Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aldel Financial II Inc.ALDF · Entity 5871 | Director · Chief Executive Officer · 10% owner | October 27, 2025 | October 29, 2025 |
| Global Net Lease, Inc.GNL · Entity 4470 | Director | October 06, 2026 | October 07, 2026 |
| Hagerty, Inc.HGTY · Entity 3968 | Director | September 24, 2026 | September 25, 2026 |
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.
Aldel Financial II Inc.
Report date October 27, 2025 · Filed October 29, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B ordinary sharesSEC Table II · derivative / convertible security | Direct | 87,500 |
Reported balance
After 2025-10-27 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-10-27 · Other · Disposed 12,500 · Balance 87,500 F1: At the time of our initial business combination, the Class B ordinary shares will convert into Class A ordinary shares on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights. The Class B ordinary shares have no expiration date. F2: Pursuant to a share transfer agreement entered into in connection with the appointment of Charles Nearburg to the Issuer's board of directors (the "Board"), Mr. Kauffman transferred the shares to Charles Nearburg for an aggregate purchase price of $54.35. |
Filing footnotes · ownership attribution and instrument terms
F1: At the time of our initial business combination, the Class B ordinary shares will convert into Class A ordinary shares on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights. The Class B ordinary shares have no expiration date.
F2: Pursuant to a share transfer agreement entered into in connection with the appointment of Charles Nearburg to the Issuer's board of directors (the "Board"), Mr. Kauffman transferred the shares to Charles Nearburg for an aggregate purchase price of $54.35.
Global Net Lease, Inc.
Report date October 06, 2026 · Filed October 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 74,692 |
Reported balance
After 2026-10-06 transaction · row 1
1 source rowRow 1 · 2026-10-06 · Grant · Acquired 4,389 · Balance 74,692 F1: Representing common stock issued pursuant to Global Net Lease, Inc's (the "Company") 2025 Omnibus Incentive Compensation Plan, representing a portion of the reporting person's annual retainer for service on the Company's Board of Directors and certain of its committees, which the reporting person elected to receive in shares of the Company's common stock in lieu of cash. |
Filing footnotes · ownership attribution and instrument terms
F1: Representing common stock issued pursuant to Global Net Lease, Inc's (the "Company") 2025 Omnibus Incentive Compensation Plan, representing a portion of the reporting person's annual retainer for service on the Company's Board of Directors and certain of its committees, which the reporting person elected to receive in shares of the Company's common stock in lieu of cash.
Hagerty, Inc.
Report date September 24, 2026 · Filed September 25, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy Aldel LLC | 674,097 |
Reported balance
After 2026-09-24 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-09-24 · Gift · Disposed 74,000 · Balance 674,097 F1: Represents a bona fide gift to a charitable organization. F2: Held by Aldel LLC. The Reporting Person is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | Direct | 79,173 |
Reported balance
Holding disclosure · report date 2026-09-24 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 79,173 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a bona fide gift to a charitable organization.
