Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CONNECTICUT WATER SERVICE INC / CTCTWS · Entity 154479 | President & CEO | October 09, 2019 | October 11, 2019 |
| H2O AMERICASJW · Entity 4308 | President of CTWS | October 09, 2019 | October 11, 2019 |
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.
CONNECTICUT WATER SERVICE INC / CT
Report date October 09, 2019 · Filed October 11, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-10-09 transaction · row 1
1 source rowRow 1 · 2019-10-09 · Disposition to issuer · Disposed 11,436 · Balance 0 F1: See explanation in remarks below |
| Performance Share UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-10-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-10-09 · Disposition to issuer · Disposed 34,329 · Balance 0 F2: All outstanding Company Performance Share Units ("PSUs") granted prior to March 14, 2018 (which are no longer subject to performance-based vesting) were assumed by SJW and converted into a time-based vesting SJW restricted share unit award based on the Equity Award Ratio (as defined in the Merger Agreement) covering a number of shares of common stock of SJW based on the number of shares of Company common stock that was subject to each applicable PSU award immediately prior to the closing of the Merger. All outstanding PSUs granted on or after March 14, 2018 were assumed by SJW and converted into a time-based vesting award covering a number of shares of common stock of SJW based on the target number of PSUs (determined in a manner consistent with the Compa,ny's past practice) that was subject to each applicable PSU award immediately prior to the closing of the Merger multiplied by the Equity Award Ratio (as defined in the Merger Agreement). |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-10-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-10-09 · Disposition to issuer · Disposed 3,309 · Balance 0 F3: SJW assumed all outstanding Company Restricted Share Units that were subject to service-based vesting ("RSUs") and such RSUs were converted into SJW restricted share units based on the Equity Award Ratio (as defined in the Merger Agreement). |
Filing footnotes · ownership attribution and instrument terms
F1: See explanation in remarks below
F2: All outstanding Company Performance Share Units ("PSUs") granted prior to March 14, 2018 (which are no longer subject to performance-based vesting) were assumed by SJW and converted into a time-based vesting SJW restricted share unit award based on the Equity Award Ratio (as defined in the Merger Agreement) covering a number of shares of common stock of SJW based on the number of shares of Company common stock that was subject to each applicable PSU award immediately prior to the closing of the Merger. All outstanding PSUs granted on or after March 14, 2018 were assumed by SJW and converted into a time-based vesting award covering a number of shares of common stock of SJW based on the target number of PSUs (determined in a manner consistent with the Compa,ny's past practice) that was subject to each applicable PSU award immediately prior to the closing of the Merger multiplied by the Equity Award Ratio (as defined in the Merger Agreement).
F3: SJW assumed all outstanding Company Restricted Share Units that were subject to service-based vesting ("RSUs") and such RSUs were converted into SJW restricted share units based on the Equity Award Ratio (as defined in the Merger Agreement).
H2O AMERICA
Report date October 09, 2019 · Filed October 11, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 34,877 |
Reported balance
After 2019-10-09 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-10-09 · Other · Acquired 34,877 · Balance 34,877 F1: Represents shares of common stock underlying the following awards previously granted pursuant to certain performance stock programs of Connecticut Water Service, Inc. and assumed by Issuer on the effective date of the merger pursuant to that certain Second Amended and Restated Agreement and Plan of Merger by and among Connecticut Water Service, Inc., Issuer and Hydro Sub, Inc., dated as of August 5, 2018 (as amended from time to time): (i) 3,549 shares subject to restricted stock units ("RSUs") that will vest over a period of service and be settled in accordance with the terms of the awards subject to accelerated vesting under certain prescribed circumstances and (ii) 31,328 shares subject to deferred stock units ("DSUs") that are vested and will be settled in accordance with an election previously made by the reporting person. Each RSU and DSU will entitle the reporting person to one share of common stock upon settlement. |
| Cash Settled Restricted Stock UnitSEC Table II · derivative / convertible security · Expires 2021-03-07 | Direct | 3,361 |
Reported balance
After 2019-10-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-10-09 · Grant · Acquired 3,361 · Balance 3,361 F2: Represents 3,361 shares of common stock underlying the restricted stock units ("RSUs") previously granted pursuant to certain stock programs of Connecticut Water Service, Inc. and assumed by Issuer on the effective date of the merger pursuant to that certain Second Amended and Restated Agreement and Plan of Merger by and among Connecticut Water Service, Inc., Issuer and Hydro Sub, Inc., dated as of August 5, 2018 (as amended from time to time). Each RSU will vest and be settled on the third anniversary of the date of grant and each RSU entitles the reporting person to a cash amount equal to one share of common stock on the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock underlying the following awards previously granted pursuant to certain performance stock programs of Connecticut Water Service, Inc. and assumed by Issuer on the effective date of the merger pursuant to that certain Second Amended and Restated Agreement and Plan of Merger by and among Connecticut Water Service, Inc., Issuer and Hydro Sub, Inc., dated as of August 5, 2018 (as amended from time to time): (i) 3,549 shares subject to restricted stock units ("RSUs") that will vest over a period of service and be settled in accordance with the terms of the awards subject to accelerated vesting under certain prescribed circumstances and (ii) 31,328 shares subject to deferred stock units ("DSUs") that are vested and will be settled in accordance with an election previously made by the reporting person. Each RSU and DSU will entitle the reporting person to one share of common stock upon settlement.
