Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Guggenheim Enhanced Equity Income FundGPM · Entity 143309 | Director · Trustee | March 21, 2017 | March 21, 2017 |
| NATURAL RESOURCE PARTNERS LPNRP · Entity 8880 | Director | February 13, 2017 | February 16, 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 Enhanced Equity Income Fund
Report date March 21, 2017 · Filed March 21, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,086.642 |
Reported balance
After 2017-03-21 transaction · row 1
1 source rowRow 1 · 2017-03-21 · Other · Acquired 2,086.642 · Balance 2,086.642 F1: The reported shares were acquired as a result of a closed-end fund merger between Guggenheim Enhanced Equity Strategy Fund (GGE), Guggenheim Equal Weight Enhanced Equity Income Fund (GEQ), and Guggenheim Enhanced Equity Income Fund (GPM) in which GPM was the surviving fund. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported shares were acquired as a result of a closed-end fund merger between Guggenheim Enhanced Equity Strategy Fund (GGE), Guggenheim Equal Weight Enhanced Equity Income Fund (GEQ), and Guggenheim Enhanced Equity Income Fund (GPM) in which GPM was the surviving fund.
NATURAL RESOURCE PARTNERS LP
Report date February 13, 2017 · Filed February 16, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common UnitsSEC Table I · non-derivative | Direct | 500 |
Last balance in matching sequence
After 2017-02-13 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-02-13 · Exercise / conversion · Acquired 370 · Balance 870 F1: The common units were deemed to have been purchased and sold on the date of vesting of the phantom units listed in Table II, which were paid in cash on a one for one basis based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting, together with accrued distribution equivalent rights. Row 2 · 2017-02-13 · Disposition to issuer · Disposed 370 · Balance 500 F1: The common units were deemed to have been purchased and sold on the date of vesting of the phantom units listed in Table II, which were paid in cash on a one for one basis based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting, together with accrued distribution equivalent rights. |
| Phantom UnitsSEC Table II · derivative / convertible security · Expires 2017-02-13 | Direct | 0 |
Reported balance
After 2017-02-13 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-02-13 · Exercise / conversion · Disposed 370 · Balance 0 F2: The phantom units were originally granted to the reporting person under the issuer's long term incentive plan. All phantom unit numbers have been adjusted to reflect the issuer's 1-for-10 reverse unit split completed in February 2016. F5: As described in Footnote 1, upon vesting, the phantom units were paid in cash on a one for one basis based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting, together with accrued distribution equivalent rights. |
| Phantom UnitsSEC Table II · derivative / convertible security · Expires 2018-02-12 | Direct | 389 |
Reported balance
Holding disclosure · report date 2017-02-13 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 389 F2: The phantom units were originally granted to the reporting person under the issuer's long term incentive plan. All phantom unit numbers have been adjusted to reflect the issuer's 1-for-10 reverse unit split completed in February 2016. F3: The phantom units will be paid in cash based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting. F4: Award includes tandem distribution equivalent rights pursuant to which the quarterly distributions paid by the partnership on each unit will be accrued over the vesting period and paid on vesting. |
| Phantom UnitsSEC Table II · derivative / convertible security · Expires 2019-02-11 | Direct | 410 |
Reported balance
Holding disclosure · report date 2017-02-13 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 410 F2: The phantom units were originally granted to the reporting person under the issuer's long term incentive plan. All phantom unit numbers have been adjusted to reflect the issuer's 1-for-10 reverse unit split completed in February 2016. F3: The phantom units will be paid in cash based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting. F4: Award includes tandem distribution equivalent rights pursuant to which the quarterly distributions paid by the partnership on each unit will be accrued over the vesting period and paid on vesting. |
Filing footnotes · ownership attribution and instrument terms
F1: The common units were deemed to have been purchased and sold on the date of vesting of the phantom units listed in Table II, which were paid in cash on a one for one basis based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting, together with accrued distribution equivalent rights.
F2: The phantom units were originally granted to the reporting person under the issuer's long term incentive plan. All phantom unit numbers have been adjusted to reflect the issuer's 1-for-10 reverse unit split completed in February 2016.
F3: The phantom units will be paid in cash based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting.
F4: Award includes tandem distribution equivalent rights pursuant to which the quarterly distributions paid by the partnership on each unit will be accrued over the vesting period and paid on vesting.
F5: As described in Footnote 1, upon vesting, the phantom units were paid in cash on a one for one basis based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting, together with accrued distribution equivalent rights.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
PEABODY ENERGY CORP
Report date April 03, 2017 · Filed April 06, 2017
Section 16 reporting ended · disclosed 2017-04-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-04-03 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2017-04-03 · Other · Disposed 2,612 · Balance 0 F1: Pursuant to the Second Amended Joint Plan of Reorganization of Debtors and Debtors in Possession as revised March 15, 2017 (the "Plan of Reorganization") approved by the issuer's board of directors and confirmed by the United States Bankruptcy Court for the Eastern District of Missouri, all shares of the issuer's common stock outstanding prior to the effective date of the Plan of Reorganization (April 3, 2017), including all options to purchase common stock and other equity awards, were cancelled and extinguished on the effective date of the Plan of Reorganization for no value. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-04-03 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2017-04-03 · Other · Disposed 6,122 · Balance 0 F1: Pursuant to the Second Amended Joint Plan of Reorganization of Debtors and Debtors in Possession as revised March 15, 2017 (the "Plan of Reorganization") approved by the issuer's board of directors and confirmed by the United States Bankruptcy Court for the Eastern District of Missouri, all shares of the issuer's common stock outstanding prior to the effective date of the Plan of Reorganization (April 3, 2017), including all options to purchase common stock and other equity awards, were cancelled and extinguished on the effective date of the Plan of Reorganization for no value. F2: Represent deferred stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Second Amended Joint Plan of Reorganization of Debtors and Debtors in Possession as revised March 15, 2017 (the "Plan of Reorganization") approved by the issuer's board of directors and confirmed by the United States Bankruptcy Court for the Eastern District of Missouri, all shares of the issuer's common stock outstanding prior to the effective date of the Plan of Reorganization (April 3, 2017), including all options to purchase common stock and other equity awards, were cancelled and extinguished on the effective date of the Plan of Reorganization for no value.