F2: Held by Aldel LLC. The Reporting Person is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| March 26, 2024 Filed Mar 28, 2024 20:22 UTC | Hagerty, Inc. HGTY · Entity 3968 | SaleClass A Common Stock | 3,965 | $9.03 | $35,803.95 |
DisclosureSEC source: 0001840776-24-000028 · wk-form4_1711657305.xml · nonDerivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Plan reported Ownership: Indirect · By Aldel LLC Disclosed balance after: 3,449,907 F1 · kind: The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023. F2 · price: This transaction was executed in multiple trades at prices ranging from $9.00 to $9.13. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.direct: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| March 25, 2024 Filed Mar 25, 2024 20:40 UTC | Hagerty, Inc. HGTY · Entity 3968 | SaleClass A Common Stock | 318 | $9.00 | $2,862.00 |
DisclosureSEC source: 0001840776-24-000026 · wk-form4_1711399243.xml · nonDerivative · entry 2 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Plan reported Ownership: Indirect · By Aldel LLC Disclosed balance after: 3,453,872 F1 · kind: The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023. F2 · ownership.direct: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| March 21, 2024 Filed Mar 25, 2024 20:40 UTC | Hagerty, Inc. HGTY · Entity 3968 | SaleClass A Common Stock | 250 | $9.00 | $2,250.00 |
DisclosureSEC source: 0001840776-24-000026 · wk-form4_1711399243.xml · nonDerivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Plan reported Ownership: Indirect · By Aldel LLC Disclosed balance after: 3,454,190 F1 · kind: The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023. F2 · ownership.direct: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| March 14, 2024 Filed Mar 14, 2024 20:51 UTC | Hagerty, Inc. HGTY · Entity 3968 | SaleClass A Common Stock | 1,617 | $9.00 | $14,553.00 |
DisclosureSEC source: 0001840776-24-000024 · wk-form4_1710449479.xml · nonDerivative · entry 3 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Plan reported Ownership: Indirect · By Aldel LLC Disclosed balance after: 3,454,440 F1 · kind: The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023. F2 · ownership.direct: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| March 13, 2024 Filed Mar 14, 2024 20:51 UTC | Hagerty, Inc. HGTY · Entity 3968 | SaleClass A Common Stock | 5,729 | $9.00 | $51,561.00 |
DisclosureSEC source: 0001840776-24-000024 · wk-form4_1710449479.xml · nonDerivative · entry 2 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Plan reported Ownership: Indirect · By Aldel LLC Disclosed balance after: 3,456,057 F1 · kind: The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023. F2 · ownership.direct: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| March 12, 2024 Filed Mar 14, 2024 20:51 UTC | Hagerty, Inc. HGTY · Entity 3968 | SaleClass A Common Stock | 2,529 | $9.00 | $22,761.00 |
DisclosureSEC source: 0001840776-24-000024 · wk-form4_1710449479.xml · nonDerivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Plan reported Ownership: Indirect · By Aldel LLC Disclosed balance after: 3,461,786 F1 · kind: The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023. F2 · ownership.direct: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| March 11, 2024 Filed Mar 11, 2024 20:33 UTC | Hagerty, Inc. HGTY · Entity 3968 | SaleClass A Common Stock | 8,224 | $9.00 | $74,016.00 |
DisclosureSEC source: 0001840776-24-000016 · wk-form4_1710189215.xml · nonDerivative · entry 3 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Plan reported Ownership: Indirect · By Aldel LLC Disclosed balance after: 3,464,315 F1 · kind: The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023. F2 · ownership.direct: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| March 08, 2024 Filed Mar 11, 2024 20:33 UTC | Hagerty, Inc. HGTY · Entity 3968 | SaleClass A Common Stock | 11,711 | $9.00 | $105,399.00 |
DisclosureSEC source: 0001840776-24-000016 · wk-form4_1710189215.xml · nonDerivative · entry 2 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Plan reported Ownership: Indirect · By Aldel LLC Disclosed balance after: 3,472,539 F1 · kind: The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023. F2 · ownership.direct: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| March 07, 2024 Filed Mar 11, 2024 20:33 UTC | Hagerty, Inc. HGTY · Entity 3968 | SaleClass A Common Stock | 15,750 | $9.00 | $141,750.00 |
DisclosureSEC source: 0001840776-24-000016 · wk-form4_1710189215.xml · nonDerivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Plan reported Ownership: Indirect · By Aldel LLC Disclosed balance after: 3,484,250 F1 · kind: The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023. F2 · ownership.direct: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 01, 2023 Filed Apr 5, 2023 21:13 UTC | Hagerty, Inc. HGTY · Entity 3968 | GrantClass A Common Stock | 10,297 | $0.00 | $0.00 |
DisclosureSEC source: 0001840776-23-000050 · wf-form4_168072918851422.xml · nonDerivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,638 F1 · shares: Represents shares of Class A Common Stock of Hagerty, Inc. (the "Issuer") underlying Restricted Stock Units ("RSUs") acquired by the Reporting Person under the Issuer's 2021 Equity Incentive Plan. The RSUs vest on April 1, 2024, subject to the Reporting Person's continued service with the Issuer, with exceptions for death or disability. Read SEC document |
