Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ASPEN INSURANCE HOLDINGS LTDAHL · Entity 9774 | CEO, AIUK, AMAL & Group GC | February 15, 2019 | February 20, 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.
ASPEN INSURANCE HOLDINGS LTD
Report date February 15, 2019 · Filed February 20, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 2017 Performance SharesSEC Table II · derivative / convertible security | Direct | 3,335 |
Reported balance
After 2019-02-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-02-15 · Grant · Acquired 3,335 · Balance 3,335 F1: Each Performance Share represents the right to receive one share of the Issuer's Ordinary Shares. F3: At the effective time of the Merger, each 2017 Performance Share outstanding immediately prior to the Merger was, to the extent not vested, fully vested, and was canceled and converted into the right to receive a lump-sum amount in cash, equal to $42.75, without interest and less any applicable tax withholding, per 2017 Performance Share. F2: At the time of grant on February 10, 2017, the 2017 Performance Shares were eligible for vesting following the achievement of certain financial targets by the Issuer. Prior to the Merger, one third of the 2017 Performance Share award was tested annually over a three-year period. All vested 2017 Performance Shares would have been issued following the filing of the annual report on Form 10-K for the year ended December 31, 2019. Two thirds of the 2017 Performance Shares were forfeited based on the Issuer's 2017 and 2018 adjusted annual growth in diluted book value per ordinary share test and one third of the 2017 Performance Shares vested at target payout levels in connection with the Merger. |
| 2017 Performance SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-02-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-02-15 · Disposition to issuer · Disposed 3,335 · Balance 0 F1: Each Performance Share represents the right to receive one share of the Issuer's Ordinary Shares. F4: This Form 4 is being filed as a result of the closing on February 15, 2019 of the merger (the "Merger") as described in the Agreement and Plan of Merger, dated as of August 27, 2018 (the "Merger Agreement") among Aspen Insurance Holdings Limited (the "Issuer"), Highlands Holdings, Ltd., and Highlands Merger Sub, Ltd. F3: At the effective time of the Merger, each 2017 Performance Share outstanding immediately prior to the Merger was, to the extent not vested, fully vested, and was canceled and converted into the right to receive a lump-sum amount in cash, equal to $42.75, without interest and less any applicable tax withholding, per 2017 Performance Share. F2: At the time of grant on February 10, 2017, the 2017 Performance Shares were eligible for vesting following the achievement of certain financial targets by the Issuer. Prior to the Merger, one third of the 2017 Performance Share award was tested annually over a three-year period. All vested 2017 Performance Shares would have been issued following the filing of the annual report on Form 10-K for the year ended December 31, 2019. Two thirds of the 2017 Performance Shares were forfeited based on the Issuer's 2017 and 2018 adjusted annual growth in diluted book value per ordinary share test and one third of the 2017 Performance Shares vested at target payout levels in connection with the Merger. |
| Performance Shares (2018 Grant)SEC Table II · derivative / convertible security | Direct | 7,250 |
Reported balance
After 2019-02-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-02-15 · Grant · Acquired 7,250 · Balance 7,250 F1: Each Performance Share represents the right to receive one share of the Issuer's Ordinary Shares. F6: At the effective time of the Merger, each 2018 Performance Share outstanding immediately prior to the Merger was, to the extent not vested, fully vested, and was canceled and converted into the right to receive a lump-sum amount in cash, equal to $42.75, without interest and less any applicable tax withholding, per 2018 Performance Share. F5: At the time of grant on February 9, 2018, the 2018 Performance Shares were eligible for vesting following the achievement of certain financial targets by the Issuer. Prior to the Merger, one third of the 2018 Performance Share award was tested annually over a three-year period. All vested 2018 Performance Shares would have been issued following the filing of the annual report on Form 10-K for the year ended December 31, 2020. One third of the 2018 Performance Shares were forfeited based on the Issuer's 2018 adjusted annual growth in diluted book value per ordinary share test and two thirds of the 2018 Performance Shares vested at target payout levels in connection with the Merger. |
| Performance Shares (2018 Grant)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-02-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-02-15 · Disposition to issuer · Disposed 7,250 · Balance 0 F1: Each Performance Share represents the right to receive one share of the Issuer's Ordinary Shares. F6: At the effective time of the Merger, each 2018 Performance Share outstanding immediately prior to the Merger was, to the extent not vested, fully vested, and was canceled and converted into the right to receive a lump-sum amount in cash, equal to $42.75, without interest and less any applicable tax withholding, per 2018 Performance Share. F5: At the time of grant on February 9, 2018, the 2018 Performance Shares were eligible for vesting following the achievement of certain financial targets by the Issuer. Prior to the Merger, one third of the 2018 Performance Share award was tested annually over a three-year period. All vested 2018 Performance Shares would have been issued following the filing of the annual report on Form 10-K for the year ended December 31, 2020. One third of the 2018 Performance Shares were forfeited based on the Issuer's 2018 adjusted annual growth in diluted book value per ordinary share test and two thirds of the 2018 Performance Shares vested at target payout levels in connection with the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Performance Share represents the right to receive one share of the Issuer's Ordinary Shares.
