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organization · Reporting owner

CASCADE INVESTMENT, L.L.C.

Disclosed activity across 13 companies

Tapewire entity
1687
SEC CIK
0001052192

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
AUTONATION, INC.AN · Entity 373010% ownerOctober 01, 2024October 03, 2024
ECOLAB INC.ECL · Entity 295410% ownerNovember 20, 2024November 23, 2024
Ginkgo Bioworks Holdings, Inc.DNA · Entity 553010% ownerSeptember 16, 2021September 24, 2021
PLANETOUT INCLGBT · Entity 1726610% ownerJuly 09, 2007July 13, 2007
Patriot Coal CORPPCX · Entity 16920See Footnote (3)January 29, 2010February 03, 2010
REPUBLIC SERVICES, INC.RSG · Entity 168610% ownerSeptember 10, 2026September 14, 2026
WESTERN ASSET INFLATION-LINKED INCOME FUNDWIA · Entity 638110% ownerMay 25, 2022May 27, 2022
WESTERN ASSET INFLATION-LINKED OPPORTUNITIES & INCOME FUNDWIW · Entity 889610% ownerMay 27, 2022June 01, 2022

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.

AUTONATION, INC.

Report date October 01, 2024 · Filed October 03, 2024

Jointly reported with GATES WILLIAM H III

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common stockSEC Table I · non-derivativeDirect7,062,629 Reported balance After 2024-10-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2024-10-01 · Gift · Disposed 2,808,674 · Balance 7,062,629

ECOLAB INC.

Report date November 20, 2024 · Filed November 23, 2024

Jointly reported with GATES WILLIAM H III

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectby Cascade Investment, L.L.C.29,402,599 Reported balance After 2024-11-20 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2024-11-20 · Sale · Disposed 52,684 · Balance 29,402,599

F1: This transaction was executed in multiple trades at prices ranging from $240.1100 to $241.1075. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common StockSEC Table I · non-derivativeIndirectby Cascade Investment, L.L.C.29,357,639 Reported balance After 2024-11-20 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2024-11-20 · Sale · Disposed 44,960 · Balance 29,357,639

F2: This transaction was executed in multiple trades at prices ranging from $241.1100 to $242.0925. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common StockSEC Table I · non-derivativeIndirectby Cascade Investment, L.L.C.29,349,941 Reported balance After 2024-11-20 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2024-11-20 · Sale · Disposed 7,698 · Balance 29,349,941

F3: This transaction was executed in multiple trades at prices ranging from $242.1100 to $243.0000. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common StockSEC Table I · non-derivativeIndirectby Cascade Investment, L.L.C.29,348,741 Reported balance After 2024-11-20 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2024-11-20 · Sale · Disposed 1,200 · Balance 29,348,741

F4: This transaction was executed in multiple trades at prices ranging from $243.1300 to $243.9250. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common StockSEC Table I · non-derivativeIndirectby Cascade Investment, L.L.C.29,320,492 Reported balance After 2024-11-21 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2024-11-21 · Sale · Disposed 28,249 · Balance 29,320,492

F5: This transaction was executed in multiple trades at prices ranging from $241.5300 to $242.5200. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common StockSEC Table I · non-derivativeIndirectby Cascade Investment, L.L.C.29,248,741 Reported balance After 2024-11-21 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2024-11-21 · Sale · Disposed 71,751 · Balance 29,248,741

F6: This transaction was executed in multiple trades at prices ranging from $242.5300 to $243.4900. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common StockSEC Table I · non-derivativeIndirectby Cascade Investment, L.L.C.29,231,822 Reported balance After 2024-11-22 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 7 · 2024-11-22 · Sale · Disposed 16,919 · Balance 29,231,822

F7: This transaction was executed in multiple trades at prices ranging from $244.7300 to $245.6300. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common StockSEC Table I · non-derivativeIndirectby Cascade Investment, L.L.C.29,178,857 Reported balance After 2024-11-22 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 8 · 2024-11-22 · Sale · Disposed 52,965 · Balance 29,178,857

F8: This transaction was executed in multiple trades at prices ranging from $245.8200 to $246.5400. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common StockSEC Table I · non-derivativeIndirectby Cascade Investment, L.L.C.29,178,741 Reported balance After 2024-11-22 transaction · row 9 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 9 · 2024-11-22 · Sale · Disposed 116 · Balance 29,178,741

