Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Archrock Partners, L.P.APLP · Entity 167205 | Director · SVP & CFO | April 26, 2017 | April 28, 2017 |
| Archrock, Inc.AROC · Entity 3837 | SVP and CFO | November 03, 2017 | November 06, 2017 |
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.
Archrock Partners, L.P.
Report date April 26, 2017 · Filed April 28, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Units with tandem DERsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2020-08-20 | Direct | 7,063 |
Reported balance
After 2017-04-26 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-04-26 · Grant · Acquired 7,063 · Balance 7,063 F1: Represents an award of phantom units with tandem Distribution Equivalent Rights (DERs) under the Archrock Partners, L.P. 2017 Long-Term Incentive Plan. The award vests one-third on each of August 20, 2018, August 20, 2019 and August 20, 2020, subject to continued employment on the respective date of vesting. The award is payable in common units and DERs are payable as and when they are paid to common unitholders. Each phantom unit is the economic equivalent of an APLP common unit. The award is subject to accelerated vesting or forfeiture under certain conditions as set out in a Change of Control Agreement, Severance Benefit Agreement and Award Notice and Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents an award of phantom units with tandem Distribution Equivalent Rights (DERs) under the Archrock Partners, L.P. 2017 Long-Term Incentive Plan. The award vests one-third on each of August 20, 2018, August 20, 2019 and August 20, 2020, subject to continued employment on the respective date of vesting. The award is payable in common units and DERs are payable as and when they are paid to common unitholders. Each phantom unit is the economic equivalent of an APLP common unit. The award is subject to accelerated vesting or forfeiture under certain conditions as set out in a Change of Control Agreement, Severance Benefit Agreement and Award Notice and Agreement.
Archrock, Inc.
Report date November 03, 2017 · Filed November 06, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 109,923 |
Reported balance
After 2017-11-03 transaction · row 1
1 source rowRow 1 · 2017-11-03 · Tax withholding · Disposed 4,312 · Balance 109,923 F1: Issuer withheld the maximum allowable shares to satisfy the tax withholding obligations associated with the vesting of restricted shares. |
Filing footnotes · ownership attribution and instrument terms
F1: Issuer withheld the maximum allowable shares to satisfy the tax withholding obligations associated with the vesting of restricted shares.
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 |
|---|---|---|---|---|---|---|
| November 03, 2017 Filed Nov 6, 2017 14:31 UTC | Archrock, Inc. AROC · Entity 3837 | Tax withholdingCommon Stock | 4,312 | $10.85 | $46,785.20 |
DisclosureSEC source: 0001389050-17-000089 · wf-form4_150999669183011.xml · nonDerivative · entry 1 Miller David S · CIK 0001457663 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,923 F1 · kind: Issuer withheld the maximum allowable shares to satisfy the tax withholding obligations associated with the vesting of restricted shares. Read SEC document |
| September 22, 2017 Filed Sep 25, 2017 15:07 UTC | Archrock, Inc. AROC · Entity 3837 | Tax withholdingCommon Stock | 517 | $11.90 | $6,152.30 |
DisclosureSEC source: 0001389050-17-000079 · wf-form4_150636641019438.xml · nonDerivative · entry 1 Miller David S · CIK 0001457663 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,235 F1 · kind: Issuer withheld the maximum allowable shares to satisfy the tax withholding obligations associated with the vesting of restricted shares. Read SEC document |
| April 26, 2017 Filed Apr 28, 2017 14:26 UTC | Archrock Partners, L.P. APLP · Entity 167205 | GrantPhantom Units with tandem DERs · Derivative | 7,063 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001367064-17-000028 · wf-form4_149340399045366.xml · derivative · entry 1 Miller David S · CIK 0001457663 · Director · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,063 Underlying: Common Units · 7,063 shares Expires 2020-08-20 F1 · security: Represents an award of phantom units with tandem Distribution Equivalent Rights (DERs) under the Archrock Partners, L.P. 2017 Long-Term Incentive Plan. The award vests one-third on each of August 20, 2018, August 20, 2019 and August 20, 2020, subject to continued employment on the respective date of vesting. The award is payable in common units and DERs are payable as and when they are paid to common unitholders. Each phantom unit is the economic equivalent of an APLP common unit. The award is subject to accelerated vesting or forfeiture under certain conditions as set out in a Change of Control Agreement, Severance Benefit Agreement and Award Notice and Agreement. F1 · derivative.exercise_date: Represents an award of phantom units with tandem Distribution Equivalent Rights (DERs) under the Archrock Partners, L.P. 2017 Long-Term Incentive Plan. The award vests one-third on each of August 20, 2018, August 20, 2019 and August 20, 2020, subject to continued employment on the respective date of vesting. The award is payable in common units and DERs are payable as and when they are paid to common unitholders. Each phantom unit is the economic equivalent of an APLP common unit. The award is subject to accelerated vesting or forfeiture under certain conditions as set out in a Change of Control Agreement, Severance Benefit Agreement and Award Notice and Agreement. Read SEC document |
