 12, 2023 22:29 UTC | American Water Works Company, Inc. AWK · Entity 3169 | GrantCommon Stock | 1,035 | $0.00 | $0.00 |
DisclosureSEC source: 0001410636-23-000098 · wf-form4_168393058214707.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,453 F1 · shares: The shares indicated constitute units that settle solely in the common stock of American Water Works Company, Inc. (the "Company") on a one-share-per-unit basis. The stock units vested on the date of grant and will be converted into common stock generally within 30 days following the earlier of August 16, 2024 (subject to the right of the reporting person to defer payment in accordance with the terms of the grant), a separation from service or a change of control of the Company. Read SEC document |
| April 01, 2023 Filed Apr 4, 2023 20:29 UTC | CVS HEALTH Corp CVS · Entity 2884 | GrantStock Option · Derivative | 51,959 | $74.31 Strike: $74.31 | $3,861,073.29 |
DisclosureSEC source: 0001127602-23-012229 · form4.xml · derivative · entry 5 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 51,959 Underlying: Common Stock · 51,959 shares Expires 2033-04-01 F3 · security: Option becomes exercisable in four equal installments, commencing 4/1/2024. Read SEC document |
| February 27, 2023 Filed Mar 1, 2023 22:10 UTC | CVS HEALTH Corp CVS · Entity 2884 | Tax withholdingCommon Stock | 4,046 | $85.77 | $347,025.42 |
DisclosureSEC source: 0001127602-23-007951 · form4.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,386 F1 · kind: Surrender of shares in payment of withholding taxes due upon the vesting of a restricted stock award. Read SEC document |
| December 07, 2022 Filed Dec 9, 2022 22:24 UTC | American Water Works Company, Inc. AWK · Entity 3169 | GrantCommon Stock | 413 | $0.00 | $0.00 |
DisclosureSEC source: 0001410636-22-000175 · wf-form4_167062464725815.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418 F1 · shares: The shares indicated constitute units that settle solely in the common stock of American Water Works Company, Inc. (the "Company") on a one-share-per-unit basis. The stock units vested on the date of grant and will be converted into common stock generally within 30 days following the earlier of August 14, 2023 (subject to the right of the reporting person to defer payment in accordance with the terms of the grant), a separation from service or a change of control of the Company. Read SEC document |
| April 01, 2022 Filed Apr 5, 2022 21:37 UTC | CVS HEALTH Corp CVS · Entity 2884 | GrantStock Option · Derivative | 21,829 | $101.09 Strike: $101.09 | $2,206,693.61 |
DisclosureSEC source: 0001127602-22-011604 · form4.xml · derivative · entry 3 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,829 Underlying: Common Stock · 21,829 shares Expires 2032-04-01 F1 · derivative.exercise_date: Option becomes exercisable in four equal installments, commencing 4/1/2023. Read SEC document |
| February 26, 2022 Filed Mar 1, 2022 22:57 UTC | CVS HEALTH Corp CVS · Entity 2884 | Tax withholdingCommon Stock | 5,233 | $104.30 | $545,801.90 |
DisclosureSEC source: 0001127602-22-007422 · form4.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,754 F1 · shares: Surrender of shares in payment of withholding taxes due upon the vesting of a restricted stock award. Read SEC document |
| April 01, 2021 Filed Apr 2, 2021 21:12 UTC | CVS HEALTH Corp CVS · Entity 2884 | GrantStock Option · Derivative | 27,643 | $74.30 Strike: $74.30 | $2,053,874.90 |
DisclosureSEC source: 0001127602-21-012741 · form4.xml · derivative · entry 3 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,643 Underlying: Common Stock · 27,643 shares Expires 2031-04-01 F1 · derivative.exercise_date: Option becomes exercisable in four equal installments, commencing 4/1/2022. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 21:53 UTC | CVS HEALTH Corp CVS · Entity 2884 | GrantCommon Stock (restricted) | 44,033 | $68.13 | $2,999,968.29 |
DisclosureSEC source: 0001127602-21-008759 · form4.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,033 F1 · shares: Consists of restricted stock units awarded pursuant to Issuer's 2017 Incentive Compensation Plan. Restrictions lapse in three equal installments, commencing 2/26/2022. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 22:15 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Exercise / conversionRestricted Stock Units · Derivative | 1,854 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-21-000127 · form4.xml · derivative · entry 8 Havanec Laurie P. · CIK 0001807757 · EVP & Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,854 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.exercise_price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis upon vesting. F3 · price: The reporting person was granted RSUs by our former parent on January 2, 2018. These RSUs included the right to accumulated dividends and were converted into issuer RSUs. These fully vested on the Transaction Date. F3 · derivative.exercise_date: The reporting person was granted RSUs by our former parent on January 2, 2018. These RSUs included the right to accumulated dividends and were converted into issuer RSUs. These fully vested on the Transaction Date. F3 · derivative.expiration_date: The reporting person was granted RSUs by our former parent on January 2, 2018. These RSUs included the right to accumulated dividends and were converted into issuer RSUs. These fully vested on the Transaction Date. