Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GENESIS ENERGY LPGEL · Entity 4506 | Vice President | April 11, 2017 | April 13, 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.
GENESIS ENERGY LP
Report date April 11, 2017 · Filed April 13, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom UnitsSEC Table II · derivative / convertible security · Expires 2020-04-11 | Direct | 40,865 |
Reported balance
After 2017-04-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-04-11 · Grant · Acquired 12,217 · Balance 40,865 F1: The phantom units will be paid in cash based on the average closing price of the Common Units - Class A for the 20 trading days immediately prior to the vesting date. F2: Award includes tandem distribution equivalent rights pursuant to which the quarterly distributions paid by the partnership on each Common Unit - Class A will be paid quarterly on the number of units corresponding to the number of units in the initial grant. F3: Award will vest as follows: (a) if the quarterly distribution on the common units is less than $0.75 per unit for the fourth quarter of 2019 (which would be paid in the first quarter of 2020), all of the phantom units granted will be forfeited; (b) if the quarterly distribution on the common units for the fourth quarter of 2019 is $0.75 per unit, 50% of the phantom units granted will vest and the remainder will be forfeited; (c) if the distribution on the common units for the fourth quarter of 2019 is $0.80 per unit, 100% of the phantom units granted will vest; and (d) if the distribution on the common units for the fourth quarter of 2019 is $0.85 per unit or greater, 150% of the phantom units granted will vest. Should the quarterly distribution on the common units for the fourth quarter of 2019 be between the range of $0.75 per unit and $0.85 per unit, the phantom units will vest between 50% and 150% of the number granted on a pro rata basis. |
Filing footnotes · ownership attribution and instrument terms
F1: The phantom units will be paid in cash based on the average closing price of the Common Units - Class A for the 20 trading days immediately prior to the vesting date.
F2: Award includes tandem distribution equivalent rights pursuant to which the quarterly distributions paid by the partnership on each Common Unit - Class A will be paid quarterly on the number of units corresponding to the number of units in the initial grant.
F3: Award will vest as follows: (a) if the quarterly distribution on the common units is less than $0.75 per unit for the fourth quarter of 2019 (which would be paid in the first quarter of 2020), all of the phantom units granted will be forfeited; (b) if the quarterly distribution on the common units for the fourth quarter of 2019 is $0.75 per unit, 50% of the phantom units granted will vest and the remainder will be forfeited; (c) if the distribution on the common units for the fourth quarter of 2019 is $0.80 per unit, 100% of the phantom units granted will vest; and (d) if the distribution on the common units for the fourth quarter of 2019 is $0.85 per unit or greater, 150% of the phantom units granted will vest. Should the quarterly distribution on the common units for the fourth quarter of 2019 be between the range of $0.75 per unit and $0.85 per unit, the phantom units will vest between 50% and 150% of the number granted on a pro rata basis.
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 |
|---|---|---|---|---|---|---|
| April 11, 2017 Filed Apr 13, 2017 19:59 UTC | GENESIS ENERGY LP GEL · Entity 4506 | GrantPhantom Units · Derivative | 12,217 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001022321-17-000071 · wf-form4_149211354970362.xml · derivative · entry 1 Smith Stephen M · CIK 0001509101 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,865 Underlying: Common Units - Class A · 12,217 shares Expires 2020-04-11 F1 · derivative.exercise_price: The phantom units will be paid in cash based on the average closing price of the Common Units - Class A for the 20 trading days immediately prior to the vesting date. F2 · derivative.exercise_price: Award includes tandem distribution equivalent rights pursuant to which the quarterly distributions paid by the partnership on each Common Unit - Class A will be paid quarterly on the number of units corresponding to the number of units in the initial grant. F3 · shares: Award will vest as follows: (a) if the quarterly distribution on the common units is less than $0.75 per unit for the fourth quarter of 2019 (which would be paid in the first quarter of 2020), all of the phantom units granted will be forfeited; (b) if the quarterly distribution on the common units for the fourth quarter of 2019 is $0.75 per unit, 50% of the phantom units granted will vest and the remainder will be forfeited; (c) if the distribution on the