F2: Represents 3,361 shares of common stock underlying the restricted stock units ("RSUs") previously granted pursuant to certain stock programs of Connecticut Water Service, Inc. and assumed by Issuer on the effective date of the merger pursuant to that certain Second Amended and Restated Agreement and Plan of Merger by and among Connecticut Water Service, Inc., Issuer and Hydro Sub, Inc., dated as of August 5, 2018 (as amended from time to time). Each RSU will vest and be settled on the third anniversary of the date of grant and each RSU entitles the reporting person to a cash amount equal to one share of common stock on the vesting 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 |
|---|---|---|---|---|---|---|
| October 09, 2019 Filed Oct 11, 2019 17:34 UTC | H2O AMERICA SJW · Entity 4308 | GrantCash Settled Restricted Stock Unit · Derivative | 3,361 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-19-000135 · wf-form4_157081523731775.xml · derivative · entry 2 BENOIT DAVID C · CIK 0001217198 · President of CTWS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,361 Underlying: Common Stock · 3,361 shares Expires 2021-03-07 F2 · derivative.exercise_price: Represents 3,361 shares of common stock underlying the restricted stock units ("RSUs") previously granted pursuant to certain stock programs of Connecticut Water Service, Inc. and assumed by Issuer on the effective date of the merger pursuant to that certain Second Amended and Restated Agreement and Plan of Merger by and among Connecticut Water Service, Inc., Issuer and Hydro Sub, Inc., dated as of August 5, 2018 (as amended from time to time). Each RSU will vest and be settled on the third anniversary of the date of grant and each RSU entitles the reporting person to a cash amount equal to one share of common stock on the vesting date. F2 · shares: Represents 3,361 shares of common stock underlying the restricted stock units ("RSUs") previously granted pursuant to certain stock programs of Connecticut Water Service, Inc. and assumed by Issuer on the effective date of the merger pursuant to that certain Second Amended and Restated Agreement and Plan of Merger by and among Connecticut Water Service, Inc., Issuer and Hydro Sub, Inc., dated as of August 5, 2018 (as amended from time to time). Each RSU will vest and be settled on the third anniversary of the date of grant and each RSU entitles the reporting person to a cash amount equal to one share of common stock on the vesting date. Read SEC document |
| October 09, 2019 Filed Oct 11, 2019 17:34 UTC | H2O AMERICA SJW · Entity 4308 | OtherCommon Stock | 34,877 | $0.00 | $0.00 |
DisclosureSEC source: 0000766829-19-000135 · wf-form4_157081523731775.xml · nonDerivative · entry 1 BENOIT DAVID C · CIK 0001217198 · President of CTWS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,877 F1 · shares: Represents shares of common stock underlying the following awards previously granted pursuant to certain performance stock programs of Connecticut Water Service, Inc. and assumed by Issuer on the effective date of the merger pursuant to that certain Second Amended and Restated Agreement and Plan of Merger by and among Connecticut Water Service, Inc., Issuer and Hydro Sub, Inc., dated as of August 5, 2018 (as amended from time to time): (i) 3,549 shares subject to restricted stock units ("RSUs") that will vest over a period of service and be settled in accordance with the terms of the awards subject to accelerated vesting under certain prescribed circumstances and (ii) 31,328 shares subject to deferred stock units ("DSUs") that are vested and will be settled in accordance with an election previously made by the reporting person. Each RSU and DSU will entitle the reporting person to one share of common stock upon settlement. F1 · balance_after: Represents shares of common stock underlying the following awards previously granted pursuant to certain performance stock programs of Connecticut Water Service, Inc. and assumed by Issuer on the effective date of the merger pursuant to that certain Second Amended and Restated Agreement and Plan of Merger by and among Connecticut Water Service, Inc., Issuer and Hydro Sub, Inc., dated as of August 5, 2018 (as amended from time to time): (i) 3,549 shares subject to restricted stock units ("RSUs") that will vest over a period of service and be settled in accordance with the terms of the awards subject to accelerated vesting under certain prescribed circumstances and (ii) 31,328 shares subject to deferred stock units ("DSUs") that are vested and will be settled in accordance with an election previously made by the reporting person. Each RSU and DSU will entitle the reporting person to one share of common stock upon settlement. Read SEC document |
