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person · Reporting owner

Smith Jill D.

Disclosed activity across 8 companies

Tapewire entity
1725
SEC CIK
0001463490

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Aspen Technology, Inc.AZPN · Entity 82028DirectorSeptember 01, 2023October 03, 2023
CHECK POINT SOFTWARE TECHNOLOGIES LTDCHKP · Entity 1642DirectorSeptember 02, 2026September 03, 2026
Endo International plcENDP · Entity 124463DirectorJune 09, 2017June 13, 2017
Evolent Health, Inc.EVH · Entity 5492DirectorJune 04, 2026June 08, 2026
R1 RCM Holdco Inc.NONE · Entity 125898DirectorJune 21, 2022June 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.

Aspen Technology, Inc.

Report date September 01, 2023 · Filed October 03, 2023 · Amendment

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,238 Reported balance After 2023-09-01 transaction · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · 2023-09-01 · Grant · Acquired 1,252 · Balance 2,238

F1: Each Restricted Stock Unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. The Restricted Stock Units were fully vested on the date of grant.

F2: The Restricted Stock Units were received as a grant for no consideration.

Common StockSEC Table I · non-derivativeDirect3,490 Reported balance After 2023-09-01 transaction · row 2 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 2 · 2023-09-01 · Grant · Acquired 1,252 · Balance 3,490

F3: Each Restricted Stock Unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. The Restricted Stock Units will fully vest on the last day of the fiscal year in which they were granted. The original Form 4 filing for this transaction incorrectly stated that the Restricted Stock Units would vest on the first anniversary of the date of grant.

F2: The Restricted Stock Units were received as a grant for no consideration.

Filing footnotes · ownership attribution and instrument terms

F1: Each Restricted Stock Unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. The Restricted Stock Units were fully vested on the date of grant.

F2: The Restricted Stock Units were received as a grant for no consideration.

F3: Each Restricted Stock Unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. The Restricted Stock Units will fully vest on the last day of the fiscal year in which they were granted. The original Form 4 filing for this transaction incorrectly stated that the Restricted Stock Units would vest on the first anniversary of the date of grant.

CHECK POINT SOFTWARE TECHNOLOGIES LTD

Report date September 02, 2026 · Filed September 03, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Ordinary Shares, NIS 0.01 Per ShareSEC Table I · non-derivativeDirect4,236 Reported balance After 2026-09-02 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-09-02 · Grant · Acquired 1,120 · Balance 4,236

F1: The Reporting Person was granted by the Issuer 1,120 Restricted Share Units (RSUs) that are scheduled to vest as follows: 560 on March 2, 2027, 280 on June 2, 2027, 280 on September 2, 2027, subject to the Reporting Person's continued service as a Service Provider of the Issuer on each vesting date. Each RSU represents the right to receive one Ordinary Share of the Issuer upon vesting and settlement.

F2: Includes 1,853 RSUs that are scheduled to vest as follows: 367 on November 1, 2026, 560 on March 2, 2027, 280 on June 2, 2027, 280 on September 2, 2027, 366 on November 1, 2027, subject to the Reporting Person's continued service as a Service Provider of the Issuer on each vesting date. Each RSU represents the right to receive one Ordinary Share of the Issuer upon vesting and settlement.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $133.89 · Expires 2033-09-01Direct5,000 Reported balance After 2026-09-02 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2026-09-02 · Grant · Acquired 5,000 · Balance 5,000

F3: The Reporting Person was granted by the Issuer options to purchase 5,000 Ordinary Shares that are scheduled to vest as follows: 2,500 on March 2, 2027, 1,250 on June 2, 2027, 1,250 on September 2, 2027, subject to the Reporting Person's continued service as a Service Provider of the Issuer on each vesting date.

F4: In addition, there are 35,000 Ordinary Shares underlying options held by the Reporting Person, of which 22,500 are vested as of September 3, 2026, and the remaining 12,500 Ordinary Shares underlying the option will vest as follows: 6,250 options on November 1, 2026, and 6,250 options on November 1, 2027, subject to the Reporting Person's continued service as a Service Provider of the Issuer on the vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person was granted by the Issuer 1,120 Restricted Share Units (RSUs) that are scheduled to vest as follows: 560 on March 2, 2027, 280 on June 2, 2027, 280 on September 2, 2027, subject to the Reporting Person's continued service as a Service Provider of the Issuer on each vesting date. Each RSU represents the right to receive one Ordinary Share of the Issuer upon vesting and settlement.

F2: Includes 1,853 RSUs that are scheduled to vest as follows: 367 on November 1, 2026, 560 on March 2, 2027, 280 on June 2, 2027, 280 on September 2, 2027, 366 on November 1, 2027, subject to the Reporting Person's continued service as a Service Provider of the Issuer on each vesting date. Each RSU represents the right to receive one Ordinary Share of the Issuer upon vesting and settlement.

F3: The Reporting Person was granted by the Issuer options to purchase 5,000 Ordinary Shares that are scheduled to vest as follows: 2,500 on March 2, 2027, 1,250 on June 2, 2027, 1,250 on September 2, 2027, subject to the Reporting Person's continued service as a Service Provider of the Issuer on each vesting date.

F4: In addition, there are 35,000 Ordinary Shares underlying options held by the Reporting Person, of which 22,500 are vested as of September 3, 2026, and the remaining 12,500 Ordinary Shares underlying the option will vest as follows: 6,250 options on November 1, 2026, and 6,250 options on November 1, 2027, subject to the Reporting Person's continued service as a Service Provider of the Issuer on the vesting date.

Endo International plc

Report date June 09, 2017 · Filed June 13, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Ordinary SharesSEC Table I · non-derivativeDirect43,719 Reported balance After 2017-06-09 transaction · row 1
1 source row

Row 1 · 2017-06-09 · Grant · Acquired 23,934 · Balance 43,719

F1: These ordinary shares were granted to Ms. Smith on June 9, 2017 in consideration of her services on Endo International plc's Board of Directors.

Filing footnotes · ownership attribution and instrument terms

F1: These ordinary shares were granted to Ms. Smith on June 9, 2017 in consideration of her services on Endo International plc's Board of Directors.

Evolent Health, Inc.

Report date June 04, 2026 · Filed June 08, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect64,233 Reported balance After 2026-06-04 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-06-04 · Grant · Acquired 41,096 · Balance 64,233

F1: Represents restricted stock units granted to Ms. Smith pursuant to the Amended and Restated Evolent Health, Inc. 2015 Omnibus Incentive Compensation Plan.

F2: Securities vest on the earlier of June 4, 2027, and the date of the Company's 2027 annual meeting, subject to the reporting person's continued service on the vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: Represents restricted stock units granted to Ms. Smith pursuant to the Amended and Restated Evolent Health, Inc. 2015 Omnibus Incentive Compensation Plan.

F2: Securities vest on the earlier of June 4, 2027, and the date of the Company's 2027 annual meeting, subject to the reporting person's continued service on the vesting date.

R1 RCM Holdco Inc.

Report date June 21, 2022 · Filed June 24, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2022-06-21 transaction · row 1
1 source row

Row 1 · 2022-06-21 · Disposition to issuer · Disposed 26,505 · Balance 0

F1: On June 21, 2022, pursuant to the Transaction Agreement and Plan of Merger, dated as of January 9, 2022, by and among R1 RCM Holdco Inc. (f/k/a R1 RCM Inc.) (the "Company"), R1 RCM Inc. (f/k/a Project Roadrunner Parent Inc.) ("New R1"), Project Roadrunner Merger Sub Inc. ("R1 Merger Sub"), CoyCo 1, L.P., CoyCo 2, L.P. and certain other parties, R1 Merger Sub was merged with and into the Company, with the Company surviving as a direct, wholly owned subsidiary of New R1 (the "Reorganization").

F2: Upon consummation of the Reorganization, each share of the Company's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of New R1 and the Company's stockholders became stockholders of New R1. In addition, each restricted stock unit ("RSU") and option to purchase shares of common stock of the Company issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding RSU or option to purchase shares of common stock of New R1, subject to the same terms and conditions (including applicable vesting terms) as were applicable to RSUs or options to purchase shares immediately prior to the consummation of the Reorganization.

Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.75 · Expires 2030-05-28Direct0 Reported balance After 2022-06-21 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2022-06-21 · Disposition to issuer · Disposed 15,407 · Balance 0

F2: Upon consummation of the Reorganization, each share of the Company's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of New R1 and the Company's stockholders became stockholders of New R1. In addition, each restricted stock unit ("RSU") and option to purchase shares of common stock of the Company issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding RSU or option to purchase shares of common stock of New R1, subject to the same terms and conditions (including applicable vesting terms) as were applicable to RSUs or options to purchase shares immediately prior to the consummation of the Reorganization.

F3: Option was granted under a stock incentive plan, in a transaction exempt under Rule 16(b)-3. The option is fully vested.

Restricted Stock UnitSEC Table II · derivative / convertible securityDirect0 Reported balance After 2022-06-21 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2022-06-21 · Disposition to issuer · Disposed 6,039 · Balance 0

F4: Each RSU represents a contingent right to receive one share of the Company's common stock.