common units for the fourth quarter of 2019 is $0.80 per unit, 100% of the phantom units granted will vest; and (d) if the distribution on the common units for the fourth quarter of 2019 is $0.85 per unit or greater, 150% of the phantom units granted will vest. Should the quarterly distribution on the common units for the fourth quarter of 2019 be between the range of $0.75 per unit and $0.85 per unit, the phantom units will vest between 50% and 150% of the number granted on a pro rata basis. F1 · price: The phantom units will be paid in cash based on the average closing price of the Common Units - Class A for the 20 trading days immediately prior to the vesting date. F2 · price: Award includes tandem distribution equivalent rights pursuant to which the quarterly distributions paid by the partnership on each Common Unit - Class A will be paid quarterly on the number of units corresponding to the number of units in the initial grant. F3 · derivative.underlying_shares: Award will vest as follows: (a) if the quarterly distribution on the common units is less than $0.75 per unit for the fourth quarter of 2019 (which would be paid in the first quarter of 2020), all of the phantom units granted will be forfeited; (b) if the quarterly distribution on the common units for the fourth quarter of 2019 is $0.75 per unit, 50% of the phantom units granted will vest and the remainder will be forfeited; (c) if the distribution on the common units for the fourth quarter of 2019 is $0.80 per unit, 100% of the phantom units granted will vest; and (d) if the distribution on the common units for the fourth quarter of 2019 is $0.85 per unit or greater, 150% of the phantom units granted will vest. Should the quarterly distribution on the common units for the fourth quarter of 2019 be between the range of $0.75 per unit and $0.85 per unit, the phantom units will vest between 50% and 150% of the number granted on a pro rata basis. Read SEC document |
| April 08, 2017 Filed Apr 11, 2017 18:33 UTC | GENESIS ENERGY LP GEL · Entity 4506 | Exercise / conversionPhantom Units · Derivative | 7,407 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001022321-17-000059 · wf-form4_149193558191265.xml · derivative · entry 3 Smith Stephen M · CIK 0001509101 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,648 Underlying: Common Units - Class A · 7,407 shares Expires 2017-04-08 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 · derivative.exercise_price: The phantom units will be paid in cash based on the average closing price of the Common Units - Class A for the 20 trading days immediately prior to the vesting date. F3 · price: The phantom units will be paid in cash based on the average closing price of the Common Units - Class A for the 20 trading days immediately prior to the vesting date. Read SEC document |
| April 08, 2017 Filed Apr 11, 2017 18:33 UTC | GENESIS ENERGY LP GEL · Entity 4506 | Disposition to issuerCommon Units - Class A | 11,111 | $32.52 | $361,329.72 |
DisclosureSEC source: 0001022321-17-000059 · wf-form4_149193558191265.xml · nonDerivative · entry 2 Smith Stephen M · CIK 0001509101 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 416,144 F1 · shares: Pursuant to the terms of the 2014 phantom unit award, because the quarterly distribution on the common units for the fourth quarter of 2016 was $0.70 per unit or greater, 150% of the phantom units awarded vested. F2 · acquired: The payment of the phantom units in cash is deemed to be a disposition of the phantom units in exchange for the acquisition of the underlying Common Units - Class A and a simultaneous disposition of the underlying Common Units - Class A to the issuer. Read SEC document |
| April 08, 2017 Filed Apr 11, 2017 18:33 UTC | GENESIS ENERGY LP GEL · Entity 4506 | Exercise / conversionCommon Units - Class A | 11,111 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001022321-17-000059 · wf-form4_149193558191265.xml · nonDerivative · entry 1 Smith Stephen M · CIK 0001509101 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 427,255 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 · shares: Pursuant to the terms of the 2014 phantom unit award, because the quarterly distribution on the common units for the fourth quarter of 2016 was $0.70 per unit or greater, 150% of the phantom units awarded vested. F3 · price: The phantom units will be paid in cash based on the average closing price of the Common Units - Class A for the 20 trading days immediately prior to the vesting date. F2 · acquired: The payment of the phantom units in cash is deemed to be a disposition of the phantom units in exchange for the acquisition of the underlying Common Units - Class A and a simultaneous disposition of the underlying Common Units - Class A to the issuer. 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.