| October 09, 2019 Filed Oct 11, 2019 14:38 UTC | CONNECTICUT WATER SERVICE INC / CT CTWS · Entity 154479 | Disposition to issuerRestricted Stock Units · Derivative | 3,309 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-052997 · doc4.xml · derivative · entry 3 BENOIT DAVID C · CIK 0001217198 · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,309 shares Expires not disclosed F3 · derivative.exercise_price: SJW assumed all outstanding Company Restricted Share Units that were subject to service-based vesting ("RSUs") and such RSUs were converted into SJW restricted share units based on the Equity Award Ratio (as defined in the Merger Agreement). F3 · derivative.exercise_date: SJW assumed all outstanding Company Restricted Share Units that were subject to service-based vesting ("RSUs") and such RSUs were converted into SJW restricted share units based on the Equity Award Ratio (as defined in the Merger Agreement). F3 · derivative.expiration_date: SJW assumed all outstanding Company Restricted Share Units that were subject to service-based vesting ("RSUs") and such RSUs were converted into SJW restricted share units based on the Equity Award Ratio (as defined in the Merger Agreement). F3 · derivative.underlying_shares: SJW assumed all outstanding Company Restricted Share Units that were subject to service-based vesting ("RSUs") and such RSUs were converted into SJW restricted share units based on the Equity Award Ratio (as defined in the Merger Agreement). Read SEC document |
| October 09, 2019 Filed Oct 11, 2019 14:38 UTC | CONNECTICUT WATER SERVICE INC / CT CTWS · Entity 154479 | Disposition to issuerPerformance Share Units · Derivative | 34,329 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-052997 · doc4.xml · derivative · entry 2 BENOIT DAVID C · CIK 0001217198 · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 34,329 shares Expires not disclosed F2 · derivative.exercise_price: All outstanding Company Performance Share Units ("PSUs") granted prior to March 14, 2018 (which are no longer subject to performance-based vesting) were assumed by SJW and converted into a time-based vesting SJW restricted share unit award based on the Equity Award Ratio (as defined in the Merger Agreement) covering a number of shares of common stock of SJW based on the number of shares of Company common stock that was subject to each applicable PSU award immediately prior to the closing of the Merger. All outstanding PSUs granted on or after March 14, 2018 were assumed by SJW and converted into a time-based vesting award covering a number of shares of common stock of SJW based on the target number of PSUs (determined in a manner consistent with the Compa,ny's past practice) that was subject to each applicable PSU award immediately prior to the closing of the Merger multiplied by the Equity Award Ratio (as defined in the Merger Agreement). F2 · derivative.exercise_date: All outstanding Company Performance Share Units ("PSUs") granted prior to March 14, 2018 (which are no longer subject to performance-based vesting) were assumed by SJW and converted into a time-based vesting SJW restricted share unit award based on the Equity Award Ratio (as defined in the Merger Agreement) covering a number of shares of common stock of SJW based on the number of shares of Company common stock that was subject to each applicable PSU award immediately prior to the closing of the Merger. All outstanding PSUs granted on or after March 14, 2018 were assumed by SJW and converted into a time-based vesting award covering a number of shares of common stock of SJW based on the target number of PSUs (determined in a manner consistent with the Compa,ny's past practice) that was subject to each applicable PSU award immediately prior to the closing of the Merger multiplied by the Equity Award Ratio (as defined in the Merger Agreement). F2 · derivative.expiration_date: All