Filing footnotes · ownership attribution and instrument terms

F1: This transaction was executed in multiple trades at prices ranging from $240.1100 to $241.1075. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F2: This transaction was executed in multiple trades at prices ranging from $241.1100 to $242.0925. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F3: This transaction was executed in multiple trades at prices ranging from $242.1100 to $243.0000. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F4: This transaction was executed in multiple trades at prices ranging from $243.1300 to $243.9250. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F5: This transaction was executed in multiple trades at prices ranging from $241.5300 to $242.5200. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F6: This transaction was executed in multiple trades at prices ranging from $242.5300 to $243.4900. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F7: This transaction was executed in multiple trades at prices ranging from $244.7300 to $245.6300. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F8: This transaction was executed in multiple trades at prices ranging from $245.8200 to $246.5400. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Ginkgo Bioworks Holdings, Inc.

Report date September 16, 2021 · Filed September 24, 2021

Jointly reported with GATES WILLIAM H III

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect151,865,481 Reported balance Holding disclosure · report date 2021-09-16 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 151,865,481

F1: Includes 15,949,483 earn-out shares that will vest in four substantially equal installments if the issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00.

Filing footnotes · ownership attribution and instrument terms

F1: Includes 15,949,483 earn-out shares that will vest in four substantially equal installments if the issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00.

PLANETOUT INC

Report date July 09, 2007 · Filed July 13, 2007

Jointly reported with GATES WILLIAM H III

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect5,217,391 Reported balance Holding disclosure · report date 2007-07-09 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 5,217,391

Patriot Coal CORP

Report date January 29, 2010 · Filed February 03, 2010

Jointly reported with GATES WILLIAM H III

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,391,231 Reported balance After 2010-01-29 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2010-01-29 · Other · Disposed 17,421 · Balance 2,391,231

F1: The shares were transferred pursuant to a letter agreement (as amended, the "Letter Agreement"), which provided that certain persons including the reporting persons herein would transfer to Mr. Paul Vining shares of Common Stock in an amount determined as set forth in the Letter Agreement. The foregoing discussion of the Letter Agreement is not intended to be a complete statement of all of the material terms thereof and is qualified in its entirety by the Letter Agreement filed as Exhibit 10.1 to Patriot Coal Corporation's quarterly report on Form 10-Q filed on August 7, 2009 (File No. 001-33466).

F2: On August 11, 2008, the Common Stock of Patriot Coal Corporation split 2-for-1, resulting in the reporting persons' acquisition of 1,204,326 additional shares of Common Stock.

F3: The reporting persons may be deemed to be a member of a group beneficially owning 10% or more of the Common Stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. The reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting persons are the beneficial owners of the securities of such group for purposes of Section 16 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The shares were transferred pursuant to a letter agreement (as amended, the "Letter Agreement"), which provided that certain persons including the reporting persons herein would transfer to Mr. Paul Vining shares of Common Stock in an amount determined as set forth in the Letter Agreement. The foregoing discussion of the Letter Agreement is not intended to be a complete statement of all of the material terms thereof and is qualified in its entirety by the Letter Agreement filed as Exhibit 10.1 to Patriot Coal Corporation's quarterly report on Form 10-Q filed on August 7, 2009 (File No. 001-33466).

F2: On August 11, 2008, the Common Stock of Patriot Coal Corporation split 2-for-1, resulting in the reporting persons' acquisition of 1,204,326 additional shares of Common Stock.

F3: The reporting persons may be deemed to be a member of a group beneficially owning 10% or more of the Common Stock of the issuer within the meaning of Section 13(d) of the Securities Exchange Act of 1934. The reporting persons disclaim beneficial ownership of all securities other than those reported above, and this report shall not be deemed an admission that such a group exists or that the reporting persons are the beneficial owners of the securities of such group for purposes of Section 16 or for any other purpose.

REPUBLIC SERVICES, INC.