| December 28, 2022 Filed Dec 30, 2022 21:15 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchasePublic Warrants · Derivative | 19,824 | $2.00 Strike: $11.50 | $39,648.00 |
DisclosureSEC source: 0001840776-22-000169 · wf-form4_167243493441324.xml · derivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel LLC Disclosed balance after: 871,384 Underlying: Class A Common Stock · 19,824 shares Expires 2026-12-02 F1 · kind: The reported purchase was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2022. F2 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| December 22, 2022 Filed Dec 23, 2022 22:43 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchasePublic Warrants · Derivative | 9,900 | $2.00 Strike: $11.50 | $19,800.00 |
DisclosureSEC source: 0001840776-22-000167 · wf-form4_167183540350789.xml · derivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel LLC Disclosed balance after: 851,560 Underlying: Class A Common Stock · 9,900 shares Expires 2026-12-02 F1 · kind: The reported purchase was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2022. F2 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| December 19, 2022 Filed Dec 20, 2022 21:45 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchasePublic Warrants · Derivative | 39,284 | $2.00 Strike: $11.50 | $78,568.00 |
DisclosureSEC source: 0001840776-22-000165 · wf-form4_167157271424258.xml · derivative · entry 2 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel LLC Disclosed balance after: 841,660 Underlying: Class A Common Stock · 39,284 shares Expires 2026-12-02 F1 · kind: The reported purchase was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2022. F2 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| December 16, 2022 Filed Dec 20, 2022 21:45 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchasePublic Warrants · Derivative | 19,632 | $2.00 Strike: $11.50 | $39,264.00 |
DisclosureSEC source: 0001840776-22-000165 · wf-form4_167157271424258.xml · derivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel LLC Disclosed balance after: 802,376 Underlying: Class A Common Stock · 19,632 shares Expires 2026-12-02 F1 · kind: The reported purchase was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2022. F2 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| December 09, 2022 Filed Dec 13, 2022 21:14 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchasePublic Warrants · Derivative | 25,087 | $1.99 Strike: $11.50 | $49,923.13 |
DisclosureSEC source: 0001840776-22-000163 · wf-form4_167096606306058.xml · derivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel LLC Disclosed balance after: 782,744 Underlying: Class A Common Stock · 25,087 shares Expires 2026-12-02 F1 · kind: The reported purchase was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2022. F2 · price: This transaction was executed in multiple trades at prices ranging from $1.99 to $2.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| October 12, 2022 Filed Oct 12, 2022 20:54 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchasePublic Warrants · Derivative | 612 | $2.00 Strike: $11.50 | $1,224.00 |
DisclosureSEC source: 0001840776-22-000135 · wf-form4_166560801037194.xml · derivative · entry 3 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel LLC Disclosed balance after: 757,657 Underlying: Class A Common Stock · 612 shares Expires 2026-12-02 F1 · kind: The reported purchase was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2022. F2 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| October 11, 2022 Filed Oct 12, 2022 20:54 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchasePublic Warrants · Derivative | 6,945 | $2.00 Strike: $11.50 | $13,890.00 |
DisclosureSEC source: 0001840776-22-000135 · wf-form4_166560801037194.xml · derivative · entry 2 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel LLC Disclosed balance after: 757,045 Underlying: Class A Common Stock · 6,945 shares Expires 2026-12-02 F1 · kind: The reported purchase was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2022. F2 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| October 07, 2022 Filed Oct 12, 2022 20:54 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchasePublic Warrants · Derivative | 100 | $2.00 Strike: $11.50 | $200.00 |
DisclosureSEC source: 0001840776-22-000135 · wf-form4_166560801037194.xml · derivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel LLC Disclosed balance after: 750,100 Underlying: Class A Common Stock · 100 shares Expires 2026-12-02 F1 · kind: The reported purchase was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2022. F2 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the securities held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 01, 2022 Filed Apr 5, 2022 20:43 UTC | Hagerty, Inc. HGTY · Entity 3968 | GrantClass A Common Stock | 8,341 | $0.00 | $0.00 |
DisclosureSEC source: 0001840776-22-000062 · wf-form4_164919137892917.xml · nonDerivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,341 F1 · shares: Respresents shares of Class A Common Stock of Hagerty, Inc. ("Class A Common Stock") underlying Restricted Stock Units ("RSUs") acquired by the Reporting Person under Hagerty, Inc.'s (the "Issuer") 2021 Equity Incentive Plan. The RSUs vest on April 1, 2023, subject to the Reporting Person's continued service with the Issuer, with exceptions for death or disability. Read SEC document |