outstanding Company Performance Share Units ("PSUs") granted prior to March 14, 2018 (which are no longer subject to performance-based vesting) were assumed by SJW and converted into a time-based vesting SJW restricted share unit award based on the Equity Award Ratio (as defined in the Merger Agreement) covering a number of shares of common stock of SJW based on the number of shares of Company common stock that was subject to each applicable PSU award immediately prior to the closing of the Merger. All outstanding PSUs granted on or after March 14, 2018 were assumed by SJW and converted into a time-based vesting award covering a number of shares of common stock of SJW based on the target number of PSUs (determined in a manner consistent with the Compa,ny's past practice) that was subject to each applicable PSU award immediately prior to the closing of the Merger multiplied by the Equity Award Ratio (as defined in the Merger Agreement). F2 · derivative.underlying_shares: All outstanding Company Performance Share Units ("PSUs") granted prior to March 14, 2018 (which are no longer subject to performance-based vesting) were assumed by SJW and converted into a time-based vesting SJW restricted share unit award based on the Equity Award Ratio (as defined in the Merger Agreement) covering a number of shares of common stock of SJW based on the number of shares of Company common stock that was subject to each applicable PSU award immediately prior to the closing of the Merger. All outstanding PSUs granted on or after March 14, 2018 were assumed by SJW and converted into a time-based vesting award covering a number of shares of common stock of SJW based on the target number of PSUs (determined in a manner consistent with the Compa,ny's past practice) that was subject to each applicable PSU award immediately prior to the closing of the Merger multiplied by the Equity Award Ratio (as defined in the Merger Agreement). Read SEC document |
| October 09, 2019 Filed Oct 11, 2019 14:38 UTC | CONNECTICUT WATER SERVICE INC / CT CTWS · Entity 154479 | Disposition to issuerCommon Stock | 11,436 | $70.00 | $800,520.00 |
DisclosureSEC source: 0001209191-19-052997 · doc4.xml · nonDerivative · entry 1 BENOIT DAVID C · CIK 0001217198 · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: See explanation in remarks below Read SEC document |
| April 24, 2019 Filed Apr 26, 2019 17:15 UTC | CONNECTICUT WATER SERVICE INC / CT CTWS · Entity 154479 | Tax withholdingCommon - Phantom long-term | 295 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-026256 · doc4.xml · nonDerivative · entry 1 BENOIT DAVID C · CIK 0001217198 · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,336 F1 · shares: 295 shares were withheld to cover the executive's tax obligation. Fair Market Value of the disposition is $67.33. F1 · price: 295 shares were withheld to cover the executive's tax obligation. Fair Market Value of the disposition is $67.33. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 12:51 UTC | CONNECTICUT WATER SERVICE INC / CT CTWS · Entity 154479 | GrantRestricted Stock Units · Derivative | 3,309 | $0.00 Strike: $49.11 | $0.00 |
DisclosureSEC source: 0001209191-18-017932 · doc4.xml · derivative · entry 1 BENOIT DAVID C · CIK 0001217198 · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,309 Underlying: Common Stock · 3,309 shares Expires 2021-03-06 F1 · security: The reporting person was granted 3,309 cash-settled restricted stock units ("RSU") under the Company's 2014 Performance Stock Program. Read SEC document |
| January 18, 2018 Filed Jan 22, 2018 13:46 UTC | CONNECTICUT WATER SERVICE INC / CT CTWS · Entity 154479 | GrantCommon - Phantom (long term) | 5,242 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004700 · doc4.xml · nonDerivative · entry 2 BENOIT DAVID C · CIK 0001217198 · Interim President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,543 Read SEC document |
| January 18, 2018 Filed Jan 22, 2018 13:46 UTC | CONNECTICUT WATER SERVICE INC / CT CTWS · Entity 154479 | GrantCommon - Phantom (short term) | 2,621 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004700 · doc4.xml · nonDerivative · entry 1 BENOIT DAVID C · CIK 0001217198 · Interim President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,301 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.