F2: Represent deferred stock units.
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 03, 2017 Filed Apr 6, 2017 00:16 UTC | PEABODY ENERGY CORP BTU · Entity 4124 | OtherCommon Stock | 6,122 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009589 · doc4.xml · nonDerivative · entry 2 KARN ROBERT B III · CIK 0001200403 · FORMER DIRECTOR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to the Second Amended Joint Plan of Reorganization of Debtors and Debtors in Possession as revised March 15, 2017 (the "Plan of Reorganization") approved by the issuer's board of directors and confirmed by the United States Bankruptcy Court for the Eastern District of Missouri, all shares of the issuer's common stock outstanding prior to the effective date of the Plan of Reorganization (April 3, 2017), including all options to purchase common stock and other equity awards, were cancelled and extinguished on the effective date of the Plan of Reorganization for no value. F2 · shares: Represent deferred stock units. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:16 UTC | PEABODY ENERGY CORP BTU · Entity 4124 | OtherCommon Stock | 2,612 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009589 · doc4.xml · nonDerivative · entry 1 KARN ROBERT B III · CIK 0001200403 · FORMER DIRECTOR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to the Second Amended Joint Plan of Reorganization of Debtors and Debtors in Possession as revised March 15, 2017 (the "Plan of Reorganization") approved by the issuer's board of directors and confirmed by the United States Bankruptcy Court for the Eastern District of Missouri, all shares of the issuer's common stock outstanding prior to the effective date of the Plan of Reorganization (April 3, 2017), including all options to purchase common stock and other equity awards, were cancelled and extinguished on the effective date of the Plan of Reorganization for no value. Read SEC document |
| March 21, 2017 Filed Mar 21, 2017 16:21 UTC | Guggenheim Enhanced Equity Income Fund GPM · Entity 143309 | OtherCommon Stock | 2,086.642 | $8.66 | $18,070.32 |
DisclosureSEC source: 0001179110-17-004984 · edgar.xml · nonDerivative · entry 1 KARN ROBERT B III · CIK 0001200403 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,086.642 F1 · kind: The reported shares were acquired as a result of a closed-end fund merger between Guggenheim Enhanced Equity Strategy Fund (GGE), Guggenheim Equal Weight Enhanced Equity Income Fund (GEQ), and Guggenheim Enhanced Equity Income Fund (GPM) in which GPM was the surviving fund. F1 · shares: The reported shares were acquired as a result of a closed-end fund merger between Guggenheim Enhanced Equity Strategy Fund (GGE), Guggenheim Equal Weight Enhanced Equity Income Fund (GEQ), and Guggenheim Enhanced Equity Income Fund (GPM) in which GPM was the surviving fund. Read SEC document |
| February 13, 2017 Filed Feb 16, 2017 00:14 UTC | NATURAL RESOURCE PARTNERS LP NRP · Entity 8880 | Exercise / conversionPhantom Units · Derivative | 370 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-007826 · doc1.xml · derivative · entry 3 KARN ROBERT B III · CIK 0001200403 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Units · 370 shares Expires 2017-02-13 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 · security: The phantom units were originally granted to the reporting person under the issuer's long term incentive plan. All phantom unit numbers have been adjusted to reflect the issuer's 1-for-10 reverse unit split completed in February 2016. F5 · derivative.exercise_price: As described in Footnote 1, upon vesting, the phantom units were paid in cash on a one for one basis based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting, together with accrued distribution equivalent rights. F5 · price: As described in Footnote 1, upon vesting, the phantom units were paid in cash on a one for one basis based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting, together with accrued distribution equivalent rights. Read SEC document |
| February 13, 2017 Filed Feb 16, 2017 00:14 UTC | NATURAL RESOURCE PARTNERS LP NRP · Entity 8880 | Disposition to issuerCommon Units | 370 | $36.54 | $13,518.88 |
DisclosureSEC source: 0001140361-17-007826 · doc1.xml · nonDerivative · entry 2 KARN ROBERT B III · CIK 0001200403 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 F1 · security: The common units were deemed to have been purchased and sold on the date of vesting of the phantom units listed in Table II, which were paid in cash on a one for one basis based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting, together with accrued distribution equivalent rights. F1 · price: The common units were deemed to have been purchased and sold on the date of vesting of the phantom units listed in Table II, which were paid in cash on a one for one basis based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting, together with accrued distribution equivalent rights. Read SEC document |
| February 13, 2017 Filed Feb 16, 2017 00:14 UTC | NATURAL RESOURCE PARTNERS LP NRP · Entity 8880 | Exercise / conversionCommon Units | 370 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-007826 · doc1.xml · nonDerivative · entry 1 KARN ROBERT B III · CIK 0001200403 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 870 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 · security: The common units were deemed to have been purchased and sold on the date of vesting of the phantom units listed in Table II, which were paid in cash on a one for one basis based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting, together with accrued distribution equivalent rights. F1 · price: The common units were deemed to have been purchased and sold on the date of vesting of the phantom units listed in Table II, which were paid in cash on a one for one basis based on the average closing price of the common units for the 20 trading days immediately preceding the date of vesting, together with accrued distribution equivalent rights. 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.