Report date September 10, 2026 · Filed September 14, 2026

Jointly reported with GATES WILLIAM H III

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common stockSEC Table I · non-derivativeDirect116,585,781 Reported balance After 2026-09-10 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2026-09-10 · Purchase · Acquired 108,147 · Balance 116,585,781

F1: This transaction was executed in multiple trades at prices ranging from $221.0150 to $222.0125. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common stockSEC Table I · non-derivativeDirect116,683,773 Reported balance After 2026-09-10 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2026-09-10 · Purchase · Acquired 97,992 · Balance 116,683,773

F2: This transaction was executed in multiple trades at prices ranging from $222.0150 to $223.0100. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common stockSEC Table I · non-derivativeDirect116,731,592 Reported balance After 2026-09-10 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2026-09-10 · Purchase · Acquired 47,819 · Balance 116,731,592

F3: This transaction was executed in multiple trades at prices ranging from $223.0200 to $223.9900. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common stockSEC Table I · non-derivativeDirect116,733,634 Reported balance After 2026-09-10 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2026-09-10 · Purchase · Acquired 2,042 · Balance 116,733,634

F4: This transaction was executed in multiple trades at prices ranging from $224.0200 to $224.1450. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common stockSEC Table I · non-derivativeDirect116,741,230 Reported balance After 2026-09-11 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2026-09-11 · Purchase · Acquired 7,596 · Balance 116,741,230

F5: This transaction was executed in multiple trades at prices ranging from $220.7700 to $221.6500. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common stockSEC Table I · non-derivativeDirect116,876,712 Reported balance After 2026-09-11 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2026-09-11 · Purchase · Acquired 135,482 · Balance 116,876,712

F6: This transaction was executed in multiple trades at prices ranging from $221.8700 to $222.7650. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common stockSEC Table I · non-derivativeDirect117,053,259 Reported balance After 2026-09-11 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 7 · 2026-09-11 · Purchase · Acquired 176,547 · Balance 117,053,259

F7: This transaction was executed in multiple trades at prices ranging from $222.7700 to $223.7350. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common stockSEC Table I · non-derivativeDirect117,058,444 Reported balance After 2026-09-11 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 8 · 2026-09-11 · Purchase · Acquired 5,185 · Balance 117,058,444

F8: This transaction was executed in multiple trades at prices ranging from $223.7700 to $224.0000. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Filing footnotes · ownership attribution and instrument terms

F1: This transaction was executed in multiple trades at prices ranging from $221.0150 to $222.0125. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F2: This transaction was executed in multiple trades at prices ranging from $222.0150 to $223.0100. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F3: This transaction was executed in multiple trades at prices ranging from $223.0200 to $223.9900. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F4: This transaction was executed in multiple trades at prices ranging from $224.0200 to $224.1450. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F5: This transaction was executed in multiple trades at prices ranging from $220.7700 to $221.6500. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F6: This transaction was executed in multiple trades at prices ranging from $221.8700 to $222.7650. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F7: This transaction was executed in multiple trades at prices ranging from $222.7700 to $223.7350. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F8: This transaction was executed in multiple trades at prices ranging from $223.7700 to $224.0000. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

WESTERN ASSET INFLATION-LINKED INCOME FUND

Report date May 25, 2022 · Filed May 27, 2022

Jointly reported with GATES WILLIAM H III

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common SharesSEC Table I · non-derivativeDirect5,195,082 Reported balance After 2022-05-25 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2022-05-25 · Purchase · Acquired 50,497 · Balance 5,195,082

F1: This transaction was executed in multiple trades at prices ranging from $10.48 to $10.605. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common SharesSEC Table I · non-derivativeDirect5,208,507 Reported balance After 2022-05-26 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2022-05-26 · Purchase · Acquired 13,425 · Balance 5,208,507

F2: This transaction was executed in multiple trades at prices ranging from $10.615 to $10.635. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Filing footnotes · ownership attribution and instrument terms

F1: This transaction was executed in multiple trades at prices ranging from $10.48 to $10.605. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F2: This transaction was executed in multiple trades at prices ranging from $10.615 to $10.635. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

WESTERN ASSET INFLATION-LINKED OPPORTUNITIES & INCOME FUND

Report date May 27, 2022 · Filed June 01, 2022

Jointly reported with GATES WILLIAM H III

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common SharesSEC Table I · non-derivativeDirect13,873,452 Reported balance After 2022-05-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2022-05-27 · Purchase · Acquired 38,836 · Balance 13,873,452

F1: This transaction was executed in multiple trades at prices ranging from $11.09 to $11.185. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Common SharesSEC Table I · non-derivativeDirect14,022,751 Reported balance After 2022-05-31 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2022-05-31 · Purchase · Acquired 149,299 · Balance 14,022,751

F2: This transaction was executed in multiple trades at prices ranging from $11.14 to $11.24. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Filing footnotes · ownership attribution and instrument terms

F1: This transaction was executed in multiple trades at prices ranging from $11.09 to $11.185. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F2: This transaction was executed in multiple trades at prices ranging from $11.14 to $11.24. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Past disclosures · reporting ended (5)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Alto Ingredients, Inc.

