Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LEXMARK INTERNATIONAL INC /KY/LXK · Entity 180755 | Director | November 29, 2016 | November 30, 2016 |
| PROGRESSIVE CORP/OH/PGR · Entity 193 | Director | February 12, 2016 | February 16, 2016 |
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.
LEXMARK INTERNATIONAL INC /KY/
Report date November 29, 2016 · Filed November 30, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2016-11-29 transaction · row 1
1 source rowRow 1 · 2016-11-29 · Disposition to issuer · Disposed 127,494 · Balance 0 F1: Represents shares of Class A Common Stock and restricted stock units, including associated dividend equivalent units, disposed of pursuant to the agreement and plan of merger (the "Merger Agreement") by and among the issuer, Ninestar Holdings Company Limited, Ninestar Group Company Limited, Ninestar Lexmark Company Limited and Apex Technology Co., Ltd. in exchange for $40.50 cash per share, without interest. |
| Non Employee Director Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $30.91 · Expires 2018-04-24 | Direct | 0 |
Reported balance
After 2016-11-29 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2016-11-29 · Disposition to issuer · Disposed 10,100 · Balance 0 F2: Pursuant to the Merger Agreement, this option, which vested and became exercisable in three equal annual installments (34%, 34% and 33%), commencing on April 24, 2009, was cancelled in exchange for a cash payment equal to the product of (a) the total number of shares of common stock subject to that option, multiplied by (b) the excess of $40.50 over the exercise price of such option. |
| Non Employee Director Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $54.85 · Expires 2017-04-26 | Direct | 0 |
Reported balance
After 2016-11-29 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-11-29 · Disposition to issuer · Disposed 4,800 · Balance 0 F3: Pursuant to the Merger Agreement, this option, which vested and became exercisable in three equal annual installments (34%, 34% and 33%), commencing on April 26, 2008, was cancelled without payment because the exercise price of the option exceeded the merger consideration of $40.50 per share. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Class A Common Stock and restricted stock units, including associated dividend equivalent units, disposed of pursuant to the agreement and plan of merger (the "Merger Agreement") by and among the issuer, Ninestar Holdings Company Limited, Ninestar Group Company Limited, Ninestar Lexmark Company Limited and Apex Technology Co., Ltd. in exchange for $40.50 cash per share, without interest.
F2: Pursuant to the Merger Agreement, this option, which vested and became exercisable in three equal annual installments (34%, 34% and 33%), commencing on April 24, 2009, was cancelled in exchange for a cash payment equal to the product of (a) the total number of shares of common stock subject to that option, multiplied by (b) the excess of $40.50 over the exercise price of such option.
F3: Pursuant to the Merger Agreement, this option, which vested and became exercisable in three equal annual installments (34%, 34% and 33%), commencing on April 26, 2008, was cancelled without payment because the exercise price of the option exceeded the merger consideration of $40.50 per share.
PROGRESSIVE CORP/OH/
Report date February 12, 2016 · Filed February 16, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock Unit (rest. Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 61,753.2879 |
Reported balance
After 2016-02-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-02-12 · Grant · Acquired 1,719.7794 · Balance 61,753.2879 F1: 1 for 1. F2: These units, which were acquired upon the reinvestment of dividend equivalents, will be paid out in cash at the time elected by the reporting person or at such other time determined in accordance with the plan. F3: Expiration Date is the same as the Date Exercisable. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 185,885.4398 |
Reported balance
After 2016-02-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2016-02-12 · Grant · Acquired 5,176.7602 · Balance 185,885.4398 F1: 1 for 1. F2: These units, which were acquired upon the reinvestment of dividend equivalents, will be paid out in cash at the time elected by the reporting person or at such other time determined in accordance with the plan. F3: Expiration Date is the same as the Date Exercisable. |
Filing footnotes · ownership attribution and instrument terms
F1: 1 for 1.
F2: These units, which were acquired upon the reinvestment of dividend equivalents, will be paid out in cash at the time elected by the reporting person or at such other time determined in accordance with the plan.
F3: Expiration Date is the same as the Date Exercisable.
