Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GUGGENHEIM CREDIT INCOME FUND 2021N/A · Entity 149347 | Director · CEO, Chairman and Trustee | October 03, 2016 | October 06, 2016 |
| W. P. Carey Inc.WPC · Entity 3333 | Director · CEO | May 17, 2017 | May 19, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
GUGGENHEIM CREDIT INCOME FUND 2021
Report date October 03, 2016 · Filed October 06, 2016
This filing explicitly reported no securities owned.
W. P. Carey Inc.
Report date May 17, 2017 · Filed May 19, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 140,155 |
Ending reported balance
After 2017-05-17 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2017-05-17 · Exercise / conversion · Acquired 2,301 · Balance 141,780 Row 2 · 2017-05-17 · Tax withholding · Disposed 1,794 · Balance 139,986 Row 3 · 2017-05-17 · Exercise / conversion · Acquired 814 · Balance 140,800 Row 4 · 2017-05-17 · Tax withholding · Disposed 645 · Balance 140,155 |
| Officer Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $31.45 · Expires 2017-06-30 | Direct | 575 |
Reported balance
After 2017-05-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-05-17 · Exercise / conversion · Disposed 2,301 · Balance 575 F1: The options were fully vested upon grant but became exercisable in five equal annual installments beginning on 6/30/2012 and ending on 6/30/2016. |
| Officer Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $33.20 · Expires 2017-12-31 | Direct | 203 |
Reported balance
After 2017-05-17 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-05-17 · Exercise / conversion · Disposed 814 · Balance 203 F2: The options were fully vested upon grant but became exercisable in five equal annual installments beginning on 12/31/2012 and ending on 12/31/2016. |
Filing footnotes · ownership attribution and instrument terms
F1: The options were fully vested upon grant but became exercisable in five equal annual installments beginning on 6/30/2012 and ending on 6/30/2016.
F2: The options were fully vested upon grant but became exercisable in five equal annual installments beginning on 12/31/2012 and ending on 12/31/2016.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 17, 2017 Filed May 19, 2017 23:15 UTC | W. P. Carey Inc. WPC · Entity 3333 | Exercise / conversionOfficer Stock Option (right to buy) · Derivative | 814 | $0.00 Strike: $33.20 | $0.00 |
DisclosureSEC source: 0001209191-17-034080 · doc4.xml · derivative · entry 6 DECESARIS MARK J · CIK 0001251829 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203 Underlying: Common Stock · 814 shares Expires 2017-12-31 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_date: The options were fully vested upon grant but became exercisable in five equal annual installments beginning on 12/31/2012 and ending on 12/31/2016. Read SEC document |
| May 17, 2017 Filed May 19, 2017 23:15 UTC | W. P. Carey Inc. WPC · Entity 3333 | Exercise / conversionOfficer Stock Option (right to buy) · Derivative | 2,301 | $0.00 Strike: $31.45 | $0.00 |
DisclosureSEC source: 0001209191-17-034080 · doc4.xml · derivative · entry 5 DECESARIS MARK J · CIK 0001251829 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 575 Underlying: Common Stock · 2,301 shares Expires 2017-06-30 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 options were fully vested upon grant but became exercisable in five equal annual installments beginning on 6/30/2012 and ending on 6/30/2016. Read SEC document |
| May 17, 2017 Filed May 19, 2017 23:15 UTC | W. P. Carey Inc. WPC · Entity 3333 | Tax withholdingCommon Stock | 645 | $62.85 | $40,538.25 |
DisclosureSEC source: 0001209191-17-034080 · doc4.xml · nonDerivative · entry 4 DECESARIS MARK J · CIK 0001251829 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,155 Read SEC document |
| May 17, 2017 Filed May 19, 2017 23:15 UTC | W. P. Carey Inc. WPC · Entity 3333 | Exercise / conversionCommon Stock | 814 | $33.20 | $27,024.80 |
DisclosureSEC source: 0001209191-17-034080 · doc4.xml · nonDerivative · entry 3 DECESARIS MARK J · CIK 0001251829 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,800 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 17, 2017 Filed May 19, 2017 23:15 UTC | W. P. Carey Inc. WPC · Entity 3333 | Tax withholdingCommon Stock | 1,794 | $62.85 | $112,752.90 |
DisclosureSEC source: 0001209191-17-034080 · doc4.xml · nonDerivative · entry 2 DECESARIS MARK J · CIK 0001251829 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,986 Read SEC document |
| May 17, 2017 Filed May 19, 2017 23:15 UTC | W. P. Carey Inc. WPC · Entity 3333 | Exercise / conversionCommon Stock | 2,301 | $31.45 | $72,366.45 |
DisclosureSEC source: 0001209191-17-034080 · doc4.xml · nonDerivative · entry 1 DECESARIS MARK J · CIK 0001251829 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,780 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 22:46 UTC | W. P. Carey Inc. WPC · Entity 3333 | Tax withholdingCommon Stock | 2,688 | $62.78 | $168,752.64 |
DisclosureSEC source: 0001209191-17-012300 · doc4.xml · nonDerivative · entry 1 DECESARIS MARK J · CIK 0001251829 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,479 Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 21:14 UTC | W. P. Carey Inc. WPC · Entity 3333 | GrantCommon Stock | 17,851 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-004830 · doc4.xml · nonDerivative · entry 1 DECESARIS MARK J · CIK 0001251829 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,167 F1 · kind: Represents restricted share units ("RSUs") granted as part of the Issuer's 2009 Long Term Incentive Plan. These RSUs are scheduled to vest in three equal annual installments beginning on February 15, 2018 and ending on February 15, 2020 and are convertible on a one-for-one basis into shares of the Issuer's Common Stock. F1 · shares: Represents restricted share units ("RSUs") granted as part of the Issuer's 2009 Long Term Incentive Plan. These RSUs are scheduled to vest in three equal annual installments beginning on February 15, 2018 and ending on February 15, 2020 and are convertible on a one-for-one basis into shares of the Issuer's Common Stock. F1 · price: Represents restricted share units ("RSUs") granted as part of the Issuer's 2009 Long Term Incentive Plan. These RSUs are scheduled to vest in three equal annual installments beginning on February 15, 2018 and ending on February 15, 2020 and are convertible on a one-for-one basis into shares of the Issuer's Common Stock. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.