F2: Upon consummation of the Reorganization, each share of the Company's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of New R1 and the Company's stockholders became stockholders of New R1. In addition, each restricted stock unit ("RSU") and option to purchase shares of common stock of the Company issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding RSU or option to purchase shares of common stock of New R1, subject to the same terms and conditions (including applicable vesting terms) as were applicable to RSUs or options to purchase shares immediately prior to the consummation of the Reorganization.

F5: The RSUs will vest in one annual installment on May 27, 2023.

Filing footnotes · ownership attribution and instrument terms

F1: On June 21, 2022, pursuant to the Transaction Agreement and Plan of Merger, dated as of January 9, 2022, by and among R1 RCM Holdco Inc. (f/k/a R1 RCM Inc.) (the "Company"), R1 RCM Inc. (f/k/a Project Roadrunner Parent Inc.) ("New R1"), Project Roadrunner Merger Sub Inc. ("R1 Merger Sub"), CoyCo 1, L.P., CoyCo 2, L.P. and certain other parties, R1 Merger Sub was merged with and into the Company, with the Company surviving as a direct, wholly owned subsidiary of New R1 (the "Reorganization").

F2: Upon consummation of the Reorganization, each share of the Company's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of New R1 and the Company's stockholders became stockholders of New R1. In addition, each restricted stock unit ("RSU") and option to purchase shares of common stock of the Company issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding RSU or option to purchase shares of common stock of New R1, subject to the same terms and conditions (including applicable vesting terms) as were applicable to RSUs or options to purchase shares immediately prior to the consummation of the Reorganization.

F3: Option was granted under a stock incentive plan, in a transaction exempt under Rule 16(b)-3. The option is fully vested.

F4: Each RSU represents a contingent right to receive one share of the Company's common stock.

F5: The RSUs will vest in one annual installment on May 27, 2023.

Past disclosures · reporting ended (3)

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

ASPENTECH Corp

Report date May 16, 2022 · Filed May 18, 2022

Section 16 reporting ended · disclosed 2022-05-18. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Ending reported balance After 2022-05-16 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2022-05-16 · Disposition to issuer · Disposed 1,211 · Balance 436

F1: On May 16, 2022, the closing of the transactions contemplated by the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Aspen Technology, Inc. ("AspenTech"), Emerson Electric Co., Emersub CX, Inc., ("New AspenTech") and certain other parties, occurred, pursuant to which AspenTech merged with a wholly owned subsidiary of New AspenTech (the "Merger"). Pursuant to the Merger, AspenTech became a wholly owned subsidiary of New AspenTech.

F2: At the effective time of the Merger (the "Effective Time"), each outstanding share of the AspenTech common stock (other than certain excluded shares) automatically converted into the right to receive $87.69 in cash (the "Cash Consideration"), plus 0.42 of a validly issued, fully paid and nonassessable share of New AspenTech.

Row 2 · 2022-05-16 · Disposition to issuer · Disposed 436 · Balance 0

F1: On May 16, 2022, the closing of the transactions contemplated by the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Aspen Technology, Inc. ("AspenTech"), Emerson Electric Co., Emersub CX, Inc., ("New AspenTech") and certain other parties, occurred, pursuant to which AspenTech merged with a wholly owned subsidiary of New AspenTech (the "Merger"). Pursuant to the Merger, AspenTech became a wholly owned subsidiary of New AspenTech.

F3: Reflects restricted stock units ("RSUs"). Each unvested RSU outstanding immediately prior to the Effective Time was cancelled and assumed by New AspenTech and converted into the right to receive an award of RSUs covering that number of shares of New AspenTech common stock, rounded down to the nearest whole share, equal to the product of (x) the number of shares of AspenTech common stock underlying such AspenTech RSU award and (y) the sum of (i) 0.42 and (ii) the quotient obtained by dividing (xx) $87.69 by (yy) the volume-weighted average price per share of the New AspenTech common stock on Nasdaq during the five trading days after the Effective Time (the sum obtained under clause (y), the "Aspen Equity Award Exchange Ratio").

F4: Each converted equity award described herein shall be subject to the same terms and conditions (including vesting and expiration schedule, as applicable) as applied to the corresponding AspenTech equity award as of immediately prior to the Effective Time.

Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $149.38 · Expires 2031-04-20Direct0 Reported balance After 2022-05-16 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2022-05-16 · Disposition to issuer · Disposed 1,288 · Balance 0

F1: On May 16, 2022, the closing of the transactions contemplated by the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Aspen Technology, Inc. ("AspenTech"), Emerson Electric Co., Emersub CX, Inc., ("New AspenTech") and certain other parties, occurred, pursuant to which AspenTech merged with a wholly owned subsidiary of New AspenTech (the "Merger"). Pursuant to the Merger, AspenTech became a wholly owned subsidiary of New AspenTech.

F4: Each converted equity award described herein shall be subject to the same terms and conditions (including vesting and expiration schedule, as applicable) as applied to the corresponding AspenTech equity award as of immediately prior to the Effective Time.

F6: Each AspenTech stock option ("AspenTech Stock Option") outstanding immediately prior to the Effective Time was cancelled and assumed by New AspenTech and converted into the right to receive a New AspenTech stock option ("Converted Option") covering that number of shares of New AspenTech common stock, rounded down to the nearest whole share, equal to the product of (i) the number of shares of AspenTech common stock underlying the corresponding AspenTech Stock Option as of immediately prior to the Effective Time multiplied by (ii) the Aspen Equity Award Exchange Ratio. The exercise price applicable to each Converted Option shall be equal to (i) the exercise price per share of AspenTech common stock applicable to the corresponding AspenTech Stock Option as of immediately prior to the Effective Time divided by (ii) the Aspen Equity Award Exchange Ratio, rounded up to the nearest whole cent.

F5: One third of the options granted at the exercise price of $149.38 will vest on the first anniversary of the grant and the remainder will vest in eight consecutive quarterly installments on the last business day of the quarter until fully vested (except as otherwise necessary to avoid vesting of a fractional share).

Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $129.50 · Expires 2031-08-31Direct0 Reported balance After 2022-05-16 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2022-05-16 · Disposition to issuer · Disposed 298 · Balance 0

F1: On May 16, 2022, the closing of the transactions contemplated by the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Aspen Technology, Inc. ("AspenTech"), Emerson Electric Co., Emersub CX, Inc., ("New AspenTech") and certain other parties, occurred, pursuant to which AspenTech merged with a wholly owned subsidiary of New AspenTech (the "Merger"). Pursuant to the Merger, AspenTech became a wholly owned subsidiary of New AspenTech.

F4: Each converted equity award described herein shall be subject to the same terms and conditions (including vesting and expiration schedule, as applicable) as applied to the corresponding AspenTech equity award as of immediately prior to the Effective Time.

F6: Each AspenTech stock option ("AspenTech Stock Option") outstanding immediately prior to the Effective Time was cancelled and assumed by New AspenTech and converted into the right to receive a New AspenTech stock option ("Converted Option") covering that number of shares of New AspenTech common stock, rounded down to the nearest whole share, equal to the product of (i) the number of shares of AspenTech common stock underlying the corresponding AspenTech Stock Option as of immediately prior to the Effective Time multiplied by (ii) the Aspen Equity Award Exchange Ratio. The exercise price applicable to each Converted Option shall be equal to (i) the exercise price per share of AspenTech common stock applicable to the corresponding AspenTech Stock Option as of immediately prior to the Effective Time divided by (ii) the Aspen Equity Award Exchange Ratio, rounded up to the nearest whole cent.

F7: The option granted at the exercise price of $129.50 was fully vested on the date of grant.

Filing footnotes · ownership attribution and instrument terms

F1: On May 16, 2022, the closing of the transactions contemplated by the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Aspen Technology, Inc. ("AspenTech"), Emerson Electric Co., Emersub CX, Inc., ("New AspenTech") and certain other parties, occurred, pursuant to which AspenTech merged with a wholly owned subsidiary of New AspenTech (the "Merger"). Pursuant to the Merger, AspenTech became a wholly owned subsidiary of New AspenTech.

F2: At the effective time of the Merger (the "Effective Time"), each outstanding share of the AspenTech common stock (other than certain excluded shares) automatically converted into the right to receive $87.69 in cash (the "Cash Consideration"), plus 0.42 of a validly issued, fully paid and nonassessable share of New AspenTech.

F3: Reflects restricted stock units ("RSUs"). Each unvested RSU outstanding immediately prior to the Effective Time was cancelled and assumed by New AspenTech and converted into the right to receive an award of RSUs covering that number of shares of New AspenTech common stock, rounded down to the nearest whole share, equal to the product of (x) the number of shares of AspenTech common stock underlying such AspenTech RSU award and (y) the sum of (i) 0.42 and (ii) the quotient obtained by dividing (xx) $87.69 by (yy) the volume-weighted average price per share of the New AspenTech common stock on Nasdaq during the five trading days after the Effective Time (the sum obtained under clause (y), the "Aspen Equity Award Exchange Ratio").

F4: Each converted equity award described herein shall be subject to the same terms and conditions (including vesting and expiration schedule, as applicable) as applied to the corresponding AspenTech equity award as of immediately prior to the Effective Time.

