Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| American Water Works Company, Inc.AWK · Entity 3169 | Director | May 12, 2021 | May 14, 2021 |
| Duke Energy CORPDUK · Entity 2925 | EVPCust&DelivOps;PresCarolinas | August 26, 2019 | August 28, 2019 |
| MARSH & MCLENNAN COMPANIES, INC.MRSH · Entity 1501 | Director | August 14, 2026 | August 18, 2026 |
| NISOURCE INC.NI · Entity 3270 | Director · Director and President & CEO | May 21, 2026 | May 26, 2026 |
| SONOCO PRODUCTS COSON · Entity 3864 | Director | March 10, 2022 | March 15, 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.
American Water Works Company, Inc.
Report date May 12, 2021 · Filed May 14, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,036 |
Reported balance
After 2021-05-12 transaction · row 1
1 source rowRow 1 · 2021-05-12 · Grant · Acquired 936 · Balance 7,036 F1: The shares indicated constitute units that settle solely in the common stock of American Water Works Company, Inc. (the "Company") on a one-share-per-unit basis. The stock units vested on the date of grant and will be converted into common stock generally within 30 days following the earlier of August 12, 2022 (subject to the right of the reporting person to defer payment in accordance with the terms of the grant), a separation from service or a change of control of the Company. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares indicated constitute units that settle solely in the common stock of American Water Works Company, Inc. (the "Company") on a one-share-per-unit basis. The stock units vested on the date of grant and will be converted into common stock generally within 30 days following the earlier of August 12, 2022 (subject to the right of the reporting person to defer payment in accordance with the terms of the grant), a separation from service or a change of control of the Company.
Duke Energy CORP
Report date August 26, 2019 · Filed August 28, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 32,231 |
Ending reported balance
After 2019-08-26 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2019-08-26 · Sale · Disposed 11,077 · Balance 41,154 Row 2 · 2019-08-26 · Sale · Disposed 1,400 · Balance 39,754 Row 3 · 2019-08-26 · Sale · Disposed 1,523 · Balance 38,231 Row 4 · 2019-08-26 · Sale · Disposed 1,600 · Balance 36,631 Row 5 · 2019-08-26 · Sale · Disposed 100 · Balance 36,531 Row 6 · 2019-08-26 · Sale · Disposed 4,300 · Balance 32,231 |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) | 2,029 |
Reported balance
Holding disclosure · report date 2019-08-26 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 2,029 |
MARSH & MCLENNAN COMPANIES, INC.
Report date August 14, 2026 · Filed August 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stk. Units-Dir. Stk. PlanSEC Table II · derivative / convertible security | Direct | 12,455.84 |
Reported balance
After 2026-08-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-08-14 · Other · Acquired 64.85 · Balance 12,455.84 F1: The security converts to Marsh & McLennan Companies common stock on a 1-for-1 basis. F2: Acquired with dividend equivalents credited to the reporting person's account under the Marsh & McLennan Companies Directors Stock Compensation Plan. F3: Not applicable. |
| Restricted Stk. Units-Dir. Stk. PlanSEC Table II · derivative / convertible security | Direct | 12,679.57 |
Reported balance
After 2026-08-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-08-15 · Grant · Acquired 223.73 · Balance 12,679.57 F1: The security converts to Marsh & McLennan Companies common stock on a 1-for-1 basis. F4: Acquired in connection with director fees pursuant to the Marsh & McLennan Companies Directors Stock Compensation Plan. F3: Not applicable. |
Filing footnotes · ownership attribution and instrument terms
F1: The security converts to Marsh & McLennan Companies common stock on a 1-for-1 basis.
F2: Acquired with dividend equivalents credited to the reporting person's account under the Marsh & McLennan Companies Directors Stock Compensation Plan.
F3: Not applicable.
F4: Acquired in connection with director fees pursuant to the Marsh & McLennan Companies Directors Stock Compensation Plan.
NISOURCE INC.
Report date May 21, 2026 · Filed May 26, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 519,556.732 |
Reported balance
After 2026-05-21 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-05-21 · Sale · Disposed 19,905 · Balance 519,556.732 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.730 to $47.745, inclusive. The reporting person undertakes to provide to NiSource Inc., any security holder of NiSource Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: This amount includes RSUs received pursuant to the dividend equivalent provisions of his director RSU awards from 2020 and 2021, and which are subject to the same vesting conditions as the underlying RSUs. F3: Includes shares acquired through the NiSource Inc. Employee Stock Purchase Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.730 to $47.745, inclusive. The reporting person undertakes to provide to NiSource Inc., any security holder of NiSource Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: This amount includes RSUs received pursuant to the dividend equivalent provisions of his director RSU awards from 2020 and 2021, and which are subject to the same vesting conditions as the underlying RSUs.
F3: Includes shares acquired through the NiSource Inc. Employee Stock Purchase Plan.