Report date June 09, 2008 · Filed June 11, 2008

Jointly reported with GATES WILLIAM H III

Section 16 reporting ended · disclosed 2008-06-11. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,449,834 Reported balance After 2008-06-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2008-06-09 · Sale · Disposed 6,490 · Balance 1,449,834

Common StockSEC Table I · non-derivativeDirect1,446,834 Reported balance After 2008-06-09 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2008-06-09 · Sale · Disposed 3,000 · Balance 1,446,834

Common StockSEC Table I · non-derivativeDirect1,402,134 Reported balance After 2008-06-09 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2008-06-09 · Sale · Disposed 44,700 · Balance 1,402,134

Common StockSEC Table I · non-derivativeDirect1,402,034 Reported balance After 2008-06-09 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2008-06-09 · Sale · Disposed 100 · Balance 1,402,034

Common StockSEC Table I · non-derivativeDirect1,400,124 Reported balance After 2008-06-09 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2008-06-09 · Sale · Disposed 1,910 · Balance 1,400,124

Common StockSEC Table I · non-derivativeDirect1,396,524 Reported balance After 2008-06-09 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2008-06-09 · Sale · Disposed 3,600 · Balance 1,396,524

Common StockSEC Table I · non-derivativeDirect1,375,224 Reported balance After 2008-06-09 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 7 · 2008-06-09 · Sale · Disposed 21,300 · Balance 1,375,224

DEERE & CO

Report date May 13, 2021 · Filed May 14, 2021

Jointly reported with GATES WILLIAM H III

Section 16 reporting ended · disclosed 2021-05-14. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect29,259,573 Reported balance After 2021-05-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-05-13 · Other · Disposed 2,251,000 · Balance 29,259,573

F1: Cascade Investment, L.L.C. transferred to Melinda French Gates 2,251,000 shares of the Issuer's common stock in a private transaction, for no consideration, on May 13, 2021.

Filing footnotes · ownership attribution and instrument terms

F1: Cascade Investment, L.L.C. transferred to Melinda French Gates 2,251,000 shares of the Issuer's common stock in a private transaction, for no consideration, on May 13, 2021.

GAMCO INVESTORS, INC. ET AL

Report date November 21, 2017 · Filed November 22, 2017

Jointly reported with GATES WILLIAM H III

Section 16 reporting ended · disclosed 2017-11-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $55.00 · Expires 2021-08-15Direct0 Reported balance After 2017-11-21 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2017-11-21 · Other · Disposed Not disclosed · Balance 0

F1: On November 21, 2017, GAMCO Investors, Inc., redeemed the Convertible Promissory Note, dated August 15, 2016, held by Cascade Investment, L.L.C. for $114,629,041, an amount equal to 103% of the unpaid principal amount of the note plus unpaid accrued interest.

Filing footnotes · ownership attribution and instrument terms

F1: On November 21, 2017, GAMCO Investors, Inc., redeemed the Convertible Promissory Note, dated August 15, 2016, held by Cascade Investment, L.L.C. for $114,629,041, an amount equal to 103% of the unpaid principal amount of the note plus unpaid accrued interest.

RADIUS RECYCLING, INC.

Report date May 20, 2003 · Filed May 22, 2003

Jointly reported with GATES WILLIAM H III

Section 16 reporting ended · disclosed 2003-05-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect520,700 Reported balance After 2003-05-20 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2003-05-20 · Sale · Disposed 1,500 · Balance 520,700

Common StockSEC Table I · non-derivativeDirect519,200 Reported balance After 2003-05-20 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2003-05-20 · Sale · Disposed 1,500 · Balance 519,200

Common StockSEC Table I · non-derivativeDirect517,700 Reported balance After 2003-05-20 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2003-05-20 · Sale · Disposed 1,500 · Balance 517,700