F5: One third of the options granted at the exercise price of $149.38 will vest on the first anniversary of the grant and the remainder will vest in eight consecutive quarterly installments on the last business day of the quarter until fully vested (except as otherwise necessary to avoid vesting of a fractional share).

F6: Each AspenTech stock option ("AspenTech Stock Option") outstanding immediately prior to the Effective Time was cancelled and assumed by New AspenTech and converted into the right to receive a New AspenTech stock option ("Converted Option") covering that number of shares of New AspenTech common stock, rounded down to the nearest whole share, equal to the product of (i) the number of shares of AspenTech common stock underlying the corresponding AspenTech Stock Option as of immediately prior to the Effective Time multiplied by (ii) the Aspen Equity Award Exchange Ratio. The exercise price applicable to each Converted Option shall be equal to (i) the exercise price per share of AspenTech common stock applicable to the corresponding AspenTech Stock Option as of immediately prior to the Effective Time divided by (ii) the Aspen Equity Award Exchange Ratio, rounded up to the nearest whole cent.

F7: The option granted at the exercise price of $129.50 was fully vested on the date of grant.

CIRCOR INTERNATIONAL INC

Report date October 18, 2023 · Filed October 18, 2023

Section 16 reporting ended · disclosed 2023-10-18. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Ending reported balance After 2023-10-18 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2023-10-18 · Exercise / conversion · Acquired 3,780 · Balance 17,491

Row 2 · 2023-10-18 · Disposition to issuer · Disposed 17,491 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger dated June 5, 2023 (as amended on June 26, 2023 by Amendment No. 1 to Agreement and Plan of Merger, as further amended on June 29, 2023 by Amendment No. 2 to Agreement and Plan of Merger, the "Merger Agreement"), by and among CIROCR International, Inc. ("CIRCOR"), Cube BidCo, Inc., a Delaware corporation ("Parent"), and Cube Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent, pursuant to which Cube Merger Sub, Inc. merged with and into CIRCOR, with CIRCOR remaining as the surviving corporation, at the effective time of the Merger (the "Effective Time"), (continued in Footnote 2)

F2: each issued and outstanding share of common stock, par value $0.01 per share, of CIRCOR ("Company Common Stock"), immediately prior to the Effective Time was converted into the right to receive an amount in cash equal to $56.00, without interest (the "Merger Consideration"), and as of the Effective Time, all such shares of Company Common Stock are no longer outstanding and were automatically cancelled and cease to exist.

Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2033-03-17Direct0 Reported balance After 2023-10-18 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2023-10-18 · Exercise / conversion · Disposed 3,780 · Balance 0

F3: The Restricted Stock Units ("RSUs") were granted to the Reporting Person by CIRCOR as part of equity incentive grants made by CIRCOR on March 17, 2023. Pursuant to the Merger Agreement, as of the Effective Time, each unvested RSU vested in full.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger dated June 5, 2023 (as amended on June 26, 2023 by Amendment No. 1 to Agreement and Plan of Merger, as further amended on June 29, 2023 by Amendment No. 2 to Agreement and Plan of Merger, the "Merger Agreement"), by and among CIROCR International, Inc. ("CIRCOR"), Cube BidCo, Inc., a Delaware corporation ("Parent"), and Cube Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent, pursuant to which Cube Merger Sub, Inc. merged with and into CIRCOR, with CIRCOR remaining as the surviving corporation, at the effective time of the Merger (the "Effective Time"), (continued in Footnote 2)

F2: each issued and outstanding share of common stock, par value $0.01 per share, of CIRCOR ("Company Common Stock"), immediately prior to the Effective Time was converted into the right to receive an amount in cash equal to $56.00, without interest (the "Merger Consideration"), and as of the Effective Time, all such shares of Company Common Stock are no longer outstanding and were automatically cancelled and cease to exist.

F3: The Restricted Stock Units ("RSUs") were granted to the Reporting Person by CIRCOR as part of equity incentive grants made by CIRCOR on March 17, 2023. Pursuant to the Merger Agreement, as of the Effective Time, each unvested RSU vested in full.

R1 RCM Inc. /DE

Report date November 19, 2024 · Filed November 19, 2024

Section 16 reporting ended · disclosed 2024-11-19. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2024-11-19 transaction · row 1
1 source row

Row 1 · 2024-11-19 · Disposition to issuer · Disposed 62,453 · Balance 0

F1: Pursuant to and in connection with the transactions contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), dated July 31, 2024, by and among the Issuer, Raven Acquisition Holdings, LLC ("Parent") and Project Raven Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), at the time of the Merger (the "Effective Time") the reported securities were disposed of, with 40,212 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"), cancelled and converted into the right to receive $14.30 per share in cash without interest (the "Merger Consideration").

F2: Represents 22,241 shares of Common Stock of the Issuer underlying restricted stock units ("RSUs") of the Issuer which, pursuant to the Merger Agreement, were, at the Effective Time, automatically cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of (a) the number of shares of Common Stock subject to such RSUs as of immediately prior to the Effective Time and (b) the Merger Consideration.

Stock Option (right to buy)SEC Table II · derivative / convertible securityDirect0 Reported balance After 2024-11-19 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2024-11-19 · Disposition to issuer · Disposed 15,407 · Balance 0

F3: Each outstanding option to purchase Common Stock ("Options") held by the Reporting Person that was outstanding and unexercised immediately prior to or upon the Effective Time, whether vested or unvested, was, at the Effective Time, automatically cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of (a) the number of shares of Common Stock subject to such Option and (b) the amount by which the Merger Consideration exceeds the applicable per share exercise price of such Option, with any Options that have a per share exercise price equal to or exceeding the Merger Consideration being cancelled for no consideration as of the Effective Time.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to and in connection with the transactions contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), dated July 31, 2024, by and among the Issuer, Raven Acquisition Holdings, LLC ("Parent") and Project Raven Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), at the time of the Merger (the "Effective Time") the reported securities were disposed of, with 40,212 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"), cancelled and converted into the right to receive $14.30 per share in cash without interest (the "Merger Consideration").

F2: Represents 22,241 shares of Common Stock of the Issuer underlying restricted stock units ("RSUs") of the Issuer which, pursuant to the Merger Agreement, were, at the Effective Time, automatically cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of (a) the number of shares of Common Stock subject to such RSUs as of immediately prior to the Effective Time and (b) the Merger Consideration.

F3: Each outstanding option to purchase Common Stock ("Options") held by the Reporting Person that was outstanding and unexercised immediately prior to or upon the Effective Time, whether vested or unvested, was, at the Effective Time, automatically cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of (a) the number of shares of Common Stock subject to such Option and (b) the amount by which the Merger Consideration exceeds the applicable per share exercise price of such Option, with any Options that have a per share exercise price equal to or exceeding the Merger Consideration being cancelled for no consideration as of the Effective Time.

Transaction history

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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
September 02, 2026 Filed Sep 3, 2026 20:17 UTC CHECK POINT SOFTWARE TECHNOLOGIES LTD CHKP · Entity 1642 GrantStock Options · Derivative 5,000 $133.89 Strike: $133.89 $669,450.00
Disclosure

SEC source: 0001178913-26-004415 · ownership.xml · derivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Ordinary Shares · 5,000 shares

Expires 2033-09-01

F3 · derivative.exercise_date: The Reporting Person was granted by the Issuer options to purchase 5,000 Ordinary Shares that are scheduled to vest as follows: 2,500 on March 2, 2027, 1,250 on June 2, 2027, 1,250 on September 2, 2027, subject to the Reporting Person's continued service as a Service Provider of the Issuer on each vesting date.

F4 · balance_after: In addition, there are 35,000 Ordinary Shares underlying options held by the Reporting Person, of which 22,500 are vested as of September 3, 2026, and the remaining 12,500 Ordinary Shares underlying the option will vest as follows: 6,250 options on November 1, 2026, and 6,250 options on November 1, 2027, subject to the Reporting Person's continued service as a Service Provider of the Issuer on the vesting date.

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September 02, 2026 Filed Sep 3, 2026 20:17 UTC CHECK POINT SOFTWARE TECHNOLOGIES LTD CHKP · Entity 1642 GrantOrdinary Shares, NIS 0.01 Per Share 1,120 $0.00 $0.00
Disclosure

SEC source: 0001178913-26-004415 · ownership.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,236

F1 · kind: The Reporting Person was granted by the Issuer 1,120 Restricted Share Units (RSUs) that are scheduled to vest as follows: 560 on March 2, 2027, 280 on June 2, 2027, 280 on September 2, 2027, subject to the Reporting Person's continued service as a Service Provider of the Issuer on each vesting date. Each RSU represents the right to receive one Ordinary Share of the Issuer upon vesting and settlement.

F2 · balance_after: Includes 1,853 RSUs that are scheduled to vest as follows: 367 on November 1, 2026, 560 on March 2, 2027, 280 on June 2, 2027, 280 on September 2, 2027, 366 on November 1, 2027, subject to the Reporting Person's continued service as a Service Provider of the Issuer on each vesting date. Each RSU represents the right to receive one Ordinary Share of the Issuer upon vesting and settlement.