SONOCO PRODUCTS CO
Report date March 10, 2022 · Filed March 15, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 5,654 |
Reported balance
After 2022-03-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-03-10 · Grant · Acquired 45.5 · Balance 5,654 F1: Each share of phantom stock is the economic equivalent of one share of Sonoco Products Company common stock. F2: Acquired on quarterly dividend on Sonoco Products Company's directors' deferred compensation plan and will be settled upon the reporting person's retirement or other termination of service. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of phantom stock is the economic equivalent of one share of Sonoco Products Company common stock.
F2: Acquired on quarterly dividend on Sonoco Products Company's directors' deferred compensation plan and will be settled upon the reporting person's retirement or other termination of service.
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 23, 2019 Filed May 28, 2019 20:27 UTC | Duke Energy CORP DUK · Entity 2925 | SaleCommon Stock | 1,700 | $88.19 | $149,923.00 |
DisclosureSEC source: 0001326160-19-000159 · wf-form4_155907524715943.xml · nonDerivative · entry 2 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,631 Read SEC document |
| May 23, 2019 Filed May 28, 2019 20:27 UTC | Duke Energy CORP DUK · Entity 2925 | SaleCommon Stock | 17 | $88.18 | $1,499.06 |
DisclosureSEC source: 0001326160-19-000159 · wf-form4_155907524715943.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,331 F1 · balance_after: Amount reflects adjustment of an additional two shares for prior rounding. Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 21:31 UTC | Duke Energy CORP DUK · Entity 2925 | Tax withholdingCommon Stock | 940 | $89.66 | $84,280.40 |
DisclosureSEC source: 0001326160-19-000095 · wf-form4_155173505588105.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,346 Read SEC document |
| February 27, 2019 Filed Feb 28, 2019 21:53 UTC | Duke Energy CORP DUK · Entity 2925 | GrantCommon Stock | 6,091 | $89.28 | $543,804.48 |
DisclosureSEC source: 0001326160-19-000073 · wf-form4_155139081062788.xml · nonDerivative · entry 3 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,286 Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:53 UTC | Duke Energy CORP DUK · Entity 2925 | SaleCommon Stock | 2,000 | $88.51 | $177,020.00 |
DisclosureSEC source: 0001326160-19-000073 · wf-form4_155139081062788.xml · nonDerivative · entry 2 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,195 Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:53 UTC | Duke Energy CORP DUK · Entity 2925 | SaleCommon Stock | 1,500 | $88.51 | $132,757.50 |
DisclosureSEC source: 0001326160-19-000073 · wf-form4_155139081062788.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,195 Read SEC document |
| February 24, 2019 Filed Feb 26, 2019 22:12 UTC | Duke Energy CORP DUK · Entity 2925 | Tax withholdingCommon Stock | 4,474 | $89.91 | $402,257.34 |
DisclosureSEC source: 0001326160-19-000045 · wf-form4_155121911609918.xml · nonDerivative · entry 3 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,695 Read SEC document |
| February 24, 2019 Filed Feb 26, 2019 22:12 UTC | Duke Energy CORP DUK · Entity 2925 | Tax withholdingCommon Stock | 895 | $89.91 | $80,469.45 |
DisclosureSEC source: 0001326160-19-000045 · wf-form4_155121911609918.xml · nonDerivative · entry 2 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,169 Read SEC document |
| February 22, 2019 Filed Feb 26, 2019 22:12 UTC | Duke Energy CORP DUK · Entity 2925 | Tax withholdingCommon Stock | 865 | $89.91 | $77,772.15 |
DisclosureSEC source: 0001326160-19-000045 · wf-form4_155121911609918.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,064 Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 16:13 UTC | Duke Energy CORP DUK · Entity 2925 | Exercise / conversionPerformance Shares · Derivative | 14,586 | $0.00 Strike: $89.59 | $0.00 |
DisclosureSEC source: 0001326160-19-000021 · wf-form4_155024718945109.xml · derivative · entry 4 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,586 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.expiration_date: Expiration date not applicable. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 16:13 UTC | Duke Energy CORP DUK · Entity 2925 | Tax withholdingCommon Stock | 4,841 | $89.59 | $433,705.19 |
DisclosureSEC source: 0001326160-19-000021 · wf-form4_155024718945109.xml · nonDerivative · entry 2 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,929 Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 16:13 UTC | Duke Energy CORP DUK · Entity 2925 | Exercise / conversionCommon Stock | 14,586 | $89.59 | $1,306,759.74 |
DisclosureSEC source: 0001326160-19-000021 · wf-form4_155024718945109.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,770 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 |
| June 01, 2018 Filed Jun 5, 2018 20:18 UTC | MARSH & MCLENNAN COMPANIES, INC. MMC · Entity 1501 | GrantCommon Stock | 2,175 | $80.45 | $174,978.75 |