Common StockSEC Table I · non-derivativeDirect517,300 Reported balance After 2003-05-20 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2003-05-20 · Sale · Disposed 400 · Balance 517,300

Common StockSEC Table I · non-derivativeDirect515,800 Reported balance After 2003-05-20 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2003-05-20 · Sale · Disposed 1,500 · Balance 515,800

Common StockSEC Table I · non-derivativeDirect510,700 Reported balance After 2003-05-20 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2003-05-20 · Sale · Disposed 5,100 · Balance 510,700

Common StockSEC Table I · non-derivativeDirect509,100 Reported balance After 2003-05-20 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 7 · 2003-05-20 · Sale · Disposed 1,600 · Balance 509,100

Common StockSEC Table I · non-derivativeDirect507,600 Reported balance After 2003-05-20 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 8 · 2003-05-20 · Sale · Disposed 1,500 · Balance 507,600

Common StockSEC Table I · non-derivativeDirect507,500 Reported balance After 2003-05-20 transaction · row 9 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 9 · 2003-05-20 · Sale · Disposed 100 · Balance 507,500

Common StockSEC Table I · non-derivativeDirect507,400 Reported balance After 2003-05-20 transaction · row 10 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 10 · 2003-05-20 · Sale · Disposed 100 · Balance 507,400

Common StockSEC Table I · non-derivativeDirect505,700 Reported balance After 2003-05-20 transaction · row 11 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 11 · 2003-05-20 · Sale · Disposed 1,700 · Balance 505,700

Common StockSEC Table I · non-derivativeDirect504,448 Reported balance After 2003-05-20 transaction · row 12 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 12 · 2003-05-20 · Sale · Disposed 1,252 · Balance 504,448

Common StockSEC Table I · non-derivativeDirect504,248 Reported balance After 2003-05-20 transaction · row 13 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 13 · 2003-05-20 · Sale · Disposed 200 · Balance 504,248

Common StockSEC Table I · non-derivativeDirect503,948 Reported balance After 2003-05-20 transaction · row 14 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 14 · 2003-05-20 · Sale · Disposed 300 · Balance 503,948

Common StockSEC Table I · non-derivativeDirect499,398 Reported balance After 2003-05-20 transaction · row 15 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 15 · 2003-05-20 · Sale · Disposed 4,550 · Balance 499,398

Common StockSEC Table I · non-derivativeDirect499,298 Reported balance After 2003-05-20 transaction · row 16 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 16 · 2003-05-20 · Sale · Disposed 100 · Balance 499,298

Common StockSEC Table I · non-derivativeDirect496,798 Reported balance After 2003-05-20 transaction · row 17 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 17 · 2003-05-20 · Sale · Disposed 2,500 · Balance 496,798

Common StockSEC Table I · non-derivativeDirect496,648 Reported balance After 2003-05-20 transaction · row 18 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 18 · 2003-05-20 · Sale · Disposed 150 · Balance 496,648

Common StockSEC Table I · non-derivativeDirect496,200 Reported balance After 2003-05-20 transaction · row 19 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 19 · 2003-05-20 · Sale · Disposed 448 · Balance 496,200

Common StockSEC Table I · non-derivativeDirect495,200 Reported balance After 2003-05-20 transaction · row 20 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 20 · 2003-05-20 · Sale · Disposed 1,000 · Balance 495,200

Vroom, Inc.

Report date June 11, 2020 · Filed June 12, 2020

Jointly reported with GATES WILLIAM H III

Section 16 reporting ended · disclosed 2020-06-12. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common stockSEC Table I · non-derivativeDirect6,771,076 Reported balance After 2020-06-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-06-11 · Conversion · Acquired 6,771,076 · Balance 6,771,076

F1: Upon closing of the Issuer's initial public offering ("IPO"), the Series G preferred stock and Series H preferred stock converted automatically into common stock without payment of further consideration. There was no expiration date for the Series G preferred stock or Series H preferred stock.

F2: Reflects 2-for-1 forward stock split, which became effective upon the closing of the Issuer's IPO.

Series G preferred stockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-06-11 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-06-11 · Conversion · Disposed 2,785,365 · Balance 0

F1: Upon closing of the Issuer's initial public offering ("IPO"), the Series G preferred stock and Series H preferred stock converted automatically into common stock without payment of further consideration. There was no expiration date for the Series G preferred stock or Series H preferred stock.