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June 04, 2026 Filed Jun 8, 2026 20:22 UTC Evolent Health, Inc. EVH · Entity 5492 GrantClass A Common Stock 41,096 $0.00 $0.00
Disclosure

SEC source: 0001628908-26-000043 · wk-form4_1780950124.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,233

F1 · security: Represents restricted stock units granted to Ms. Smith pursuant to the Amended and Restated Evolent Health, Inc. 2015 Omnibus Incentive Compensation Plan.

F2 · shares: Securities vest on the earlier of June 4, 2027, and the date of the Company's 2027 annual meeting, subject to the reporting person's continued service on the vesting date.

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January 02, 2026 Filed Jan 6, 2026 21:10 UTC Evolent Health, Inc. EVH · Entity 5492 GrantClass A Common Stock 23,137 $0.00 $0.00
Disclosure

SEC source: 0001628908-26-000006 · wk-form4_1767733830.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,137

F1 · security: Represents restricted stock units granted to Ms. Smith pursuant to the Amended and Restated Evolent Health, Inc. 2015 Omnibus Incentive Compensation Plan.

F2 · shares: Securities vest on the earlier of January 2, 2027, and the date of the Company's 2026 annual meeting, subject to the reporting person's continued service on the vesting date.

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November 19, 2024 Filed Nov 19, 2024 22:13 UTC R1 RCM Inc. /DE RCM · Entity 85753 Disposition to issuerStock Option (right to buy) · Derivative 15,407 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-128786 · ownership.xml · derivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,407 shares

Expires not disclosed

F3 · derivative.exercise_price: Each outstanding option to purchase Common Stock ("Options") held by the Reporting Person that was outstanding and unexercised immediately prior to or upon the Effective Time, whether vested or unvested, was, at the Effective Time, automatically cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of (a) the number of shares of Common Stock subject to such Option and (b) the amount by which the Merger Consideration exceeds the applicable per share exercise price of such Option, with any Options that have a per share exercise price equal to or exceeding the Merger Consideration being cancelled for no consideration as of the Effective Time.

F3 · kind: Each outstanding option to purchase Common Stock ("Options") held by the Reporting Person that was outstanding and unexercised immediately prior to or upon the Effective Time, whether vested or unvested, was, at the Effective Time, automatically cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of (a) the number of shares of Common Stock subject to such Option and (b) the amount by which the Merger Consideration exceeds the applicable per share exercise price of such Option, with any Options that have a per share exercise price equal to or exceeding the Merger Consideration being cancelled for no consideration as of the Effective Time.

F3 · price: Each outstanding option to purchase Common Stock ("Options") held by the Reporting Person that was outstanding and unexercised immediately prior to or upon the Effective Time, whether vested or unvested, was, at the Effective Time, automatically cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of (a) the number of shares of Common Stock subject to such Option and (b) the amount by which the Merger Consideration exceeds the applicable per share exercise price of such Option, with any Options that have a per share exercise price equal to or exceeding the Merger Consideration being cancelled for no consideration as of the Effective Time.

F3 · derivative.exercise_date: Each outstanding option to purchase Common Stock ("Options") held by the Reporting Person that was outstanding and unexercised immediately prior to or upon the Effective Time, whether vested or unvested, was, at the Effective Time, automatically cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of (a) the number of shares of Common Stock subject to such Option and (b) the amount by which the Merger Consideration exceeds the applicable per share exercise price of such Option, with any Options that have a per share exercise price equal to or exceeding the Merger Consideration being cancelled for no consideration as of the Effective Time.

F3 · derivative.expiration_date: Each outstanding option to purchase Common Stock ("Options") held by the Reporting Person that was outstanding and unexercised immediately prior to or upon the Effective Time, whether vested or unvested, was, at the Effective Time, automatically cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of (a) the number of shares of Common Stock subject to such Option and (b) the amount by which the Merger Consideration exceeds the applicable per share exercise price of such Option, with any Options that have a per share exercise price equal to or exceeding the Merger Consideration being cancelled for no consideration as of the Effective Time.

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November 19, 2024 Filed Nov 19, 2024 22:13 UTC R1 RCM Inc. /DE RCM · Entity 85753 Disposition to issuerCommon Stock 62,453 $14.30 $893,077.90
Disclosure

SEC source: 0000950170-24-128786 · ownership.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Pursuant to and in connection with the transactions contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), dated July 31, 2024, by and among the Issuer, Raven Acquisition Holdings, LLC ("Parent") and Project Raven Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), at the time of the Merger (the "Effective Time") the reported securities were disposed of, with 40,212 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"), cancelled and converted into the right to receive $14.30 per share in cash without interest (the "Merger Consideration").

F2 · kind: Represents 22,241 shares of Common Stock of the Issuer underlying restricted stock units ("RSUs") of the Issuer which, pursuant to the Merger Agreement, were, at the Effective Time, automatically cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of (a) the number of shares of Common Stock subject to such RSUs as of immediately prior to the Effective Time and (b) the Merger Consideration.

F1 · acquired: Pursuant to and in connection with the transactions contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), dated July 31, 2024, by and among the Issuer, Raven Acquisition Holdings, LLC ("Parent") and Project Raven Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), at the time of the Merger (the "Effective Time") the reported securities were disposed of, with 40,212 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"), cancelled and converted into the right to receive $14.30 per share in cash without interest (the "Merger Consideration").

F2 · acquired: Represents 22,241 shares of Common Stock of the Issuer underlying restricted stock units ("RSUs") of the Issuer which, pursuant to the Merger Agreement, were, at the Effective Time, automatically cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of (a) the number of shares of Common Stock subject to such RSUs as of immediately prior to the Effective Time and (b) the Merger Consideration.

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May 23, 2024 Filed May 23, 2024 23:45 UTC R1 RCM Inc. /DE RCM · Entity 85753 GrantCommon Stock 6,590 $12.14 $80,002.60
Disclosure

SEC source: 0001628280-24-025052 · wk-form4_1716507926.xml · nonDerivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,453

F2 · shares: Represents RSUs issued to the reporting person pursuant to the R1 RCM Inc. director compensation plan in lieu of retainer fees of $80,000. Each RSU represents a contingent right to receive one share of the Company's common stock and will vest on May 23, 2025.

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May 23, 2024 Filed May 23, 2024 23:45 UTC R1 RCM Inc. /DE RCM · Entity 85753 GrantCommon Stock 15,651 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-025052 · wk-form4_1716507926.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,863

F1 · shares: Represents restricted stock units ("RSUs") issued to the reporting person that will vest on May 23, 2025. Each RSU represents a contingent right to receive one share of the Company's common stock.

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October 18, 2023 Filed Oct 18, 2023 17:20 UTC CIRCOR INTERNATIONAL INC CIR · Entity 108922 Exercise / conversionRestricted Stock Unit · Derivative 3,780 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001140361-23-048748 · form4.xml · derivative · entry 3

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,780 shares

Expires 2033-03-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · kind: The Restricted Stock Units ("RSUs") were granted to the Reporting Person by CIRCOR as part of equity incentive grants made by CIRCOR on March 17, 2023. Pursuant to the Merger Agreement, as of the Effective Time, each unvested RSU vested in full.

F3 · derivative.exercise_date: The Restricted Stock Units ("RSUs") were granted to the Reporting Person by CIRCOR as part of equity incentive grants made by CIRCOR on March 17, 2023. Pursuant to the Merger Agreement, as of the Effective Time, each unvested RSU vested in full.

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October 18, 2023 Filed Oct 18, 2023 17:20 UTC CIRCOR INTERNATIONAL INC CIR · Entity 108922 Disposition to issuerCommon Stock 17,491 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-048748 · form4.xml · nonDerivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: Pursuant to the Agreement and Plan of Merger dated June 5, 2023 (as amended on June 26, 2023 by Amendment No. 1 to Agreement and Plan of Merger, as further amended on June 29, 2023 by Amendment No. 2 to Agreement and Plan of Merger, the "Merger Agreement"), by and among CIROCR International, Inc. ("CIRCOR"), Cube BidCo, Inc., a Delaware corporation ("Parent"), and Cube Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent, pursuant to which Cube Merger Sub, Inc. merged with and into CIRCOR, with CIRCOR remaining as the surviving corporation, at the effective time of the Merger (the "Effective Time"), (continued in Footnote 2)

F2 · price: each issued and outstanding share of common stock, par value $0.01 per share, of CIRCOR ("Company Common Stock"), immediately prior to the Effective Time was converted into the right to receive an amount in cash equal to $56.00, without interest (the "Merger Consideration"), and as of the Effective Time, all such shares of Company Common Stock are no longer outstanding and were automatically cancelled and cease to exist.

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October 18, 2023 Filed Oct 18, 2023 17:20 UTC CIRCOR INTERNATIONAL INC CIR · Entity 108922 Exercise / conversionCommon Stock 3,780 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-048748 · form4.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,491

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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September 01, 2023 Filed Sep 6, 2023 16:44 UTC Aspen Technology, Inc. AZPN · Entity 82028 GrantCommon Stock 1,252 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-023793 · form4.xml · nonDerivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,490

F3 · security: Each Restricted Stock Unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. The Restricted Stock Units will fully vest on the first anniversary of the date of grant.

F2 · price: The Restricted Stock Units were received as a grant for no consideration.