DisclosureSEC source: 0001127602-18-020010 · form4.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,824.75 F1 · kind: Annual stock award of 2,175 shares pursuant to the Marsh & McLennan Companies Directors Stock Compensation Plan. Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 21:19 UTC | Duke Energy CORP DUK · Entity 2925 | SaleCommon Stock | 3,746 | $76.05 | $284,894.54 |
DisclosureSEC source: 0001326160-18-000084 · wf-form4_152002555109265.xml · nonDerivative · entry 2 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,184 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 21:19 UTC | Duke Energy CORP DUK · Entity 2925 | GrantCommon Stock | 6,307 | $75.34 | $475,169.38 |
DisclosureSEC source: 0001326160-18-000084 · wf-form4_152002555109265.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,930 Read SEC document |
| February 25, 2018 Filed Feb 27, 2018 21:38 UTC | Duke Energy CORP DUK · Entity 2925 | Tax withholdingCommon Stock | 542 | $77.22 | $41,853.24 |
DisclosureSEC source: 0001326160-18-000065 · wf-form4_151976750894558.xml · nonDerivative · entry 2 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,623 Read SEC document |
| February 24, 2018 Filed Feb 27, 2018 21:38 UTC | Duke Energy CORP DUK · Entity 2925 | Tax withholdingCommon Stock | 600 | $77.22 | $46,332.00 |
DisclosureSEC source: 0001326160-18-000065 · wf-form4_151976750894558.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,165 Read SEC document |
| February 22, 2018 Filed Feb 26, 2018 21:27 UTC | Duke Energy CORP DUK · Entity 2925 | Tax withholdingCommon Stock | 580 | $75.54 | $43,813.20 |
DisclosureSEC source: 0001326160-18-000051 · wf-form4_151968043701762.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,765 Read SEC document |
| February 14, 2018 Filed Feb 16, 2018 21:32 UTC | Duke Energy CORP DUK · Entity 2925 | Tax withholdingCommon Stock | 2,012 | $75.48 | $151,865.76 |
DisclosureSEC source: 0001326160-18-000028 · wf-form4_151881674390722.xml · nonDerivative · entry 2 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,345 Read SEC document |
| February 14, 2018 Filed Feb 16, 2018 21:32 UTC | Duke Energy CORP DUK · Entity 2925 | Exercise / conversionCommon Stock | 6,735 | $75.48 | $508,357.80 |
DisclosureSEC source: 0001326160-18-000028 · wf-form4_151881674390722.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,357 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 |
| November 13, 2017 Filed Nov 14, 2017 21:26 UTC | Duke Energy CORP DUK · Entity 2925 | SaleCommon Stock | 4,700 | $89.95 | $422,783.80 |
DisclosureSEC source: 0001326160-17-000178 · wf-form4_151069458523143.xml · nonDerivative · entry 2 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,622 Read SEC document |
| November 13, 2017 Filed Nov 14, 2017 21:26 UTC | Duke Energy CORP DUK · Entity 2925 | SaleCommon Stock | 300 | $89.95 | $26,985.00 |
DisclosureSEC source: 0001326160-17-000178 · wf-form4_151069458523143.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,322 Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 20:38 UTC | MARSH & MCLENNAN COMPANIES, INC. MMC · Entity 1501 | GrantCommon Stock | 2,065 | $77.46 | $159,954.90 |
DisclosureSEC source: 0001127602-17-020345 · form4.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,649.75 F1 · kind: Annual stock award of 2,065 shares pursuant to the Marsh & McLennan Companies Directors Stock Compensation Plan. Read SEC document |
| May 12, 2017 Filed May 15, 2017 21:01 UTC | Duke Energy CORP DUK · Entity 2925 | GrantCommon Stock | 4,821 | $83.26 | $401,415.74 |
DisclosureSEC source: 0001326160-17-000117 · wf-form4_149488207471961.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,622 Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 22:30 UTC | Duke Energy CORP DUK · Entity 2925 | SaleCommon Stock | 5,000 | $82.01 | $410,070.00 |
DisclosureSEC source: 0001326160-17-000046 · wf-form4_148832103440212.xml · nonDerivative · entry 4 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,443 Read SEC document |
| February 25, 2017 Filed Feb 28, 2017 22:30 UTC | Duke Energy CORP DUK · Entity 2925 | Tax withholdingCommon Stock | 525 | $81.96 | $43,029.00 |
DisclosureSEC source: 0001326160-17-000046 · wf-form4_148832103440212.xml · nonDerivative · entry 3 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,443 Read SEC document |
| February 25, 2017 Filed Feb 28, 2017 22:30 UTC | Duke Energy CORP DUK · Entity 2925 | Tax withholdingCommon Stock | 596 | $81.96 | $48,848.16 |
DisclosureSEC source: 0001326160-17-000046 · wf-form4_148832103440212.xml · nonDerivative · entry 2 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,968 Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 22:30 UTC | Duke Energy CORP DUK · Entity 2925 | Tax withholdingCommon Stock | 656 | $81.96 | $53,765.76 |
DisclosureSEC source: 0001326160-17-000046 · wf-form4_148832103440212.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,564 Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 21:32 UTC | Duke Energy CORP DUK · Entity 2925 | GrantCommon Stock | 5,804 | $79.87 | $463,565.48 |
DisclosureSEC source: 0001326160-17-000027 · wf-form4_148797194538254.xml · nonDerivative · entry 1 Yates Lloyd M · CIK 0001311411 · EVPCust&DelivOps;PresCarolinas 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,220 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.