F2: Reflects 2-for-1 forward stock split, which became effective upon the closing of the Issuer's IPO.

Series H preferred stockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-06-11 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2020-06-11 · Conversion · Disposed 600,173 · Balance 0

F1: Upon closing of the Issuer's initial public offering ("IPO"), the Series G preferred stock and Series H preferred stock converted automatically into common stock without payment of further consideration. There was no expiration date for the Series G preferred stock or Series H preferred stock.

F2: Reflects 2-for-1 forward stock split, which became effective upon the closing of the Issuer's IPO.

Filing footnotes · ownership attribution and instrument terms

F1: Upon closing of the Issuer's initial public offering ("IPO"), the Series G preferred stock and Series H preferred stock converted automatically into common stock without payment of further consideration. There was no expiration date for the Series G preferred stock or Series H preferred stock.

F2: Reflects 2-for-1 forward stock split, which became effective upon the closing of the Issuer's IPO.

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 272 $59.47 $16,175.84
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 15

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,145

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 2,700 $59.48 $160,596.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 14

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,417

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 4,000 $59.49 $237,960.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 13

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,117

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 1,628 $59.56 $96,963.68
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 12

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,117

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 2,500 $59.63 $149,075.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 11

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,745

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 1,600 $59.66 $95,456.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 10

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,245

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 2,600 $59.67 $155,142.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 9

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,845

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 2,800 $59.77 $167,356.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 8

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,445

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 2,500 $59.80 $149,500.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 7

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,245

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 1,500 $59.82 $89,730.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 6

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,745

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 1,800 $59.83 $107,694.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 5

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,245

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 1,500 $59.90 $89,850.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 4

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,045

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 934 $60.00 $56,040.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 3

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,545

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 1,600 $60.02 $96,032.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 2

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,479

Read SEC document
January 29, 2008 Filed Jan 31, 2008 21:07 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 200 $60.05 $12,010.00
Disclosure

SEC source: 0001104659-08-006145 · a4.xml · nonDerivative · entry 1

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,079

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 100 $58.79 $5,879.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 17

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,279

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 200 $58.77 $11,754.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 16

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,379

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 1,000 $58.76 $58,760.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 15

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,579

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 500 $58.74 $29,370.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 14

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,579

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 100 $58.73 $5,873.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 13

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,079

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 700 $58.72 $41,104.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 12

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,179

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 600 $58.61 $35,166.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 11

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,879

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 5,000 $58.58 $292,900.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 10

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,479

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 200 $58.56 $11,712.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 9

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,479

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 300 $58.55 $17,565.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 8

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,679

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 200 $58.53 $11,706.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 7

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,979

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 600 $58.51 $35,106.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 6

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,179

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 200 $58.50 $11,700.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 5

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,779

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 5,000 $58.45 $292,250.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 4

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,979

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 5,200 $58.41 $303,732.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 3

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,979

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 4,500 $58.32 $262,440.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 2

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,179

Read SEC document
January 28, 2008 Filed Jan 31, 2008 11:04 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 SaleClass A Common Stock 5,000 $58.30 $291,500.00
Disclosure

SEC source: 0001104659-08-005900 · a4.xml · nonDerivative · entry 1

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,679

Read SEC document
January 22, 2008 Filed Jan 24, 2008 22:26 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 ConversionConvertible Promissory Note · Derivative Not disclosed Not disclosed Strike: $53.00 $10,000,000.00
Disclosure

SEC source: 0001104659-08-004396 · a4.xml · derivative · entry 2

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Class A Common Stock · 188,679 shares

Expires 2011-08-14

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: On January 22, 2008, Cascade Investment, L.L.C. converted $10,000,000 of its convertible promissory note (the "Note") that was previously issued to Cascade by GAMCO Investors, Inc. (the "Issuer") into shares of Class A Common Stock of the Issuer. Pursuant to its terms, the Note is convertible into Class A Common Stock at a conversion price of $53 per share.

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January 22, 2008 Filed Jan 24, 2008 22:26 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 ConversionClass A Common Stock 188,679 $53.00 $9,999,987.00
Disclosure

SEC source: 0001104659-08-004396 · a4.xml · nonDerivative · entry 1

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,679

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.