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September 01, 2023 Filed Sep 6, 2023 16:44 UTC Aspen Technology, Inc. AZPN · Entity 82028 GrantCommon Stock 1,252 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-023793 · form4.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,238

F1 · security: Each Restricted Stock Unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. The Restricted Stock Units were fully vested on the date of grant.

F2 · price: The Restricted Stock Units were received as a grant for no consideration.

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September 01, 2023 Filed Oct 3, 2023 16:33 UTC Amendment Aspen Technology, Inc. AZPN · Entity 82028 GrantCommon Stock 1,252 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-025238 · form4a.xml · nonDerivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,490

F3 · security: Each Restricted Stock Unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. The Restricted Stock Units will fully vest on the last day of the fiscal year in which they were granted. The original Form 4 filing for this transaction incorrectly stated that the Restricted Stock Units would vest on the first anniversary of the date of grant.

F2 · price: The Restricted Stock Units were received as a grant for no consideration.

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September 01, 2023 Filed Oct 3, 2023 16:33 UTC Amendment Aspen Technology, Inc. AZPN · Entity 82028 GrantCommon Stock 1,252 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-025238 · form4a.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,238

F1 · security: Each Restricted Stock Unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. The Restricted Stock Units were fully vested on the date of grant.

F2 · price: The Restricted Stock Units were received as a grant for no consideration.

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August 15, 2023 Filed Aug 15, 2023 16:00 UTC CIRCOR INTERNATIONAL INC CIR · Entity 108922 Exercise / conversionRestricted Stock Unit · Derivative 5,840 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001562180-23-006349 · primarydocument.xml · derivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,840 shares

Expires 2032-08-15

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 Restricted Stock Units (RSUs), the conversion of which are reported herein, were granted to the Reporting Person by the issuer as part of equity incentive grants made by the issuer on 8/15/2022 utilizing a fair market value (FMV) of a share of the issuers stock of $19.74. The RSU grant vests in its entirety 12 months from date of grant, at which time the RSUs are received by the Reporting Person. This report reflects the full vesting of the original RSU grant and the acquisition by the Reporting Person of the underlying shares.

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August 15, 2023 Filed Aug 15, 2023 16:00 UTC CIRCOR INTERNATIONAL INC CIR · Entity 108922 Exercise / conversionCommon Stock 5,840 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-23-006349 · primarydocument.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,711

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: The Restricted Stock Units (RSUs), the conversion of which are reported herein, were granted to the Reporting Person by the issuer as part of equity incentive grants made by the issuer on 8/15/2022 utilizing a fair market value (FMV) of a share of the issuers stock of $19.74. The RSU grant vests in its entirety 12 months from date of grant, at which time the RSUs are received by the Reporting Person. This report reflects the full vesting of the original RSU grant and the acquisition by the Reporting Person of the underlying shares.

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May 18, 2023 Filed May 19, 2023 23:02 UTC R1 RCM Inc. /DE RCM · Entity 85753 GrantCommon Stock 2,383 $16.78 $39,986.74
Disclosure

SEC source: 0001628280-23-019153 · wf-form4_168453730992580.xml · nonDerivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,212

F2 · shares: Represents RSUs issued to the reporting person pursuant to the R1 RCM Inc. director compensation plan in lieu of retainer fees of $40,000. Each RSU represents a contingent right to receive one share of the Company's common stock and will vest on May 18, 2024.

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May 18, 2023 Filed May 19, 2023 23:02 UTC R1 RCM Inc. /DE RCM · Entity 85753 GrantCommon Stock 11,324 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-019153 · wf-form4_168453730992580.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,829

F1 · shares: Represents restricted stock units ("RSUs") issued to the reporting person that will vest on May 18, 2024. Each RSU represents a contingent right to receive one share of the Company's common stock.

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March 17, 2023 Filed Mar 21, 2023 18:26 UTC CIRCOR INTERNATIONAL INC CIR · Entity 108922 GrantRestricted Stock Unit · Derivative 3,780 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001014108-23-000068 · primary_doc.xml · derivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,780

Underlying: Common Stock · 3,780 shares

Expires 2033-03-17

F1 · derivative.exercise_date: The grant of Restricted Stock Units (RSUs), reported herein, entitles the Reporting Person to receive shares of the issuer common stock at the end of a one year vesting period. The RSUs automatically convert into shares of common stock on a one-for-one basis at no conversion cost to the Reporting Person.

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September 01, 2022 Filed Sep 6, 2022 18:02 UTC Aspen Technology, Inc. AZPN · Entity 82028 GrantCommon Stock 90 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-022123 · form4.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 986

F1 · security: Each Restricted Stock Unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. The Restricted Stock Units were fully vested on the date of grant.

F2 · price: The Restricted Stock Units were received as a grant for no consideration.

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August 15, 2022 Filed Aug 17, 2022 12:48 UTC CIRCOR INTERNATIONAL INC CIR · Entity 108922 GrantRestricted Stock Unit · Derivative 5,840 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001562180-22-006143 · primarydocument.xml · derivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,840

Underlying: Common Stock · 5,840 shares

Expires 2032-08-15

F1 · derivative.exercise_date: The grant of Restricted Stock Units (RSUs), reported herein, entitles the Reporting Person to receive shares of the issuer common stock at the end of a one year vesting period. The RSUs automatically convert into shares of common stock on a one-for-one basis at no conversion cost to the Reporting Person.

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June 21, 2022 Filed Jun 24, 2022 01:47 UTC R1 RCM Holdco Inc. NONE · Entity 125898 Disposition to issuerRestricted Stock Unit · Derivative 6,039 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-023867 · doc4.xml · derivative · entry 3

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,039 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Company's common stock.

F2 · shares: Upon consummation of the Reorganization, each share of the Company's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of New R1 and the Company's stockholders became stockholders of New R1. In addition, each restricted stock unit ("RSU") and option to purchase shares of common stock of the Company issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding RSU or option to purchase shares of common stock of New R1, subject to the same terms and conditions (including applicable vesting terms) as were applicable to RSUs or options to purchase shares immediately prior to the consummation of the Reorganization.

F2 · price: Upon consummation of the Reorganization, each share of the Company's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of New R1 and the Company's stockholders became stockholders of New R1. In addition, each restricted stock unit ("RSU") and option to purchase shares of common stock of the Company issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding RSU or option to purchase shares of common stock of New R1, subject to the same terms and conditions (including applicable vesting terms) as were applicable to RSUs or options to purchase shares immediately prior to the consummation of the Reorganization.

F5 · derivative.exercise_date: The RSUs will vest in one annual installment on May 27, 2023.

F5 · derivative.expiration_date: The RSUs will vest in one annual installment on May 27, 2023.

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June 21, 2022 Filed Jun 24, 2022 01:47 UTC R1 RCM Holdco Inc. NONE · Entity 125898 Disposition to issuerDirector Stock Option (right to buy) · Derivative 15,407 Not disclosed Strike: $10.75 Not disclosed
Disclosure

SEC source: 0000899243-22-023867 · doc4.xml · derivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,407 shares

Expires 2030-05-28

F2 · shares: Upon consummation of the Reorganization, each share of the Company's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of New R1 and the Company's stockholders became stockholders of New R1. In addition, each restricted stock unit ("RSU") and option to purchase shares of common stock of the Company issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding RSU or option to purchase shares of common stock of New R1, subject to the same terms and conditions (including applicable vesting terms) as were applicable to RSUs or options to purchase shares immediately prior to the consummation of the Reorganization.

F2 · price: Upon consummation of the Reorganization, each share of the Company's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of New R1 and the Company's stockholders became stockholders of New R1. In addition, each restricted stock unit ("RSU") and option to purchase shares of common stock of the Company issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding RSU or option to purchase shares of common stock of New R1, subject to the same terms and conditions (including applicable vesting terms) as were applicable to RSUs or options to purchase shares immediately prior to the consummation of the Reorganization.

F3 · derivative.exercise_date: Option was granted under a stock incentive plan, in a transaction exempt under Rule 16(b)-3. The option is fully vested.

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June 21, 2022 Filed Jun 24, 2022 01:47 UTC R1 RCM Holdco Inc. NONE · Entity 125898 Disposition to issuerCommon Stock 26,505 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-023867 · doc4.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: On June 21, 2022, pursuant to the Transaction Agreement and Plan of Merger, dated as of January 9, 2022, by and among R1 RCM Holdco Inc. (f/k/a R1 RCM Inc.) (the "Company"), R1 RCM Inc. (f/k/a Project Roadrunner Parent Inc.) ("New R1"), Project Roadrunner Merger Sub Inc. ("R1 Merger Sub"), CoyCo 1, L.P., CoyCo 2, L.P. and certain other parties, R1 Merger Sub was merged with and into the Company, with the Company surviving as a direct, wholly owned subsidiary of New R1 (the "Reorganization").

F2 · price: Upon consummation of the Reorganization, each share of the Company's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of New R1 and the Company's stockholders became stockholders of New R1. In addition, each restricted stock unit ("RSU") and option to purchase shares of common stock of the Company issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding RSU or option to purchase shares of common stock of New R1, subject to the same terms and conditions (including applicable vesting terms) as were applicable to RSUs or options to purchase shares immediately prior to the consummation of the Reorganization.