| March 17, 2017 Filed Mar 20, 2017 14:58 UTC | Archrock Partners, L.P. APLP · Entity 167205 | SaleCommon Units | 797 | $16.96 | $13,517.12 |
DisclosureSEC source: 0001367064-17-000017 · wf-form4_149003628239605.xml · nonDerivative · entry 1 Miller David S · CIK 0001457663 · Director · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,976 F1 · kind: This transaction was executed in accordance with a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2016. These units were sold in multiple transactions at prices ranging from $16.87 to $17.18, inclusive. Read SEC document |
| March 07, 2017 Filed Mar 7, 2017 18:26 UTC | Archrock, Inc. AROC · Entity 3837 | SaleCommon Stock | 3,265 | $13.23 | $43,195.95 |
DisclosureSEC source: 0001389050-17-000045 · wf-form4_148892915604987.xml · nonDerivative · entry 3 Miller David S · CIK 0001457663 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,752 F3 · kind: This transaction was executed in accordance with a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2016. These shares were sold in multiple transactions at prices ranging from $13.075 to $13.50, inclusive. Read SEC document |
| March 07, 2017 Filed Mar 7, 2017 17:49 UTC | Archrock Partners, L.P. APLP · Entity 167205 | SaleCommon Units | 446 | $17.76 | $7,920.96 |
DisclosureSEC source: 0001389050-17-000040 · wf-form4_148892695123630.xml · nonDerivative · entry 3 Miller David S · CIK 0001457663 · Director · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,773 F3 · kind: This transaction was executed in accordance with a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2016. These units were sold in multiple transactions at prices ranging from $17.74 to $17.79, inclusive. Read SEC document |
| March 04, 2017 Filed Mar 7, 2017 18:26 UTC | Archrock, Inc. AROC · Entity 3837 | Tax withholdingCommon Stock | 5,954 | $13.70 | $81,569.80 |
DisclosureSEC source: 0001389050-17-000045 · wf-form4_148892915604987.xml · nonDerivative · entry 2 Miller David S · CIK 0001457663 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,017 F2 · kind: Issuer withheld the maximum allowable shares to satisfy the tax withholding obligations associated with the vesting of restricted shares. Read SEC document |
| March 04, 2017 Filed Mar 7, 2017 17:49 UTC | Archrock Partners, L.P. APLP · Entity 167205 | Exercise / conversionPhantom Units with tandem DERs · Derivative | 5,315 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001389050-17-000040 · wf-form4_148892695123630.xml · derivative · entry 6 Miller David S · CIK 0001457663 · Director · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,629 Underlying: Common Units · 5,315 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: This transaction represents the vesting of one-third of the phantom units granted to the reporting person under the Archrock Partners, L.P. Long-Term Incentive Plan. Each phantom unit vested in the form of a common unit. Pursuant to applicable SEC reporting requirements, the settlement of the phantom units in exchange for common units is reported on this Form 4 as a disposition of the phantom units being settled and a simultaneous acquisition of the underlying common units. F1 · derivative.expiration_date: This transaction represents the vesting of one-third of the phantom units granted to the reporting person under the Archrock Partners, L.P. Long-Term Incentive Plan. Each phantom unit vested in the form of a common unit. Pursuant to applicable SEC reporting requirements, the settlement of the phantom units in exchange for common units is reported on this Form 4 as a disposition of the phantom units being settled and a simultaneous acquisition of the underlying common units. Read SEC document |
| March 04, 2017 Filed Mar 7, 2017 17:49 UTC | Archrock Partners, L.P. APLP · Entity 167205 | Exercise / conversionPhantom Units with tandem DERs · Derivative | 1,474 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001389050-17-000040 · wf-form4_148892695123630.xml · derivative · entry 5 Miller David S · CIK 0001457663 · Director · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,474 Underlying: Common Units · 1,474 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: This transaction represents the vesting of one-third of the phantom units granted to the reporting person under the Archrock Partners, L.P. Long-Term Incentive Plan. Each phantom unit vested in the form of a common unit. Pursuant to applicable SEC reporting requirements, the settlement of the phantom units in exchange for common units is reported on this Form 4 as a disposition of the phantom units being settled and a simultaneous acquisition of the underlying common units. F1 · derivative.expiration_date: This transaction represents the vesting of one-third of the phantom units granted to the reporting person under the Archrock Partners, L.P. Long-Term Incentive Plan. Each phantom unit vested in the form of a common unit. Pursuant to applicable SEC reporting requirements, the settlement of the phantom units in exchange for common units is reported on this Form 4 as a disposition of the phantom units being settled and a simultaneous acquisition of the underlying common units. Read SEC document |