| December 02, 2021 Filed Dec 6, 2021 21:30 UTC | Hagerty, Inc. HGTY · Entity 3968 | Exercise / conversionClass B Common Stock · Derivative | 2,225,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-146798 · tm2134710-1_4seq1.xml · derivative · entry 3 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 2,225,000 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. F3 · derivative.exercise_price: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of the Issuer were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. F3 · kind: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of the Issuer were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. F3 · derivative.exercise_date: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of the Issuer were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. F3 · derivative.expiration_date: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of the Issuer were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. F4 · derivative.underlying_shares: Includes 2,200,000 shares held by Aldel Investors LLC. Mr. Kauffman is the manager of Aldel Investors LLC and has voting and investment power over the shares of Class A Common Stock held by Aldel Investors LLC. Read SEC document |
| December 02, 2021 Filed Dec 6, 2021 21:30 UTC | Hagerty, Inc. HGTY · Entity 3968 | Exercise / conversionClass A Common Stock | 2,225,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-146798 · tm2134710-1_4seq1.xml · nonDerivative · entry 2 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,225,000 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: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of the Issuer were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. F4 · shares: Includes 2,200,000 shares held by Aldel Investors LLC. Mr. Kauffman is the manager of Aldel Investors LLC and has voting and investment power over the shares of Class A Common Stock held by Aldel Investors LLC. Read SEC document |
| December 02, 2021 Filed Dec 6, 2021 21:30 UTC | Hagerty, Inc. HGTY · Entity 3968 | OtherClass A Common Stock | 2,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-146798 · tm2134710-1_4seq1.xml · nonDerivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Aldel LLC Disclosed balance after: 2,000,000 F1 · kind: Consists of 2,000,000 shares of Class A Common Stock purchased in a private placement from Aldel Financial Inc. (the "PIPE Financing") by Aldel LLC for $10.00 per share. F2 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the managing member of Aldel LLC and has voting and investment power over the shares of Class A Common Stock held by Aldel LLC. Read SEC document |
| December 02, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchasePIPE Warrants · Derivative | 360,000 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · derivative · entry 15 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel LLC Disclosed balance after: 360,000 Underlying: Class A Common Stock · 360,000 shares Expires 2026-12-02 F5 · security: The shares of Class A common stock are held as part of the PIPE units ("PIPE Units") of Aldel Financial Inc., with each PIPE Unit consisting of one share of Class A Common Stock, par value $0.0001 per share ("Common Stock") and 18% of one PIPE Warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "PIPE Warrants"). The PIPE Units were purchased for $10.00 per share from Aldel Financial Inc. F5 · price: The shares of Class A common stock are held as part of the PIPE units ("PIPE Units") of Aldel Financial Inc., with each PIPE Unit consisting of one share of Class A Common Stock, par value $0.0001 per share ("Common Stock") and 18% of one PIPE Warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "PIPE Warrants"). The PIPE Units were purchased for $10.00 per share from Aldel Financial Inc. F2 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| December 02, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | Exercise / conversionClass B Common Stock · Derivative | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · derivative · entry 14 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 25,000 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. F6 · security: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of Aldel Financial Inc. were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. F8 · derivative.exercise_price: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F6 · price: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of Aldel Financial Inc. were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. F8 · derivative.exercise_date: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F8 · derivative.expiration_date: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. Read SEC document |