Read SEC document
June 21, 2022 Filed Jun 24, 2022 01:42 UTC R1 RCM Inc. /DE RCM · Entity 85753 GrantDirector Stock Option (right to buy) · Derivative 15,407 Not disclosed Strike: $10.75 Not disclosed
Disclosure

SEC source: 0000899243-22-023851 · doc4.xml · derivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,407

Underlying: Common Stock · 15,407 shares

Expires 2030-05-28

F2 · shares: Upon consummation of the Reorganization, each share of Old R1's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of the Company and Old R1's stockholders became stockholders of the Company. In addition, each restricted stock unit ("RSU") and option to purchase shares of common stock of Old R1 issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding RSU or option to purchase shares of common stock of the Company, subject to the same terms and conditions (including applicable vesting terms) as were applicable to RSUs or options to purchase shares immediately prior to the consummation of the Reorganization.

F2 · price: Upon consummation of the Reorganization, each share of Old R1's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of the Company and Old R1's stockholders became stockholders of the Company. In addition, each restricted stock unit ("RSU") and option to purchase shares of common stock of Old R1 issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding RSU or option to purchase shares of common stock of the Company, subject to the same terms and conditions (including applicable vesting terms) as were applicable to RSUs or options to purchase shares immediately prior to the consummation of the Reorganization.

F4 · derivative.exercise_date: Option was granted under a stock incentive plan, in a transaction exempt under Rule 16(b)-3. The option is fully vested.

Read SEC document
June 21, 2022 Filed Jun 24, 2022 01:42 UTC R1 RCM Inc. /DE RCM · Entity 85753 GrantCommon Stock 32,544 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-023851 · doc4.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,544

F1 · price: On June 21, 2022, pursuant to the Transaction Agreement and Plan of Merger, dated as of January 9, 2022, by and among R1 RCM Holdco Inc. (f/k/a R1 RCM Inc.) ("Old R1"), R1 RCM Inc. (f/k/a Project Roadrunner Parent Inc.) (the "Company"), Project Roadrunner Merger Sub Inc. ("R1 Merger Sub"), CoyCo 1, L.P., CoyCo 2, L.P. and certain other parties, R1 Merger Sub was merged with and into Old R1, with Old R1 surviving as a direct, wholly owned subsidiary of the Company (the "Reorganization").

F2 · price: Upon consummation of the Reorganization, each share of Old R1's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of the Company and Old R1's stockholders became stockholders of the Company. In addition, each restricted stock unit ("RSU") and option to purchase shares of common stock of Old R1 issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding RSU or option to purchase shares of common stock of the Company, subject to the same terms and conditions (including applicable vesting terms) as were applicable to RSUs or options to purchase shares immediately prior to the consummation of the Reorganization.

F3 · balance_after: Includes 26,505 shares of common stock and 6,039 RSUs. Each RSU represents a contingent right to receive one share of the Company's common stock.

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June 21, 2022 Filed Jul 5, 2022 23:43 UTC Amendment R1 RCM Inc. /DE RCM · Entity 85753 GrantDirector Stock Option (right to buy) · Derivative 13,970 Not disclosed Strike: $21.53 Not disclosed
Disclosure

SEC source: 0001628280-22-018549 · wf-form4a_165706461906863.xml · derivative · entry 3

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,970

Underlying: Common Stock · 13,970 shares

Expires 2032-05-27

F1 · security: This Amendment to the Form 4 filed by the reporting person on June 23, 2022 is being filed to correct a clerical error which resulted in reporting 6,039 restricted stock units in Columns 4 and 5 of Table I instead of an option to acquire 13,970 shares of common stock of the Company (as defined below).

F3 · shares: Upon consummation of the Reorganization, each share of Old R1's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of the Company and Old R1's stockholders became stockholders of the Company. In addition, each option to purchase shares of common stock of Old R1 issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding option to purchase shares of common stock of the Company, subject to the same terms and conditions (including applicable vesting terms) as were applicable to options to purchase shares immediately prior to the consummation of the Reorganization.

F3 · price: Upon consummation of the Reorganization, each share of Old R1's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of the Company and Old R1's stockholders became stockholders of the Company. In addition, each option to purchase shares of common stock of Old R1 issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding option to purchase shares of common stock of the Company, subject to the same terms and conditions (including applicable vesting terms) as were applicable to options to purchase shares immediately prior to the consummation of the Reorganization.

F5 · derivative.exercise_date: Option was granted under a stock incentive plan, in a transaction exempt under Rule 16(b)-3. The option will vest in one annual installment on May 27, 2023.

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June 21, 2022 Filed Jul 5, 2022 23:43 UTC Amendment R1 RCM Inc. /DE RCM · Entity 85753 GrantDirector Stock Option (right to buy) · Derivative 15,407 Not disclosed Strike: $10.75 Not disclosed
Disclosure

SEC source: 0001628280-22-018549 · wf-form4a_165706461906863.xml · derivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,407

Underlying: Common Stock · 15,407 shares

Expires 2030-05-28

F3 · shares: Upon consummation of the Reorganization, each share of Old R1's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of the Company and Old R1's stockholders became stockholders of the Company. In addition, each option to purchase shares of common stock of Old R1 issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding option to purchase shares of common stock of the Company, subject to the same terms and conditions (including applicable vesting terms) as were applicable to options to purchase shares immediately prior to the consummation of the Reorganization.

F3 · price: Upon consummation of the Reorganization, each share of Old R1's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of the Company and Old R1's stockholders became stockholders of the Company. In addition, each option to purchase shares of common stock of Old R1 issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding option to purchase shares of common stock of the Company, subject to the same terms and conditions (including applicable vesting terms) as were applicable to options to purchase shares immediately prior to the consummation of the Reorganization.

F4 · derivative.exercise_date: Option was granted under a stock incentive plan, in a transaction exempt under Rule 16(b)-3. The option is fully vested.

Read SEC document
June 21, 2022 Filed Jul 5, 2022 23:43 UTC Amendment R1 RCM Inc. /DE RCM · Entity 85753 GrantCommon Stock 26,505 Not disclosed Not disclosed
Disclosure

SEC source: 0001628280-22-018549 · wf-form4a_165706461906863.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,505

F1 · shares: This Amendment to the Form 4 filed by the reporting person on June 23, 2022 is being filed to correct a clerical error which resulted in reporting 6,039 restricted stock units in Columns 4 and 5 of Table I instead of an option to acquire 13,970 shares of common stock of the Company (as defined below).

F2 · price: On June 21, 2022, pursuant to the Transaction Agreement and Plan of Merger, dated as of January 9, 2022, by and among R1 RCM Holdco Inc. (f/k/a R1 RCM Inc.) ("Old R1"), R1 RCM Inc. (f/k/a Project Roadrunner Parent Inc.) (the "Company"), Project Roadrunner Merger Sub Inc. ("R1 Merger Sub"), CoyCo 1, L.P., CoyCo 2, L.P. and certain other parties, R1 Merger Sub was merged with and into Old R1, with Old R1 surviving as a direct, wholly owned subsidiary of the Company (the "Reorganization").

F3 · price: Upon consummation of the Reorganization, each share of Old R1's common stock issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding share of common stock of the Company and Old R1's stockholders became stockholders of the Company. In addition, each option to purchase shares of common stock of Old R1 issued and outstanding immediately prior to the Reorganization was automatically exchanged into an equivalent corresponding option to purchase shares of common stock of the Company, subject to the same terms and conditions (including applicable vesting terms) as were applicable to options to purchase shares immediately prior to the consummation of the Reorganization.

F1 · balance_after: This Amendment to the Form 4 filed by the reporting person on June 23, 2022 is being filed to correct a clerical error which resulted in reporting 6,039 restricted stock units in Columns 4 and 5 of Table I instead of an option to acquire 13,970 shares of common stock of the Company (as defined below).

Read SEC document
May 27, 2022 Filed Jun 1, 2022 01:12 UTC R1 RCM Holdco Inc. RCM · Entity 125898 GrantRestricted Stock Units · Derivative 6,039 $0.00 $0.00
Disclosure

SEC source: 0001628280-22-015811 · wf-form4_165404591786243.xml · derivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,039

Underlying: Common Stock · 6,039 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The RSUs will vest in one annual installment on May 27, 2023.

F2 · derivative.expiration_date: The RSUs will vest in one annual installment on May 27, 2023.

Read SEC document
May 23, 2022 Filed May 25, 2022 19:01 UTC Aspen Technology, Inc. AZPN · Entity 82028 GrantDirector Stock Option (Right to Buy) · Derivative 265 Not disclosed Strike: $145.35 Not disclosed
Disclosure

SEC source: 0001127602-22-015689 · form4.xml · derivative · entry 3

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265

Underlying: Common Stock · 265 shares

Expires 2031-08-31

F1 · kind: Represents equity awards granted by Aspen Technology, Inc. (which subsequently changed its name to "AspenTech Corporation", "Former AspenTech") that have been converted into equity awards of Emersub CX, Inc. (which subsequently changed its name to "Aspen Technology Inc.", the "Issuer") pursuant to the terms of the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Former AspenTech, the Issuer and certain other parties thereto (the "Transaction Agreement"), pursuant to which Former AspenTech merged with a wholly owned subsidiary of the Issuer and became a wholly owned subsidiary of the Issuer (the "Transaction"). The Transaction closed on May 16, 2022. Pursuant to the terms of the Transaction Agreement, the number of equity awards reported herein were determined on May 23, 2022, based on the five-day volume weighted average price of the Issuer's common stock following the closing of the Transaction.