F2: At the time of grant on February 10, 2017, the 2017 Performance Shares were eligible for vesting following the achievement of certain financial targets by the Issuer. Prior to the Merger, one third of the 2017 Performance Share award was tested annually over a three-year period. All vested 2017 Performance Shares would have been issued following the filing of the annual report on Form 10-K for the year ended December 31, 2019. Two thirds of the 2017 Performance Shares were forfeited based on the Issuer's 2017 and 2018 adjusted annual growth in diluted book value per ordinary share test and one third of the 2017 Performance Shares vested at target payout levels in connection with the Merger.
F3: At the effective time of the Merger, each 2017 Performance Share outstanding immediately prior to the Merger was, to the extent not vested, fully vested, and was canceled and converted into the right to receive a lump-sum amount in cash, equal to $42.75, without interest and less any applicable tax withholding, per 2017 Performance Share.
F4: This Form 4 is being filed as a result of the closing on February 15, 2019 of the merger (the "Merger") as described in the Agreement and Plan of Merger, dated as of August 27, 2018 (the "Merger Agreement") among Aspen Insurance Holdings Limited (the "Issuer"), Highlands Holdings, Ltd., and Highlands Merger Sub, Ltd.
F5: At the time of grant on February 9, 2018, the 2018 Performance Shares were eligible for vesting following the achievement of certain financial targets by the Issuer. Prior to the Merger, one third of the 2018 Performance Share award was tested annually over a three-year period. All vested 2018 Performance Shares would have been issued following the filing of the annual report on Form 10-K for the year ended December 31, 2020. One third of the 2018 Performance Shares were forfeited based on the Issuer's 2018 adjusted annual growth in diluted book value per ordinary share test and two thirds of the 2018 Performance Shares vested at target payout levels in connection with the Merger.
F6: At the effective time of the Merger, each 2018 Performance Share outstanding immediately prior to the Merger was, to the extent not vested, fully vested, and was canceled and converted into the right to receive a lump-sum amount in cash, equal to $42.75, without interest and less any applicable tax withholding, per 2018 Performance Share.
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 08, 2017 Filed Feb 10, 2017 15:51 UTC | ASPEN INSURANCE HOLDINGS LTD AHL · Entity 9774 | Exercise / conversionRestricted Share Units (2015 Part Bonus) · Derivative | 720 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001561304-17-000002 · wf-form4_148674189073820.xml · derivative · entry 6 Cain Michael · CIK 0001561304 · CEO, ABL & Group GC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,439 Underlying: Ordinary Shares · 720 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. F3 · derivative.exercise_price: Each Restricted Share Unit represents the right to receive one share of the Issuer's Ordinary Shares. F3 · price: Each Restricted Share Unit represents the right to receive one share of the Issuer's Ordinary Shares. F5 · derivative.exercise_date: Represents a portion of the Reporting Person's annual bonus for 2015 paid in Restricted Share Units. The Restricted Share Units were granted on February 8, 2016. One-third of the Restricted Share Units vest annually on the anniversary of the grant date over a three-year period, in each case subject to the Reporting Person's continued service, unless terminated without cause or by the Reporting Person for good reason. Upon vesting of the Restricted Share Units, the Reporting Person shall be entitled to receive a number of Ordinary Shares equal to the number of Restricted Share Units then vesting. F5 · derivative.expiration_date: Represents a portion of the Reporting Person's annual bonus for 2015 paid in Restricted Share Units. The Restricted Share Units were granted on February 8, 2016. One-third of the Restricted Share Units vest annually on the anniversary of the grant date over a three-year period, in each case subject to the Reporting Person's continued service, unless terminated without cause or by the Reporting Person for good reason. Upon vesting of the Restricted Share Units, the Reporting Person shall be entitled to receive a number of Ordinary Shares equal to the number of Restricted Share Units then vesting. Read SEC document |
