Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CONOCOPHILLIPSCOP · Entity 658 | Vice President and Controller | February 12, 2009 | February 17, 2009 |
| TORTOISE ENERGY INDEPENDENCE FUND, INC.NDP · Entity 84717 | Director | January 21, 2022 | January 24, 2022 |
| TORTOISE ENERGY INFRASTRUCTURE CORPTYG · Entity 8897 | Director | January 21, 2022 | January 24, 2022 |
| TORTOISE PIPELINE & ENERGY FUND, INC.TTP · Entity 95263 | Director | January 21, 2022 | January 24, 2022 |
| TORTOISE POWER & ENERGY INFRASTRUCTURE FUND INCTPZ · Entity 73118 | Director | January 21, 2022 | January 24, 2022 |
| TORTOISE SUSTAINABLE & SOCIAL IMPACT TERM FUNDTEAF · Entity 73494 | Director | January 21, 2022 | January 24, 2022 |
| Tortoise Midstream Energy Fund, Inc.NTG · Entity 84716 | Director | January 21, 2022 | January 24, 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.
CONOCOPHILLIPS
Report date February 12, 2009 · Filed February 17, 2009
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (rights to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $45.47 · Expires 2019-02-12 | Direct | 34,300 |
Reported balance
After 2009-02-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2009-02-12 · Grant · Acquired 34,300 · Balance 34,300 F1: The stock options become exercisable in three equal annual installments beginning on February 12, 2010. |
| Stock UnitsSEC Table II · derivative / convertible security | Direct | 55,326 |
Reported balance
After 2009-02-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2009-02-12 · Grant · Acquired 7,104 · Balance 55,326 F2: The stock units convert to ConocoPhillips common stock on a 1-for-1 basis. F3: The stock units will be forfeited if the reporting person separates from service prior to the end of an escrow period ending on the earliest to occur of the following: (a) termination of employment as a result of layoff; (b) termination of employment after attainment of age 55 with five years of service; (c) termination of employment due to death or total disability; or (d) termination of employment following a change in control. During the escrow period, the reporting person may not dispose of the stock units. The stock units will convert to common stock on the later of (a) the end of the escrow period or (b) the earlier of death or six months after separation from service. The reporting person may also elect to defer conversion of stock units until a later date. F4: The stock units do not have an expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock options become exercisable in three equal annual installments beginning on February 12, 2010.
F2: The stock units convert to ConocoPhillips common stock on a 1-for-1 basis.
F3: The stock units will be forfeited if the reporting person separates from service prior to the end of an escrow period ending on the earliest to occur of the following: (a) termination of employment as a result of layoff; (b) termination of employment after attainment of age 55 with five years of service; (c) termination of employment due to death or total disability; or (d) termination of employment following a change in control. During the escrow period, the reporting person may not dispose of the stock units. The stock units will convert to common stock on the later of (a) the end of the escrow period or (b) the earlier of death or six months after separation from service. The reporting person may also elect to defer conversion of stock units until a later date.
F4: The stock units do not have an expiration date.
TORTOISE ENERGY INDEPENDENCE FUND, INC.
Report date January 21, 2022 · Filed January 24, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 1,292 |
Reported balance
After 2022-01-21 transaction · row 1
1 source rowRow 1 · 2022-01-21 · Purchase · Acquired 100 · Balance 1,292 |
TORTOISE ENERGY INFRASTRUCTURE CORP
Report date January 21, 2022 · Filed January 24, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 1,196 |
Reported balance
After 2022-01-21 transaction · row 1
1 source rowRow 1 · 2022-01-21 · Purchase · Acquired 100 · Balance 1,196 |
TORTOISE PIPELINE & ENERGY FUND, INC.
Report date January 21, 2022 · Filed January 24, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 958 |
Reported balance
After 2022-01-21 transaction · row 1
1 source rowRow 1 · 2022-01-21 · Purchase · Acquired 100 · Balance 958 |
TORTOISE POWER & ENERGY INFRASTRUCTURE FUND INC
Report date January 21, 2022 · Filed January 24, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 2,092 |
Reported balance
After 2022-01-21 transaction · row 1
1 source rowRow 1 · 2022-01-21 · Purchase · Acquired 100 · Balance 2,092 |
TORTOISE SUSTAINABLE & SOCIAL IMPACT TERM FUND
Report date January 21, 2022 · Filed January 24, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 1,111 |
Reported balance
After 2022-01-21 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-01-21 · Purchase · Acquired 100 · Balance 1,111 F1: Includes 11 shares acquired under the TEAF dividend reinvestment plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 11 shares acquired under the TEAF dividend reinvestment plan.