| December 02, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | Exercise / conversionClass B Common Stock · Derivative | 2,200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · derivative · entry 13 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel Investors LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 2,200,000 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. F6 · security: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of Aldel Financial Inc. were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. F8 · derivative.exercise_price: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F6 · price: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of Aldel Financial Inc. were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. F8 · derivative.exercise_date: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F8 · derivative.expiration_date: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F4 · ownership.nature: Held by Aldel Investors LLC. Mr. Kauffman is the manager of Aldel Investors LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel Investors LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| December 02, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | Exercise / conversionClass A Common Stock | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · nonDerivative · entry 5 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 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. F6 · security: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of Aldel Financial Inc. were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. F6 · price: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of Aldel Financial Inc. were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. Read SEC document |
| December 02, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | Exercise / conversionClass A Common Stock | 2,200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · nonDerivative · entry 4 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel Investors LLC Disclosed balance after: 2,200,000 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. F6 · security: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of Aldel Financial Inc. were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. F6 · price: As described in Aldel Financial Inc.'s definitive proxy statement dated November 10, 2021 under the heading "Description of Securities of Aldel- Founder Shares," the shares of Class B common stock of Aldel Financial Inc. were automatically converted into shares of Class A common stock at the time of the registrant's initial business combination on a one-for-one basis. F4 · ownership.nature: Held by Aldel Investors LLC. Mr. Kauffman is the manager of Aldel Investors LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel Investors LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| December 02, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchaseClass A Common Stock | 2,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · nonDerivative · entry 3 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel LLC Disclosed balance after: 2,000,000 F5 · security: The shares of Class A common stock are held as part of the PIPE units ("PIPE Units") of Aldel Financial Inc., with each PIPE Unit consisting of one share of Class A Common Stock, par value $0.0001 per share ("Common Stock") and 18% of one PIPE Warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "PIPE Warrants"). The PIPE Units were purchased for $10.00 per share from Aldel Financial Inc. F5 · price: The shares of Class A common stock are held as part of the PIPE units ("PIPE Units") of Aldel Financial Inc., with each PIPE Unit consisting of one share of Class A Common Stock, par value $0.0001 per share ("Common Stock") and 18% of one PIPE Warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "PIPE Warrants"). The PIPE Units were purchased for $10.00 per share from Aldel Financial Inc. F2 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 25, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | Disposition to issuerClass B Common Stock · Derivative | 2,300,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · derivative · entry 12 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel Investors LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 2,300,000 shares Expires not disclosed F14 · security: On March 25, 2021, Aldel Investors LLC forfeited to Aldel Financial Inc. for no consideration, 2,300,000 shares of Class B Common Stock. F8 · derivative.exercise_price: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F14 · price: On March 25, 2021, Aldel Investors LLC forfeited to Aldel Financial Inc. for no consideration, 2,300,000 shares of Class B Common Stock. F8 · derivative.exercise_date: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F8 · derivative.expiration_date: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F4 · ownership.nature: Held by Aldel Investors LLC. Mr. Kauffman is the manager of Aldel Investors LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel Investors LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 12, 2021 Filed Apr 14, 2021 17:23 UTC | Hagerty, Inc. ADF · Entity 3968 | PurchaseClass A Common Stock | 515,000 | $10.00 | $5,150,000.00 |
DisclosureSEC source: 0001104659-21-050135 · tm2112929d1_form4.xml · nonDerivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Aldel Investors LLC Disclosed balance after: 515,000 F1 · kind: Consists of 515,000 of the Issuer's Private Placement Units, as described under the heading "Description of Securities" in the Issuer's registration statement on Form S-1 (File No. 333-253166), purchased by Aldel Investors LLC for $10.00 per Private Placement Unit. F2 · ownership.nature: Held by Aldel Investors LLC (the "Sponsor"). Mr. Kauffman is a manager of the Sponsor and has voting and investment discretion with respect to the shares of common stock held of record by the Sponsor. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 12, 2021 Filed May 15, 2021 01:50 UTC Amendment | Hagerty, Inc. ADF · Entity 3968 | PurchaseWarrant · Derivative | 257,500 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001104659-21-067158 · tm2116415d2_form4a.xml · derivative · entry 4 KAUFFMAN ROBERT I · CIK 0001124462 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 257,500 Underlying: Class A Common stock, par value $0.0001 · 257,500 shares Expires not disclosed F4 · security: Simultaneously with the consummation of the Company's initial public offering, Aldel Investors LLC (the "Sponsor") acquired, at a price of $10.00 per unit, 515,000 units (the "Private Units") in a private placement for an aggregate purchase price of $5,150,000. Each Private Unit consists of one share of Common Stock and one-half of one Warrant. F2 · price: The Public Units and Private Units were purchased for $10.00 per unit. F6 · derivative.exercise_date: The Warrants included in the Public Units and the Private Units will become exercisable at any time commencing on the later of (a) 12 months from April 12, 2021, the closing date of the Company's initial public offering, or (b) 30 days after the completion of the Company's initial business combination. F7 · derivative.expiration_date: The Warrants will expire five years after the completion of the Company's initial business combination, at 5:00 p.m., New York City time, or earlier upon redemption or liquidation. F5 · ownership.nature: Held by the Sponsor. Mr. Kauffman is a manager of the Sponsor and has voting and investment discretion with respect to the shares of common stock held of record by the Sponsor. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 12, 2021 Filed May 15, 2021 01:50 UTC Amendment | Hagerty, Inc. ADF · Entity 3968 | PurchaseClass A Common stock, par value $0.0001 | 515,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-067158 · tm2116415d2_form4a.xml · nonDerivative · entry 2 KAUFFMAN ROBERT I · CIK 0001124462 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Aldel Investors LLC Disclosed balance after: 515,000 F4 · security: Simultaneously with the consummation of the Company's initial public offering, Aldel Investors LLC (the "Sponsor") acquired, at a price of $10.00 per unit, 515,000 units (the "Private Units") in a private placement for an aggregate purchase price of $5,150,000. Each Private Unit consists of one share of Common Stock and one-half of one Warrant. F2 · price: The Public Units and Private Units were purchased for $10.00 per unit. F5 · ownership.nature: Held by the Sponsor. Mr. Kauffman is a manager of the Sponsor and has voting and investment discretion with respect to the shares of common stock held of record by the Sponsor. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 12, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchasePrivate Placement Warrants · Derivative | 257,500 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · derivative · entry 11 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel Investors LLC Disclosed balance after: 257,500 Underlying: Class A Common Stock · 257,500 shares Expires 2026-12-02 F3 · security: Simultaneously with the consummation of the initial public offering of Aldel Financial Inc., Aldel Investors LLC acquired, at a price of $10.00 per unit, 515,000 units (the "Private Units") in a private placement for an aggregate purchase price of $5,150,000. Each Private Unit consists of one share of Class A Common Stock and one-half of one Private Placement Warrant to purchase one share of Class A Common Stock at an exercise price of $11.50 per share. F12 · security: Pursuant to the Sponsor Warrant Lock-Up Agreement dated as of December 2, 2021, the Private Placement Warrants are not exercisable until the date on which the volume weighted average trading price of the Class A Common Stock exceeds $15.00 per share (as adjusted for stock splits, stock dividends, reorganizations and recapitalizations) for any 20 trading days within any 30-trading day period commencing December 2, 2022, and the OTM Warrants are not exercisable until the date on which the volume weighted average trading price of the common stock of the Class A Common Stock exceeds $18.00 per share (as adjusted for stock splits, stock dividends, reorganizations and recapitalizations) for any 20 trading days within any 30-trading day period commencing June 2, 2023. F3 · price: Simultaneously with the consummation of the initial public offering of Aldel Financial Inc., Aldel Investors LLC acquired, at a price of $10.00 per unit, 515,000 units (the "Private Units") in a private placement for an aggregate purchase price of $5,150,000. Each Private Unit consists of one share of Class A Common Stock and one-half of one Private Placement Warrant to purchase one share of Class A Common Stock at an exercise price of $11.50 per share. F4 · ownership.nature: Held by Aldel Investors LLC. Mr. Kauffman is the manager of Aldel Investors LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel Investors LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 12, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchaseClass A Common Stock | 515,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · nonDerivative · entry 2 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel Investors LLC Disclosed balance after: 515,000 F3 · security: Simultaneously with the consummation of the initial public offering of Aldel Financial Inc., Aldel Investors LLC acquired, at a price of $10.00 per unit, 515,000 units (the "Private Units") in a private placement for an aggregate purchase price of $5,150,000. Each Private Unit consists of one share of Class A Common Stock and one-half of one Private Placement Warrant to purchase one share of Class A Common Stock