| February 08, 2017 Filed Feb 10, 2017 15:51 UTC | ASPEN INSURANCE HOLDINGS LTD AHL · Entity 9774 | Exercise / conversionRestricted Share Units (2016 Grant) · Derivative | 1,278 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001561304-17-000002 · wf-form4_148674189073820.xml · derivative · entry 5 Cain Michael · CIK 0001561304 · CEO, ABL & Group GC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,556 Underlying: Ordinary Shares · 1,278 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. F3 · derivative.exercise_price: Each Restricted Share Unit represents the right to receive one share of the Issuer's Ordinary Shares. F3 · price: Each Restricted Share Unit represents the right to receive one share of the Issuer's Ordinary Shares. F4 · derivative.exercise_date: Represents 2016 Restricted Share Units granted on February 8, 2016 under our 2013 Share Incentive Plan. One-third of the 2016 Restricted Share Units vests annually on the anniversary of the grant date over a three-year period, in each case subject to the Reporting Person's continued service. Upon vesting of the 2016 Restricted Share Units, the Reporting Person shall be entitled to received a number of Ordinary Shares equal to the number of Restricted Share Units then vesting. F4 · derivative.expiration_date: Represents 2016 Restricted Share Units granted on February 8, 2016 under our 2013 Share Incentive Plan. One-third of the 2016 Restricted Share Units vests annually on the anniversary of the grant date over a three-year period, in each case subject to the Reporting Person's continued service. Upon vesting of the 2016 Restricted Share Units, the Reporting Person shall be entitled to received a number of Ordinary Shares equal to the number of Restricted Share Units then vesting. Read SEC document |
| February 08, 2017 Filed Feb 10, 2017 15:51 UTC | ASPEN INSURANCE HOLDINGS LTD AHL · Entity 9774 | Tax withholdingOrdinary Shares | 123 | $56.45 | $6,943.35 |
DisclosureSEC source: 0001561304-17-000002 · wf-form4_148674189073820.xml · nonDerivative · entry 4 Cain Michael · CIK 0001561304 · CEO, ABL & Group GC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,581 F2 · kind: Ordinary shares withheld in order to satisfy tax liability upon vesting of previously granted Restricted Share Units. Read SEC document |
| February 08, 2017 Filed Feb 10, 2017 15:51 UTC | ASPEN INSURANCE HOLDINGS LTD AHL · Entity 9774 | GrantOrdinary Shares | 720 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001561304-17-000002 · wf-form4_148674189073820.xml · nonDerivative · entry 3 Cain Michael · CIK 0001561304 · CEO, ABL & Group GC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,704 F1 · price: Ordinary shares acquired upon mandatory conversion of previously granted Restricted Share Units. Read SEC document |
| February 08, 2017 Filed Feb 10, 2017 15:51 UTC | ASPEN INSURANCE HOLDINGS LTD AHL · Entity 9774 | Tax withholdingOrdinary Shares | 218 | $56.45 | $12,306.10 |
DisclosureSEC source: 0001561304-17-000002 · wf-form4_148674189073820.xml · nonDerivative · entry 2 Cain Michael · CIK 0001561304 · CEO, ABL & Group GC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,984 F2 · kind: Ordinary shares withheld in order to satisfy tax liability upon vesting of previously granted Restricted Share Units. Read SEC document |
| February 08, 2017 Filed Feb 10, 2017 15:51 UTC | ASPEN INSURANCE HOLDINGS LTD AHL · Entity 9774 | GrantOrdinary Shares | 1,278 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001561304-17-000002 · wf-form4_148674189073820.xml · nonDerivative · entry 1 Cain Michael · CIK 0001561304 · CEO, ABL & Group GC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,202 F1 · price: Ordinary shares acquired upon mandatory conversion of previously granted Restricted Share Units. Read SEC document |
| February 08, 2017 Filed Nov 22, 2017 17:26 UTC Amendment | ASPEN INSURANCE HOLDINGS LTD AHL · Entity 9774 | GrantOrdinary Shares | 341 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001561304-17-000012 · wf-form4a_151137158611558.xml · nonDerivative · entry 1 Cain Michael · CIK 0001561304 · CEO, ABL & Group GC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,223 F1 · shares: The Reporting Person's Form 4 filed on February 10, 2017 erroneously reported that 341 ordinary shares were withheld from the Reporting Person in order to satisfy tax liability upon the previously granted restricted share units (2016 Grant and 2015 Part Bonus) when in fact no ordinary shares were withheld. As a result, the reported amount of ordinary shares beneficially owned by the Reporting Person on Forms 4 on and after February 10, 2017 was erroneously reduced by 341 ordinary shares. F2 · price: Ordinary shares acquired upon mandatory conversion of previously granted Restricted Share 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.