Tortoise Midstream Energy Fund, Inc.
Report date January 21, 2022 · Filed January 24, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 735 |
Reported balance
After 2022-01-21 transaction · row 1
1 source rowRow 1 · 2022-01-21 · Purchase · Acquired 100 · Balance 735 |
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 |
|---|---|---|---|---|---|---|
| August 09, 2004 Filed Aug 11, 2004 13:48 UTC | CONOCOPHILLIPS COP · Entity 658 | Exercise / conversionStock Options (right to buy) · Derivative | 2,958 | $0.00 Strike: $31.44 | $0.00 |
DisclosureSEC source: 0001234266-04-000190 · edgar.xml · derivative · entry 3 BERNEY RAND C · CIK 0001234248 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,958 shares Expires 2005-01-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The stock options became immediately exercisable upon the approval by the stockholders of Phillips Petroleum Company of the proposed merger with Conoco Inc. at the special meeting of Phillips stockholders held on March 12, 2002. Read SEC document |
| August 09, 2004 Filed Aug 11, 2004 13:48 UTC | CONOCOPHILLIPS COP · Entity 658 | Exercise / conversionCommon Stock | 2,958 | $31.44 | $92,999.52 |
DisclosureSEC source: 0001234266-04-000190 · edgar.xml · nonDerivative · entry 1 BERNEY RAND C · CIK 0001234248 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,776 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 |
| February 08, 2004 Filed Feb 11, 2004 00:34 UTC | CONOCOPHILLIPS COP · Entity 658 | GrantStock Options (right to buy) · Derivative | 16,800 | $0.00 Strike: $65.62 | $0.00 |
DisclosureSEC source: 0001234266-04-000065 · edgar.xml · derivative · entry 3 BERNEY RAND C · CIK 0001234248 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,800 Underlying: Common Stock · 16,800 shares Expires 2014-02-08 F2 · derivative.exercise_date: The stock options become exercisable in three equal annual installments beginning on February 8, 2005. Read SEC document |
| February 08, 2004 Filed Feb 11, 2004 00:34 UTC | CONOCOPHILLIPS COP · Entity 658 | GrantCommon Stock | 1,314 | $0.00 | $0.00 |
DisclosureSEC source: 0001234266-04-000065 · edgar.xml · nonDerivative · entry 1 BERNEY RAND C · CIK 0001234248 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,818 F1 · shares: The shares acquired consist of restricted stock. Read SEC document |
| January 20, 2004 Filed Jan 23, 2004 02:22 UTC | CONOCOPHILLIPS COP · Entity 658 | GrantPhantom Stock · Derivative | 156.117 | $66.42 | $10,369.29 |
DisclosureSEC source: 0001234266-04-000037 · edgar.xml · derivative · entry 1 BERNEY RAND C · CIK 0001234248 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800.092 Underlying: Common Stock · 156.117 shares Expires not disclosed F1 · derivative.exercise_price: The shares of phantom stock convert to ConocoPhillips common stock on a 1-for-1 basis. F2 · derivative.exercise_date: The shares of phantom stock were acquired under a Defined Contribution Makeup Plan providing for settlement upon termination of employment, subject to possible deferred payment in certain circumstances. The reporting of this transaction is not an acknowledgment that it is not an exempt transaction under an Excess Benefit Plan pursuant to Rule 16b-3(c). F2 · derivative.expiration_date: The shares of phantom stock were acquired under a Defined Contribution Makeup Plan providing for settlement upon termination of employment, subject to possible deferred payment in certain circumstances. The reporting of this transaction is not an acknowledgment that it is not an exempt transaction under an Excess Benefit Plan pursuant to Rule 16b-3(c). Read SEC document |
| November 20, 2003 Filed Nov 24, 2003 22:54 UTC | CONOCOPHILLIPS COP · Entity 658 | Exercise / conversionStock Options (right to buy) · Derivative | 429 | $0.00 Strike: $34.82 | $0.00 |
DisclosureSEC source: 0001234266-03-000116 · edgar.xml · derivative · entry 6 BERNEY RAND C · CIK 0001234248 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 429 shares Expires 2004-09-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 20, 2003 Filed Nov 24, 2003 22:54 UTC | CONOCOPHILLIPS COP · Entity 658 | Exercise / conversionStock Options (right to buy) · Derivative | 1,209 | $0.00 Strike: $30.32 | $0.00 |