at an exercise price of $11.50 per share. F3 · price: Simultaneously with the consummation of the initial public offering of Aldel Financial Inc., Aldel Investors LLC acquired, at a price of $10.00 per unit, 515,000 units (the "Private Units") in a private placement for an aggregate purchase price of $5,150,000. Each Private Unit consists of one share of Class A Common Stock and one-half of one Private Placement Warrant to purchase one share of Class A Common Stock at an exercise price of $11.50 per share. F4 · ownership.nature: Held by Aldel Investors LLC. Mr. Kauffman is the manager of Aldel Investors LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel Investors LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 09, 2021 Filed May 15, 2021 01:50 UTC Amendment | Hagerty, Inc. ADF · Entity 3968 | PurchaseWarrant · Derivative | 750,000 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001104659-21-067158 · tm2116415d2_form4a.xml · derivative · entry 3 KAUFFMAN ROBERT I · CIK 0001124462 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 750,000 Underlying: Class A Common stock, par value $0.0001 · 750,000 shares Expires not disclosed F1 · security: The shares of Class A common stock are held as part of the public units ("Public Units") of Aldel Financial Inc. (the "Company"), with each Public Unit consisting of one share of Class A common stock, par value $0.0001 per share ("Common Stock") and one-half of one warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "Warrants"). F2 · price: The Public Units and Private Units were purchased for $10.00 per unit. F6 · derivative.exercise_date: The Warrants included in the Public Units and the Private Units will become exercisable at any time commencing on the later of (a) 12 months from April 12, 2021, the closing date of the Company's initial public offering, or (b) 30 days after the completion of the Company's initial business combination. F7 · derivative.expiration_date: The Warrants will expire five years after the completion of the Company's initial business combination, at 5:00 p.m., New York City time, or earlier upon redemption or liquidation. F3 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 09, 2021 Filed May 15, 2021 01:50 UTC Amendment | Hagerty, Inc. ADF · Entity 3968 | PurchaseClass A Common stock, par value $0.0001 | 1,500,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-067158 · tm2116415d2_form4a.xml · nonDerivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Aldel LLC Disclosed balance after: 1,500,000 F1 · security: The shares of Class A common stock are held as part of the public units ("Public Units") of Aldel Financial Inc. (the "Company"), with each Public Unit consisting of one share of Class A common stock, par value $0.0001 per share ("Common Stock") and one-half of one warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "Warrants"). F2 · price: The Public Units and Private Units were purchased for $10.00 per unit. F3 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 09, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchasePublic Warrants · Derivative | 750,000 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · derivative · entry 10 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel LLC Disclosed balance after: 750,000 Underlying: Class A Common Stock · 750,000 shares Expires 2026-12-02 F1 · security: The shares of Class A common stock were acquired as part of the public units ("Public Units") of Aldel Financial Inc. in connection with its initial public offering. Each Public Unit consisted of one share of Class A Common Stock and one-half of one Public Warrant to purchase one share of Class A Common Stock at an exercise price of $11.50 per share (the "Public Warrants"). The Public Units were purchased for $10.00 per share. F13 · security: The Public Warrants are exercisable beginning on April 12, 2022. F1 · price: The shares of Class A common stock were acquired as part of the public units ("Public Units") of Aldel Financial Inc. in connection with its initial public offering. Each Public Unit consisted of one share of Class A Common Stock and one-half of one Public Warrant to purchase one share of Class A Common Stock at an exercise price of $11.50 per share (the "Public Warrants"). The Public Units were purchased for $10.00 per share. F2 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 09, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchaseClass A Common Stock | 1,500,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · nonDerivative · entry 1 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel LLC Disclosed balance after: 1,500,000 F1 · security: The shares of Class A common stock were acquired as part of the public units ("Public Units") of Aldel Financial Inc. in connection with its initial public offering. Each Public Unit consisted of one share of Class A Common Stock and one-half of one Public Warrant to purchase one share of Class A Common Stock at an exercise price of $11.50 per share (the "Public Warrants"). The Public Units were purchased for $10.00 per share. F1 · price: The shares of Class A common stock were acquired as part of the public units ("Public Units") of Aldel Financial Inc. in connection with its initial public offering. Each Public Unit consisted of one share of Class A Common Stock and one-half of one Public Warrant to purchase one share of Class A Common Stock at an exercise price of $11.50 per share (the "Public Warrants"). The Public