F1 · price: Represents equity awards granted by Aspen Technology, Inc. (which subsequently changed its name to "AspenTech Corporation", "Former AspenTech") that have been converted into equity awards of Emersub CX, Inc. (which subsequently changed its name to "Aspen Technology Inc.", the "Issuer") pursuant to the terms of the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Former AspenTech, the Issuer and certain other parties thereto (the "Transaction Agreement"), pursuant to which Former AspenTech merged with a wholly owned subsidiary of the Issuer and became a wholly owned subsidiary of the Issuer (the "Transaction"). The Transaction closed on May 16, 2022. Pursuant to the terms of the Transaction Agreement, the number of equity awards reported herein were determined on May 23, 2022, based on the five-day volume weighted average price of the Issuer's common stock following the closing of the Transaction.

F4 · derivative.exercise_date: The option granted at the exercise price of $145.35 was fully vested on the date of grant.

Read SEC document
May 23, 2022 Filed May 25, 2022 19:01 UTC Aspen Technology, Inc. AZPN · Entity 82028 GrantDirector Stock Option (Right to Buy) · Derivative 1,147 Not disclosed Strike: $167.66 Not disclosed
Disclosure

SEC source: 0001127602-22-015689 · form4.xml · derivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,147

Underlying: Common Stock · 1,147 shares

Expires 2031-04-20

F1 · kind: Represents equity awards granted by Aspen Technology, Inc. (which subsequently changed its name to "AspenTech Corporation", "Former AspenTech") that have been converted into equity awards of Emersub CX, Inc. (which subsequently changed its name to "Aspen Technology Inc.", the "Issuer") pursuant to the terms of the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Former AspenTech, the Issuer and certain other parties thereto (the "Transaction Agreement"), pursuant to which Former AspenTech merged with a wholly owned subsidiary of the Issuer and became a wholly owned subsidiary of the Issuer (the "Transaction"). The Transaction closed on May 16, 2022. Pursuant to the terms of the Transaction Agreement, the number of equity awards reported herein were determined on May 23, 2022, based on the five-day volume weighted average price of the Issuer's common stock following the closing of the Transaction.

F1 · price: Represents equity awards granted by Aspen Technology, Inc. (which subsequently changed its name to "AspenTech Corporation", "Former AspenTech") that have been converted into equity awards of Emersub CX, Inc. (which subsequently changed its name to "Aspen Technology Inc.", the "Issuer") pursuant to the terms of the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Former AspenTech, the Issuer and certain other parties thereto (the "Transaction Agreement"), pursuant to which Former AspenTech merged with a wholly owned subsidiary of the Issuer and became a wholly owned subsidiary of the Issuer (the "Transaction"). The Transaction closed on May 16, 2022. Pursuant to the terms of the Transaction Agreement, the number of equity awards reported herein were determined on May 23, 2022, based on the five-day volume weighted average price of the Issuer's common stock following the closing of the Transaction.

F3 · derivative.exercise_date: One third of the options granted at the exercise price of $167.66 will vest on the first anniversary of the grant and the remainder will vest in eight consecutive quarterly installments on the last business day of the quarter until fully vested (except as otherwise necessary to avoid vesting of a fractional share).

Read SEC document
May 23, 2022 Filed May 25, 2022 19:01 UTC Aspen Technology, Inc. AZPN · Entity 82028 GrantCommon Stock 388 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-22-015689 · form4.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 896

F1 · kind: Represents equity awards granted by Aspen Technology, Inc. (which subsequently changed its name to "AspenTech Corporation", "Former AspenTech") that have been converted into equity awards of Emersub CX, Inc. (which subsequently changed its name to "Aspen Technology Inc.", the "Issuer") pursuant to the terms of the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Former AspenTech, the Issuer and certain other parties thereto (the "Transaction Agreement"), pursuant to which Former AspenTech merged with a wholly owned subsidiary of the Issuer and became a wholly owned subsidiary of the Issuer (the "Transaction"). The Transaction closed on May 16, 2022. Pursuant to the terms of the Transaction Agreement, the number of equity awards reported herein were determined on May 23, 2022, based on the five-day volume weighted average price of the Issuer's common stock following the closing of the Transaction.

F2 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of Issuer common stock.

F1 · price: Represents equity awards granted by Aspen Technology, Inc. (which subsequently changed its name to "AspenTech Corporation", "Former AspenTech") that have been converted into equity awards of Emersub CX, Inc. (which subsequently changed its name to "Aspen Technology Inc.", the "Issuer") pursuant to the terms of the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Former AspenTech, the Issuer and certain other parties thereto (the "Transaction Agreement"), pursuant to which Former AspenTech merged with a wholly owned subsidiary of the Issuer and became a wholly owned subsidiary of the Issuer (the "Transaction"). The Transaction closed on May 16, 2022. Pursuant to the terms of the Transaction Agreement, the number of equity awards reported herein were determined on May 23, 2022, based on the five-day volume weighted average price of the Issuer's common stock following the closing of the Transaction.

Read SEC document
May 21, 2022 Filed May 24, 2022 00:30 UTC R1 RCM Holdco Inc. RCM · Entity 125898 Exercise / conversionRestricted Stock Units · Derivative 5,151 $0.00 $0.00
Disclosure

SEC source: 0001628280-22-015250 · wf-form4_165335222778877.xml · derivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,151 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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The RSUs vested in one annual installment on May 21, 2022.

F3 · derivative.expiration_date: The RSUs vested in one annual installment on May 21, 2022.

Read SEC document
May 21, 2022 Filed May 24, 2022 00:30 UTC R1 RCM Holdco Inc. RCM · Entity 125898 Exercise / conversionCommon Stock 5,151 Not disclosed Not disclosed
Disclosure

SEC source: 0001628280-22-015250 · wf-form4_165335222778877.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,505

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: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On May 21, 2021, the reporting person was granted 5,151 RSUs that were previously reported on Table II of Form 4.

F1 · price: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On May 21, 2021, the reporting person was granted 5,151 RSUs that were previously reported on Table II of Form 4.

Read SEC document
May 16, 2022 Filed May 18, 2022 16:47 UTC ASPENTECH Corp AZPN · Entity 127212 Disposition to issuerDirector Stock Option (Right to Buy) · Derivative 298 Not disclosed Strike: $129.50 Not disclosed
Disclosure

SEC source: 0001127602-22-014975 · form4.xml · derivative · entry 4

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 298 shares

Expires 2031-08-31

F1 · kind: On May 16, 2022, the closing of the transactions contemplated by the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Aspen Technology, Inc. ("AspenTech"), Emerson Electric Co., Emersub CX, Inc., ("New AspenTech") and certain other parties, occurred, pursuant to which AspenTech merged with a wholly owned subsidiary of New AspenTech (the "Merger"). Pursuant to the Merger, AspenTech became a wholly owned subsidiary of New AspenTech.

F4 · price: Each converted equity award described herein shall be subject to the same terms and conditions (including vesting and expiration schedule, as applicable) as applied to the corresponding AspenTech equity award as of immediately prior to the Effective Time.

F6 · price: Each AspenTech stock option ("AspenTech Stock Option") outstanding immediately prior to the Effective Time was cancelled and assumed by New AspenTech and converted into the right to receive a New AspenTech stock option ("Converted Option") covering that number of shares of New AspenTech common stock, rounded down to the nearest whole share, equal to the product of (i) the number of shares of AspenTech common stock underlying the corresponding AspenTech Stock Option as of immediately prior to the Effective Time multiplied by (ii) the Aspen Equity Award Exchange Ratio. The exercise price applicable to each Converted Option shall be equal to (i) the exercise price per share of AspenTech common stock applicable to the corresponding AspenTech Stock Option as of immediately prior to the Effective Time divided by (ii) the Aspen Equity Award Exchange Ratio, rounded up to the nearest whole cent.

F7 · derivative.exercise_date: The option granted at the exercise price of $129.50 was fully vested on the date of grant.

Read SEC document
May 16, 2022 Filed May 18, 2022 16:47 UTC ASPENTECH Corp AZPN · Entity 127212 Disposition to issuerDirector Stock Option (Right to Buy) · Derivative 1,288 Not disclosed Strike: $149.38 Not disclosed
Disclosure

SEC source: 0001127602-22-014975 · form4.xml · derivative · entry 3

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,288 shares

Expires 2031-04-20

F1 · kind: On May 16, 2022, the closing of the transactions contemplated by the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Aspen Technology, Inc. ("AspenTech"), Emerson Electric Co., Emersub CX, Inc., ("New AspenTech") and certain other parties, occurred, pursuant to which AspenTech merged with a wholly owned subsidiary of New AspenTech (the "Merger"). Pursuant to the Merger, AspenTech became a wholly owned subsidiary of New AspenTech.

F4 · price: Each converted equity award described herein shall be subject to the same terms and conditions (including vesting and expiration schedule, as applicable) as applied to the corresponding AspenTech equity award as of immediately prior to the Effective Time.