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May 18, 2007 Filed May 22, 2007 21:58 UTC GAMCO INVESTORS, INC. ET AL PEIX · Entity 16148 PurchaseCommon Stock 1,000 $14.28 $14,280.00
Disclosure

SEC source: 0001052192-07-000001 · edgar.xml · nonDerivative · entry 1

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

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May 18, 2007 Filed May 23, 2007 23:29 UTC Alto Ingredients, Inc. PEIX · Entity 5923 PurchaseCommon Stock 1,000 $14.28 $14,280.00
Disclosure

SEC source: 0001104659-07-042512 · a4.xml · nonDerivative · entry 1

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

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September 15, 2006 Filed Sep 15, 2006 21:11 UTC GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 OtherConvertible Promissory Note · Derivative Not disclosed Not disclosed Strike: $53.00 $50,000,000.00
Disclosure

SEC source: 0000902012-06-000035 · edgar.xml · derivative · entry 1

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Class A Common Stock · 943,396 shares

Expires 2011-08-14

F1 · date: On June 30, 2006, the Issuer, Cascade Investment, L.L.C. and other parties entered into a Fourth Amendment to the Note Purchase Agreement dated August 10, 2001, pursuant to which the conversion price of the $50,000,000 aggregate principal amount Convertible Promissory Note (as amended to date, the "Note") previously issued by the Issuer to the Reporting Person was increased from $52 to $53 per share effective September 15, 2006.

F1 · kind: On June 30, 2006, the Issuer, Cascade Investment, L.L.C. and other parties entered into a Fourth Amendment to the Note Purchase Agreement dated August 10, 2001, pursuant to which the conversion price of the $50,000,000 aggregate principal amount Convertible Promissory Note (as amended to date, the "Note") previously issued by the Issuer to the Reporting Person was increased from $52 to $53 per share effective September 15, 2006.

F1 · reported_value: On June 30, 2006, the Issuer, Cascade Investment, L.L.C. and other parties entered into a Fourth Amendment to the Note Purchase Agreement dated August 10, 2001, pursuant to which the conversion price of the $50,000,000 aggregate principal amount Convertible Promissory Note (as amended to date, the "Note") previously issued by the Issuer to the Reporting Person was increased from $52 to $53 per share effective September 15, 2006.

F1 · price: On June 30, 2006, the Issuer, Cascade Investment, L.L.C. and other parties entered into a Fourth Amendment to the Note Purchase Agreement dated August 10, 2001, pursuant to which the conversion price of the $50,000,000 aggregate principal amount Convertible Promissory Note (as amended to date, the "Note") previously issued by the Issuer to the Reporting Person was increased from $52 to $53 per share effective September 15, 2006.

F1 · valueOwnedAfter: On June 30, 2006, the Issuer, Cascade Investment, L.L.C. and other parties entered into a Fourth Amendment to the Note Purchase Agreement dated August 10, 2001, pursuant to which the conversion price of the $50,000,000 aggregate principal amount Convertible Promissory Note (as amended to date, the "Note") previously issued by the Issuer to the Reporting Person was increased from $52 to $53 per share effective September 15, 2006.

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 500 $35.87 $17,935.00
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 30

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,113,001

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 1,000 $35.87 $35,870.00
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 29

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,112,501

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 1,000 $35.87 $35,870.00
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 28

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,111,501

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 400 $35.88 $14,352.00
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 27

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,110,501

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 1,100 $35.88 $39,468.00
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 26

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,110,101

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 900 $35.88 $32,292.90
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 25

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,109,001

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 600 $35.88 $21,529.80
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 24

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,108,101

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 500 $35.89 $17,943.00
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 23

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,107,501

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 700 $35.89 $25,122.30
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 22

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,107,001

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 3,700 $35.89 $132,793.00
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 21

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,106,301

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 300 $35.89 $10,767.90
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 20

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,102,601

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 700 $35.89 $25,125.80
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 19

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,102,301

Read SEC document
June 10, 2005 Filed Jun 14, 2005 21:33 UTC REPUBLIC SERVICES, INC. RSG · Entity 1686 PurchaseCommon Stock 1,000 $35.90 $35,895.00
Disclosure

SEC source: 0001052192-05-000005 · edgar.xml · nonDerivative · entry 18

CASCADE INVESTMENT LLC · CIK 0001052192 · 10% owner

GATES WILLIAM H III · CIK 0000902012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,101,601

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.