Units were purchased for $10.00 per share. F2 · ownership.nature: Held by Aldel LLC. Mr. Kauffman is the manager of Aldel LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 08, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchaseOTM Warrants · Derivative | 650,000 | $0.10 Strike: $15.00 | $65,000.00 |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · derivative · entry 9 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel Investors LLC Disclosed balance after: 650,000 Underlying: Class A Common Stock · 650,000 shares Expires 2026-12-02 F11 · security: Consists of 650,000 OTM Warrants purchased pursuant to the OTM Warrants Purchase Agreement, dated April 8, 2021, by and among Aldel Financial Inc., Aldel Investors LLC, a Delaware limited liability company, and FG SPAC Partners LP, a Delaware limited partnership. Each OTM Warrant is exercisable for one share of Class A Common Stock at an exercise price of $15.00 per share. F12 · security: Pursuant to the Sponsor Warrant Lock-Up Agreement dated as of December 2, 2021, the Private Placement Warrants are not exercisable until the date on which the volume weighted average trading price of the Class A Common Stock exceeds $15.00 per share (as adjusted for stock splits, stock dividends, reorganizations and recapitalizations) for any 20 trading days within any 30-trading day period commencing December 2, 2022, and the OTM Warrants are not exercisable until the date on which the volume weighted average trading price of the common stock of the Class A Common Stock exceeds $18.00 per share (as adjusted for stock splits, stock dividends, reorganizations and recapitalizations) for any 20 trading days within any 30-trading day period commencing June 2, 2023. F4 · ownership.nature: Held by Aldel Investors LLC. Mr. Kauffman is the manager of Aldel Investors LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel Investors LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| January 15, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | GrantClass B Common Stock · Derivative | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · derivative · entry 8 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 25,000 shares Expires not disclosed F10 · security: On January 15, 2021, Robert Kauffman received 25,000 shares of Class B Common Stock from Aldel Investors LLC. F8 · derivative.exercise_price: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F10 · price: On January 15, 2021, Robert Kauffman received 25,000 shares of Class B Common Stock from Aldel Investors LLC. F8 · derivative.exercise_date: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F8 · derivative.expiration_date: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. Read SEC document |
| January 15, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | Disposition to issuerClass B Common Stock · Derivative | 175,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · derivative · entry 7 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel Investors LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 175,000 shares Expires not disclosed F9 · security: On January 15, 2021, the Aldel Investors LLC transferred an aggregate of 175,000 shares of Class B Common Stock to members of the Aldel Financial Inc.'s management and board of directors as well as senior advisors. F8 · derivative.exercise_price: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F9 · price: On January 15, 2021, the Aldel Investors LLC transferred an aggregate of 175,000 shares of Class B Common Stock to members of the Aldel Financial Inc.'s management and board of directors as well as senior advisors. F8 · derivative.exercise_date: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F8 · derivative.expiration_date: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F4 · ownership.nature: Held by Aldel Investors LLC. Mr. Kauffman is the manager of Aldel Investors LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel Investors LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| January 11, 2021 Filed Feb 14, 2022 21:10 UTC | Hagerty, Inc. HGTY · Entity 3968 | PurchaseClass B Common Stock · Derivative | 4,675,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001840776-22-000010 · wf-form5_164487297893311.xml · derivative · entry 6 KAUFFMAN ROBERT I · CIK 0001124462 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Aldel Investors LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 2,200,000 shares Expires not disclosed F7 · security: On January 11, 2021, Aldel Financial Inc. issued 4,675,000 shares of Class B Common Stock to Aldel Investors LLC for a purchase price of $20,326.09. F8 · derivative.exercise_price: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F7 · price: On January 11, 2021, Aldel Financial Inc. issued 4,675,000 shares of Class B Common Stock to Aldel Investors LLC for a purchase price of $20,326.09. F8 · derivative.exercise_date: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F8 · derivative.expiration_date: On December 2, 2021, upon closing of the initial business combination, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. F4 · ownership.nature: Held by Aldel Investors LLC. Mr. Kauffman is the manager of Aldel Investors LLC and has voting and investment discretion with respect to the shares of common stock held of record by Aldel Investors LLC. Mr. Kauffman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. 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.