F6 · price: Each AspenTech stock option ("AspenTech Stock Option") outstanding immediately prior to the Effective Time was cancelled and assumed by New AspenTech and converted into the right to receive a New AspenTech stock option ("Converted Option") covering that number of shares of New AspenTech common stock, rounded down to the nearest whole share, equal to the product of (i) the number of shares of AspenTech common stock underlying the corresponding AspenTech Stock Option as of immediately prior to the Effective Time multiplied by (ii) the Aspen Equity Award Exchange Ratio. The exercise price applicable to each Converted Option shall be equal to (i) the exercise price per share of AspenTech common stock applicable to the corresponding AspenTech Stock Option as of immediately prior to the Effective Time divided by (ii) the Aspen Equity Award Exchange Ratio, rounded up to the nearest whole cent.

F5 · derivative.exercise_date: One third of the options granted at the exercise price of $149.38 will vest on the first anniversary of the grant and the remainder will vest in eight consecutive quarterly installments on the last business day of the quarter until fully vested (except as otherwise necessary to avoid vesting of a fractional share).

Read SEC document
May 16, 2022 Filed May 18, 2022 16:47 UTC ASPENTECH Corp AZPN · Entity 127212 Disposition to issuerCommon Stock 436 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-22-014975 · form4.xml · nonDerivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On May 16, 2022, the closing of the transactions contemplated by the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Aspen Technology, Inc. ("AspenTech"), Emerson Electric Co., Emersub CX, Inc., ("New AspenTech") and certain other parties, occurred, pursuant to which AspenTech merged with a wholly owned subsidiary of New AspenTech (the "Merger"). Pursuant to the Merger, AspenTech became a wholly owned subsidiary of New AspenTech.

F3 · price: Reflects restricted stock units ("RSUs"). Each unvested RSU outstanding immediately prior to the Effective Time was cancelled and assumed by New AspenTech and converted into the right to receive an award of RSUs covering that number of shares of New AspenTech common stock, rounded down to the nearest whole share, equal to the product of (x) the number of shares of AspenTech common stock underlying such AspenTech RSU award and (y) the sum of (i) 0.42 and (ii) the quotient obtained by dividing (xx) $87.69 by (yy) the volume-weighted average price per share of the New AspenTech common stock on Nasdaq during the five trading days after the Effective Time (the sum obtained under clause (y), the "Aspen Equity Award Exchange Ratio").

F4 · price: Each converted equity award described herein shall be subject to the same terms and conditions (including vesting and expiration schedule, as applicable) as applied to the corresponding AspenTech equity award as of immediately prior to the Effective Time.

Read SEC document
May 16, 2022 Filed May 18, 2022 16:47 UTC ASPENTECH Corp AZPN · Entity 127212 Disposition to issuerCommon Stock 1,211 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-22-014975 · form4.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 436

F1 · kind: On May 16, 2022, the closing of the transactions contemplated by the Transaction Agreement and Plan of Merger, dated as of October 10, 2021, as amended, among Aspen Technology, Inc. ("AspenTech"), Emerson Electric Co., Emersub CX, Inc., ("New AspenTech") and certain other parties, occurred, pursuant to which AspenTech merged with a wholly owned subsidiary of New AspenTech (the "Merger"). Pursuant to the Merger, AspenTech became a wholly owned subsidiary of New AspenTech.

F2 · price: At the effective time of the Merger (the "Effective Time"), each outstanding share of the AspenTech common stock (other than certain excluded shares) automatically converted into the right to receive $87.69 in cash (the "Cash Consideration"), plus 0.42 of a validly issued, fully paid and nonassessable share of New AspenTech.

Read SEC document
May 12, 2022 Filed May 13, 2022 17:02 UTC ASPENTECH Corp AZPN · Entity 127212 GrantCommon Stock 826 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-014480 · form4.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,647

F1 · security: Each Restricted Stock Unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. The Restricted Stock Units were fully vested on the date of grant.

F2 · price: The Restricted Stock Units were received as a grant for no consideration.

Read SEC document
April 17, 2022 Filed Apr 19, 2022 16:14 UTC CIRCOR INTERNATIONAL INC CIR · Entity 108922 Exercise / conversionRestricted Stock Unit · Derivative 2,827 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001562180-22-003464 · primarydocument.xml · derivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,827 shares

Expires 2031-03-17

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 Restricted Stock Units (RSUs), the conversion of which are reported herein, were granted to the Reporting Person by the issuer as part of equity incentive grants made by the issuer on 3/17/2021 utilizing a fair market value (FMV) of a share of the issuers stock of $39.82. The RSU grant vests in its entirety 13 months from date of grant, at which time the RSUs are received by the Reporting Person on either (i) the vest date or (ii) upon the conclusion of a longer deferral period that the Reporting Person elected in advance. This report reflects the full vesting of the original RSU grant and the acquisition by the Reporting Person of the underlying shares.

Read SEC document
April 17, 2022 Filed Apr 19, 2022 16:14 UTC CIRCOR INTERNATIONAL INC CIR · Entity 108922 Exercise / conversionCommon Stock 2,827 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-22-003464 · primarydocument.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,871

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: The Restricted Stock Units (RSUs), the conversion of which are reported herein, were granted to the Reporting Person by the issuer as part of equity incentive grants made by the issuer on 3/17/2021 utilizing a fair market value (FMV) of a share of the issuers stock of $39.82. The RSU grant vests in its entirety 13 months from date of grant, at which time the RSUs are received by the Reporting Person on either (i) the vest date or (ii) upon the conclusion of a longer deferral period that the Reporting Person elected in advance. This report reflects the full vesting of the original RSU grant and the acquisition by the Reporting Person of the underlying shares.

Read SEC document
September 01, 2021 Filed Sep 3, 2021 16:30 UTC ASPENTECH Corp AZPN · Entity 127212 GrantDirector Stock Option (Right to Buy) · Derivative 298 $129.50 Strike: $129.50 $38,591.00
Disclosure

SEC source: 0001127602-21-024895 · form4.xml · derivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298

Underlying: Common Stock · 298 shares

Expires 2031-08-31

F3 · derivative.exercise_date: The option granted at the exercise price of $129.50 was fully vested on the date of grant.

Read SEC document
September 01, 2021 Filed Sep 3, 2021 16:30 UTC ASPENTECH Corp AZPN · Entity 127212 GrantCommon Stock 168 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024895 · form4.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 821

F1 · security: Each Restricted Stock Unit represents a contingent right to receive one share of Aspen Technology, Inc. common stock. The Restricted Stock Units were fully vested on the date of grant.

F2 · price: The Restricted Stock Units were received as a grant for no consideration.

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August 09, 2021 Filed Aug 10, 2021 20:35 UTC R1 RCM Holdco Inc. RCM · Entity 125898 PurchaseCommon Stock 4,100 $20.83 $85,403.00
Disclosure

SEC source: 0001628280-21-016424 · wf-form4_162862771447025.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,354

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $20.78 to $20.90 per share. The reporting person undertakes to provide to R1 RCM Inc., any security holder of R1 RCM Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

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May 28, 2021 Filed May 28, 2021 20:56 UTC R1 RCM Holdco Inc. RCM · Entity 125898 Exercise / conversionRestricted Stock Units · Derivative 6,047 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-011371 · wf-form4_162223535040598.xml · derivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,151

Underlying: Common Stock · 6,047 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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The RSUs vested in one annual installment on May 28, 2021.

F3 · derivative.expiration_date: The RSUs vested in one annual installment on May 28, 2021.

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May 28, 2021 Filed May 28, 2021 20:56 UTC R1 RCM Holdco Inc. RCM · Entity 125898 Exercise / conversionCommon Stock 6,047 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-011371 · wf-form4_162223535040598.xml · nonDerivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,254

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: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On May 28, 2020, the reporting person was granted 6,047 RSUs that were previously reported on Table II of Form 4.

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May 21, 2021 Filed May 24, 2021 21:34 UTC R1 RCM Holdco Inc. RCM · Entity 125898 GrantRestricted Stock Units · Derivative 5,151 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-011003 · wf-form4_162189203122834.xml · derivative · entry 1

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,198

Underlying: Common Stock · 5,151 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units will vest in one annual installment on May 21, 2022.

F2 · derivative.expiration_date: The restricted stock units will vest in one annual installment on May 21, 2022.

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April 27, 2021 Filed Jun 30, 2021 19:19 UTC CIRCOR INTERNATIONAL INC CIR · Entity 108922 Exercise / conversionRestricted Stock Unit · Derivative 5,044 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001562180-21-004602 · primarydocument.xml · derivative · entry 2

Smith Jill D. · CIK 0001463490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,044 shares

Expires 2030-03-27

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 Restricted Stock Units (RSUs), the conversion of which are reported herein, were granted to the Reporting Person by the issuer as part of equity incentive grants made by the issuer on 3/27/2020 utilizing a fair market value (FMV) of a share of the issuers stock of $13.83. The RSU grant vests in its entirety 13 months from date of grant, at which time the RSUs are received by the Reporting Person on either (i) the vest date or (ii) upon the conclusion of a longer deferral period that the Reporting Person elected in advance. This report reflects the full vesting of the original RSU grant and the acquisition by the Reporting Person of the underlying shares.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.