| March 04, 2017 Filed Mar 7, 2017 17:49 UTC | Archrock Partners, L.P. APLP · Entity 167205 | Exercise / conversionPhantom Units with tandem DERs · Derivative | 1,503 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001389050-17-000040 · wf-form4_148892695123630.xml · derivative · entry 4 Miller David S · CIK 0001457663 · Director · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Units · 1,503 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: This transaction represents the vesting of one-third of the phantom units granted to the reporting person under the Archrock Partners, L.P. Long-Term Incentive Plan. Each phantom unit vested in the form of a common unit. Pursuant to applicable SEC reporting requirements, the settlement of the phantom units in exchange for common units is reported on this Form 4 as a disposition of the phantom units being settled and a simultaneous acquisition of the underlying common units. F1 · derivative.expiration_date: This transaction represents the vesting of one-third of the phantom units granted to the reporting person under the Archrock Partners, L.P. Long-Term Incentive Plan. Each phantom unit vested in the form of a common unit. Pursuant to applicable SEC reporting requirements, the settlement of the phantom units in exchange for common units is reported on this Form 4 as a disposition of the phantom units being settled and a simultaneous acquisition of the underlying common units. Read SEC document |
| March 04, 2017 Filed Mar 7, 2017 17:49 UTC | Archrock Partners, L.P. APLP · Entity 167205 | Tax withholdingCommon Units | 2,405 | $17.58 | $42,279.90 |
DisclosureSEC source: 0001389050-17-000040 · wf-form4_148892695123630.xml · nonDerivative · entry 2 Miller David S · CIK 0001457663 · Director · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,219 F2 · kind: Issuer withheld the maximum allowable units to satisfy the tax withholding obligations associated with the vesting of phantom units. Read SEC document |
| March 04, 2017 Filed Mar 7, 2017 17:49 UTC | Archrock Partners, L.P. APLP · Entity 167205 | Exercise / conversionCommon Units | 8,292 | $0.00 | $0.00 |
DisclosureSEC source: 0001389050-17-000040 · wf-form4_148892695123630.xml · nonDerivative · entry 1 Miller David S · CIK 0001457663 · Director · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,624 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 · kind: This transaction represents the vesting of one-third of the phantom units granted to the reporting person under the Archrock Partners, L.P. Long-Term Incentive Plan. Each phantom unit vested in the form of a common unit. Pursuant to applicable SEC reporting requirements, the settlement of the phantom units in exchange for common units is reported on this Form 4 as a disposition of the phantom units being settled and a simultaneous acquisition of the underlying common units. Read SEC document |
| March 03, 2017 Filed Mar 7, 2017 18:26 UTC | Archrock, Inc. AROC · Entity 3837 | GrantCommon Stock | 20,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001389050-17-000045 · wf-form4_148892915604987.xml · nonDerivative · entry 1 Miller David S · CIK 0001457663 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,971 F1 · kind: This award represents a grant of restricted stock under the Archrock, Inc. 2013 Stock Incentive Plan (the "Plan") that vests one-third on each of August 20, 2018, August 20, 2019 and August 20, 2020, subject to continued employment on each vest date. The award is also subject to accelerated vesting or forfeiture under certain conditions as set out in a Change of Control Agreement, Severance BenefitAgreement and Award Notice and Agreement entered into by the issuer and the reporting person. Read SEC document |
| November 03, 2016 Filed Nov 7, 2016 14:03 UTC | Archrock, Inc. AROC · Entity 3837 | Tax withholdingCommon Stock | 2,909 | $11.00 | $31,999.00 |
DisclosureSEC source: 0001389050-16-000108 · wf-form4_147854542657182.xml · nonDerivative · entry 1 Miller David S · CIK 0001457663 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,986 F1 · kind: Issuer withheld the maximum allowable shares to satisfy the tax withholding obligations associated with the vesting of restricted shares. Read SEC document |
| September 22, 2016 Filed Sep 23, 2016 12:15 UTC | Archrock, Inc. AROC · Entity 3837 | Tax withholdingCommon Stock | 517 | $12.26 | $6,338.42 |
DisclosureSEC source: 0001389050-16-000097 · wf-form4_147464733813173.xml · nonDerivative · entry 1 Miller David S · CIK 0001457663 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,895 F1 · kind: Issuer withheld the maximum allowable shares to satisfy the tax withholding obligations associated with the vesting of restricted shares. 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.