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 22:15 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Exercise / conversionRestricted Stock Units · Derivative | 3,148 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-21-000127 · form4.xml · derivative · entry 7 Havanec Laurie P. · CIK 0001807757 · EVP & Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,184 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.exercise_price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis upon vesting. F2 · price: The reporting person was granted performance shares by our former parent on January 2, 2018. These were converted into issuer RSUs. These fully vested on the Transaction Date. F2 · derivative.exercise_date: The reporting person was granted performance shares by our former parent on January 2, 2018. These were converted into issuer RSUs. These fully vested on the Transaction Date. F2 · derivative.expiration_date: The reporting person was granted performance shares by our former parent on January 2, 2018. These were converted into issuer RSUs. These fully vested on the Transaction Date. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 22:15 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Tax withholdingCommon Stock | 539 | $65.59 | $35,353.01 |
DisclosureSEC source: 0001062993-21-000127 · form4.xml · nonDerivative · entry 4 Havanec Laurie P. · CIK 0001807757 · EVP & Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,370 Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 22:15 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Exercise / conversionCommon Stock | 1,854 | $65.59 | $121,603.86 |
DisclosureSEC source: 0001062993-21-000127 · form4.xml · nonDerivative · entry 3 Havanec Laurie P. · CIK 0001807757 · EVP & Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,909 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 |
| January 02, 2021 Filed Jan 5, 2021 22:15 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Tax withholdingCommon Stock | 916 | $65.59 | $60,080.44 |
DisclosureSEC source: 0001062993-21-000127 · form4.xml · nonDerivative · entry 2 Havanec Laurie P. · CIK 0001807757 · EVP & Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,055 Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 22:15 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Exercise / conversionCommon Stock | 3,148 | $65.59 | $206,477.32 |
DisclosureSEC source: 0001062993-21-000127 · form4.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · EVP & Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,971 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 |
| November 30, 2020 Filed Dec 2, 2020 22:48 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Exercise / conversionRestricted Stock Units · Derivative | 110 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-20-006004 · form4.xml · derivative · entry 8 Havanec Laurie P. · CIK 0001807757 · EVP & Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,510 Underlying: Common Stock · 110 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.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock from the issuer. F4 · shares: The reporting person was originally granted restricted stock units by UTC, the former parent company of the issuer. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy FICA taxes that are due because the reporting person qualifies for retirement treatment under the award. These RSUs accrue dividend equivalents. F4 · price: The reporting person was originally granted restricted stock units by UTC, the former parent company of the issuer. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy FICA taxes that are due because the reporting person qualifies for retirement treatment under the award. These RSUs accrue dividend equivalents. F4 · derivative.exercise_date: The reporting person was originally granted restricted stock units by UTC, the former parent company of the issuer. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy FICA taxes that are due because the reporting person qualifies for retirement treatment under the award. These RSUs accrue dividend equivalents. F4 · derivative.expiration_date: The reporting person was originally granted restricted stock units by UTC, the former parent company of the issuer. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy FICA taxes that are due because the reporting person qualifies for retirement treatment under the award. These RSUs accrue dividend equivalents. F4 · derivative.underlying_shares: The reporting person was originally granted restricted stock units by UTC, the former parent company of the issuer. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy FICA taxes that are due because the reporting person qualifies for retirement treatment under the award. These RSUs accrue dividend equivalents. Read SEC document |
| November 30, 2020 Filed Dec 2, 2020 22:48 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Exercise / conversionRestricted Stock Units · Derivative | 196 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-20-006004 · form4.xml · derivative · entry 7 Havanec Laurie P. · CIK 0001807757 · EVP & Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,461 Underlying: Common Stock · 196 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.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock from the issuer. F3 · shares: The reporting person was originally granted performance stock units by UTC, the former parent company of the issuer. Since the date of the spin-off of the issuer, these performance conditions no longer apply. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy FICA taxes that are due because the reporting person qualifies for retirement treatment under the award. F3 · price: The reporting person was originally granted performance stock units by UTC, the former parent company of the issuer. Since the date of the spin-off of the issuer, these performance conditions no longer apply. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy FICA taxes that are due because the reporting person qualifies for retirement treatment under the award. F3 · derivative.exercise_date: The reporting person was originally granted performance stock units by UTC, the former parent company of the issuer. Since the date of the spin-off of the issuer, these performance conditions no longer apply. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy FICA taxes that are due because the reporting person qualifies for retirement treatment under the award. F3 · derivative.expiration_date: The reporting person was originally granted performance stock units by UTC, the former parent company of the issuer. Since the date of the spin-off of the issuer, these performance conditions no longer apply. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy FICA taxes that are due because the reporting person qualifies for retirement treatment under the award. F3 · derivative.underlying_shares: The reporting person was originally granted performance stock units by UTC, the former parent company of the issuer. Since the date of the spin-off of the issuer, these performance conditions no longer apply. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy FICA taxes that are due because the reporting person qualifies for retirement treatment under the award. Read SEC document |
| November 30, 2020 Filed Dec 2, 2020 22:48 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Tax withholdingCommon Stock | 110 | $66.94 | $7,363.40 |
DisclosureSEC source: 0001062993-20-006004 · form4.xml · nonDerivative · entry 4 Havanec Laurie P. · CIK 0001807757 · EVP & Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,823 F1 · balance_after: The last Form 4 of the reporting person mistakenly reported that 4,471 shares were withheld for taxes and should have reported an additional 206 shares withheld for taxes. The direct holdings of the reporting person have been updated and reduced by 206 shares. Read SEC document |
| November 30, 2020 Filed Dec 2, 2020 22:48 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Exercise / conversionCommon Stock | 110 | $66.94 | $7,363.40 |
DisclosureSEC source: 0001062993-20-006004 · form4.xml · nonDerivative · entry 3 Havanec Laurie P. · CIK 0001807757 · EVP & Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,933 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 |
| November 30, 2020 Filed Dec 2, 2020 22:48 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Tax withholdingCommon Stock | 196 | $66.94 | $13,120.24 |
DisclosureSEC source: 0001062993-20-006004 · form4.xml · nonDerivative · entry 2 Havanec Laurie P. · CIK 0001807757 · EVP & Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,823 Read SEC document |
| November 30, 2020 Filed Dec 2, 2020 22:48 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Exercise / conversionCommon Stock | 196 | $66.94 | $13,120.24 |
DisclosureSEC source: 0001062993-20-006004 · form4.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · EVP & Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,019 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 |
| July 01, 2020 Filed Jul 7, 2020 01:35 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Exercise / conversionRestricted Stock Units (RSUs) · Derivative | 11,247 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-015451 · form4.xml · derivative · entry 5 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,247 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.exercise_price: RSUs convert into Otis common stock on a one-for-one basis. F2 · derivative.exercise_date: The reporting person was granted RSUs by UTC, Otis' parent company prior to the spin-off. These fully vested and were converted into Otis common stock. F2 · derivative.expiration_date: The reporting person was granted RSUs by UTC, Otis' parent company prior to the spin-off. These fully vested and were converted into Otis common stock. Read SEC document |
| July 01, 2020 Filed Jul 7, 2020 01:35 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Tax withholdingCommon Stock | 4,471 | $55.78 | $249,392.38 |
DisclosureSEC source: 0001140361-20-015451 · form4.xml · nonDerivative · entry 2 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,029 Read SEC document |
| July 01, 2020 Filed Jul 7, 2020 01:35 UTC | Otis Worldwide Corp OTIS · Entity 3170 | Exercise / conversionCommon Stock | 11,247 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-20-015451 · form4.xml · nonDerivative · entry 1 Havanec Laurie P. · CIK 0001807757 · EVP and Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,500 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: RSUs convert into Otis common stock on a one-for-one basis. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 20:05 UTC | Otis Worldwide Corp OTIS · Entity 3170 | GrantRestricted Stock Units (RSUs) · Derivative | 19,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-008562 · doc4.xml · derivative · entry 1 Havanec Laurie P. · CIK 0001807757 · Vice President and CHRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,800 Underlying: Common Stock · 19,800 shares Expires not disclosed F1 · derivative.exercise_price: Each Founders Grant RSU represents the contingent right to receive one share of Otis common stock upon the vesting date of June 1, 2023. RSUs accumulate dividend equivalents that are payable in common stock upon vesting. F1 · derivative.exercise_date: Each Founders Grant RSU represents the contingent right to receive one share of Otis common stock upon the vesting date of June 1, 2023. RSUs accumulate dividend equivalents that are payable in common stock upon vesting. F1 · derivative.expiration_date: Each Founders Grant RSU represents the contingent right to receive one share of Otis common stock upon the vesting date of June 1, 2023. RSUs accumulate dividend equivalents that are payable in common stock upon vesting. 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.