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 |
|---|---|---|---|---|---|---|
| December 07, 2004 Filed Dec 9, 2004 14:06 UTC | PROGRESSIVE CORP/OH/ PGR · Entity 193 | Tax withholdingCommon | 1,830 | $91.48 | $167,408.40 |
DisclosureSEC source: 0000080661-04-000234 · f4forsrh1.xml · nonDerivative · entry 3 HARDIS STEPHEN R · CIK 0001018624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,402 Read SEC document |
| December 07, 2004 Filed Dec 9, 2004 14:06 UTC | PROGRESSIVE CORP/OH/ PGR · Entity 193 | Exercise / conversionCommon | 6,000 | $15.35 | $92,124.60 |
DisclosureSEC source: 0000080661-04-000234 · f4forsrh1.xml · nonDerivative · entry 2 HARDIS STEPHEN R · CIK 0001018624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,232 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 |
| December 07, 2004 Filed Dec 9, 2004 14:06 UTC | PROGRESSIVE CORP/OH/ PGR · Entity 193 | Exercise / conversionCommon | 6,000 | $12.56 | $75,375.00 |
DisclosureSEC source: 0000080661-04-000234 · f4forsrh1.xml · nonDerivative · entry 1 HARDIS STEPHEN R · CIK 0001018624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,232 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 |
| September 30, 2004 Filed Oct 1, 2004 20:51 UTC | PROGRESSIVE CORP/OH/ PGR · Entity 193 | GrantPhantom Stock Unit · Derivative | 111.2486 | $84.75 Strike: $0.00 | $9,428.32 |
DisclosureSEC source: 0000080661-04-000209 · f4forsrh1.xml · derivative · entry 1 HARDIS STEPHEN R · CIK 0001018624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,055.1285 Underlying: Common · 111.2486 shares Expires not disclosed F1 · derivative.exercise_price: 1 for 1 F2 · derivative.exercise_date: The phantom stock units will be distributed in cash at the time elected by the reporting person, subject to the vesting provisions of the Plan. F2 · derivative.expiration_date: The phantom stock units will be distributed in cash at the time elected by the reporting person, subject to the vesting provisions of the Plan. Read SEC document |
| June 30, 2004 Filed Jul 1, 2004 18:36 UTC | PROGRESSIVE CORP/OH/ PGR · Entity 193 | GrantPhantom Stock Unit · Derivative | 266.9041 | $85.30 Strike: $0.00 | $22,766.92 |
DisclosureSEC source: 0000080661-04-000163 · f4forsrh1.xml · derivative · entry 1 HARDIS STEPHEN R · CIK 0001018624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,943.8799 Underlying: Common · 266.9041 shares Expires not disclosed F1 · derivative.exercise_price: 1 for 1 F2 · derivative.exercise_date: The phantom stock units will be distributed in cash at the time elected by the reporting person, subject to the vesting provisions of the Plan. F2 · derivative.expiration_date: The phantom stock units will be distributed in cash at the time elected by the reporting person, subject to the vesting provisions of the Plan. Read SEC document |
| April 16, 2004 Filed Apr 19, 2004 18:51 UTC | PROGRESSIVE CORP/OH/ PGR · Entity 193 | GrantCommon | 1,113 | $0.00 | $0.00 |
DisclosureSEC source: 0000080661-04-000129 · f4forsrh1.xml · nonDerivative · entry 1 HARDIS STEPHEN R · CIK 0001018624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,232 F1 · kind: Restricted stock grant made pursuant to The Progressive Corporation 2003 Directors Equity Incentive Plan. Read SEC document |
| March 31, 2004 Filed Apr 1, 2004 20:57 UTC | PROGRESSIVE CORP/OH/ PGR · Entity 193 | GrantPhantom Stock Unit · Derivative | 65.8136 | $87.60 Strike: $0.00 | $5,765.27 |
DisclosureSEC source: 0000080661-04-000107 · f4forsrh1.xml · derivative · entry 1 HARDIS STEPHEN R · CIK 0001018624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,676.9758 Underlying: Common · 65.8136 shares Expires not disclosed F1 · derivative.exercise_price: 1 for 1 F2 · derivative.exercise_date: The phantom stock units will be distributed in cash at the time elected by the reporting person, subject to the vesting provisions of the Plan. F2 · derivative.expiration_date: The phantom stock units will be distributed in cash at the time elected by the reporting person, subject to the vesting provisions of the Plan. Read SEC document |