DisclosureSEC source: 0001234266-03-000116 · edgar.xml · derivative · entry 5 BERNEY RAND C · CIK 0001234248 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,209 shares Expires 2004-01-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 20, 2003 Filed Nov 24, 2003 22:54 UTC | CONOCOPHILLIPS COP · Entity 658 | Tax withholdingCommon Stock | 902 | $57.15 | $51,549.30 |
DisclosureSEC source: 0001234266-03-000116 · edgar.xml · nonDerivative · entry 3 BERNEY RAND C · CIK 0001234248 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,504 Read SEC document |
| November 20, 2003 Filed Nov 24, 2003 22:54 UTC | CONOCOPHILLIPS COP · Entity 658 | Exercise / conversionCommon Stock | 429 | $34.82 | $14,937.78 |
DisclosureSEC source: 0001234266-03-000116 · edgar.xml · nonDerivative · entry 2 BERNEY RAND C · CIK 0001234248 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,406 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 20, 2003 Filed Nov 24, 2003 22:54 UTC | CONOCOPHILLIPS COP · Entity 658 | Exercise / conversionCommon Stock | 1,209 | $30.32 | $36,656.88 |
DisclosureSEC source: 0001234266-03-000116 · edgar.xml · nonDerivative · entry 1 BERNEY RAND C · CIK 0001234248 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,977 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 02, 2003 Filed Sep 4, 2003 21:19 UTC | CONOCOPHILLIPS COP · Entity 658 | GrantPhantom Stock · Derivative | 4.476 | $56.72 | $253.88 |
DisclosureSEC source: 0001234266-03-000050 · edgar.xml · derivative · entry 1 BERNEY RAND C · CIK 0001234248 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 639.239 Underlying: Common Stock · 4.476 shares Expires not disclosed F1 · derivative.exercise_price: The shares of phantom stock convert to ConocoPhillips common stock on a 1-for-1 basis. F2 · derivative.exercise_date: The shares of phantom stock were acquired under a Defined Contribution Makeup Plan providing for settlement upon termination of employment, subject to possible deferred payment in certain circumstances. The reporting of this transaction is not an acknowledgment that it is not an exempt transaction under an Excess Benefit Plan pursuant to Rule 16b-3(c). F2 · derivative.expiration_date: The shares of phantom stock were acquired under a Defined Contribution Makeup Plan providing for settlement upon termination of employment, subject to possible deferred payment in certain circumstances. The reporting of this transaction is not an acknowledgment that it is not an exempt transaction under an Excess Benefit Plan pursuant to Rule 16b-3(c). Read SEC document |
| June 02, 2003 Filed Jun 4, 2003 19:27 UTC | CONOCOPHILLIPS COP · Entity 658 | GrantPhantom Stock · Derivative | 4.588 | $54.94 Strike: $0.00 | $252.06 |
DisclosureSEC source: 0001234250-03-000037 · edgar.xml · derivative · entry 1 BERNEY RAND C · CIK 0001234248 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 634.763 Underlying: Common Stock · 4.588 shares Expires 1988-08-08 F1 · derivative.exercise_price: The shares of phantom stock convert to ConocoPhillips common stock on a 1-for-1 basis. F2 · derivative.exercise_date: The shares of phantom stock were acquired under a Defined Contribution Makeup Plan providing for settlement upon termination of employment, subject to possible deferred payment in certain circumstances. The reporting of this transaction is not an acknowledgment that it is not an exempt transaction under an Excess Benefit Plan pursuant to Rule 16b-3(c). F2 · derivative.expiration_date: The shares of phantom stock were acquired under a Defined Contribution Makeup Plan providing for settlement upon termination of employment, subject to possible deferred payment in certain circumstances. The reporting of this transaction is not an acknowledgment that it is not an exempt transaction under an Excess Benefit Plan pursuant to Rule 16b-3(c). 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.