| December 31, 2003 Filed Jan 5, 2004 17:12 UTC | PROGRESSIVE CORP/OH/ PGR · Entity 193 | GrantPhantom Stock Unit · Derivative | 104.8641 | $83.59 Strike: $0.00 | $8,765.59 |
DisclosureSEC source: 0000080661-04-000017 · f4forsrh1.xml · derivative · entry 1 HARDIS STEPHEN R · CIK 0001018624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,624.8511 Underlying: Common · 104.8641 shares Expires not disclosed F1 · derivative.exercise_price: 1 for 1 F2 · derivative.exercise_date: The phantom stock units will be distributed in cash at the time elected by the reporting person, subject to the vesting provisions of the Plan. F2 · derivative.expiration_date: The phantom stock units will be distributed in cash at the time elected by the reporting person, subject to the vesting provisions of the Plan. Read SEC document |
| December 31, 2003 Filed Feb 12, 2004 21:37 UTC Amendment | PROGRESSIVE CORP/OH/ pgr · Entity 193 | GrantPhantom Stock Unit · Derivative | 104.86 | $83.59 | $8,765.25 |
DisclosureSEC source: 0000080661-04-000049 · primary_doc.xml · derivative · entry 1 HARDIS STEPHEN R · CIK 0001018624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,611.1622 Underlying: Common · 104.86 shares Expires not disclosed F1 · derivative.exercise_price: 1 for 1 F2 · shares: On December 31, 2003, the Reporting Person was erroneously credited with 104.8641 phantom stock units, when he should have been credited with 104.860 units. On February 10, 2004, the Company retroactively corrected the error and adjusted the Reporting Person's phantom stock account, as reported on this Amended Form 4. F3 · derivative.exercise_date: The phantom stock units will be distributed in cash at the time elected by the Reporting Person, subject to the vesting provisions of the Plan. F3 · derivative.expiration_date: The phantom stock units will be distributed in cash at the time elected by the Reporting Person, subject to the vesting provisions of the Plan. F4 · balance_after: The Reporting Person was also erroneously credited with 13.6799 phantom stock units on July 31, 2003, and with .0049 units on September 30, 2003. On February 10, 2004, the Company retroactively corrected these errors, and the resulting adjustments are reflected in the total units held as of December 31, 2003, as reported on this Amended Form 4. Read SEC document |
| September 30, 2003 Filed Oct 1, 2003 17:49 UTC | PROGRESSIVE CORP/OH/ PGR · Entity 193 | GrantPhantom Stock Unit · Derivative | 83.3278 | $69.11 Strike: $0.00 | $5,758.78 |
DisclosureSEC source: 0000080661-03-000123 · f4forsrh1.xml · derivative · entry 1 HARDIS STEPHEN R · CIK 0001018624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,519.987 Underlying: Common · 83.3278 shares Expires 1988-08-08 F1 · derivative.exercise_date: The phantom stock units will be distributed in cash at the time elected by the reporting person, subject to the vesting provisions of the Plan. F1 · derivative.expiration_date: The phantom stock units will be distributed in cash at the time elected by the reporting person, subject to the vesting provisions of the Plan. Read SEC document |
| June 30, 2003 Filed Jul 1, 2003 20:52 UTC | PROGRESSIVE CORP/OH/ PGR · Entity 193 | GrantPhantom Stock Unit · Derivative | 249.7219 | $73.10 Strike: $0.00 | $18,254.67 |
DisclosureSEC source: 0000080661-03-000085 · f4forsrh1.xml · derivative · entry 1 HARDIS STEPHEN R · CIK 0001018624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,436.6592 Underlying: Common · 249.7219 shares Expires 1988-08-08 F1 · derivative.exercise_date: The phantom stock units will be distributed in cash at the time elected by the reporting person, subject to the vesting provisions of the Plan. F1 · derivative.expiration_date: The phantom stock units will be distributed in cash at the time elected by the reporting person, subject to the vesting provisions of the Plan. 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.