Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALKAMI TECHNOLOGY, INC.ALKT · Entity 1625 | Director | October 05, 2026 | October 07, 2026 |
| ASPEN AEROGELS INCASPN · Entity 5645 | Director | May 13, 2026 | May 14, 2026 |
| StepStone Group Inc.STEP · Entity 3755 | Director | September 08, 2026 | September 10, 2026 |
| USA Compression Partners, LPUSAC · Entity 4060 | 10% owner | August 30, 2013 | March 23, 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.
ALKAMI TECHNOLOGY, INC.
Report date October 05, 2026 · Filed October 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 98,516 |
Reported balance
After 2026-10-05 transaction · row 1
1 source rowRow 1 · 2026-10-05 · Grant · Acquired 490 · Balance 98,516 F1: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,521,611 |
Reported balance
Holding disclosure · report date 2026-10-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,521,611 F2: Shares held by ARG Private Equity II, LLC ("APE II"). The Reporting Person, a member of the Issuer's board of directors, serves as an adviser to APE II and may be deemed to have beneficial ownership of the shares held by APE II. The Reporting Person disclaims beneficial ownership of all such shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan.
F2: Shares held by ARG Private Equity II, LLC ("APE II"). The Reporting Person, a member of the Issuer's board of directors, serves as an adviser to APE II and may be deemed to have beneficial ownership of the shares held by APE II. The Reporting Person disclaims beneficial ownership of all such shares except to the extent of his pecuniary interest therein.
ASPEN AEROGELS INC
Report date May 13, 2026 · Filed May 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 156,898 |
Reported balance
After 2026-05-13 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-05-13 · Grant · Acquired 10,370 · Balance 156,898 F1: The reporting person was granted Restricted Stock Units ("RSUs") representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. Each RSU represents the right to receive one share of Common Stock upon vesting. These RSUs will vest on the earlier of (a) May 13, 2027, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2027. F2: Represents 146,528 shares of Common Stock and 10,370 RSUs. |
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.40 · Expires 2036-05-13 | Direct | 8,706 |
Reported balance
After 2026-05-13 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-05-13 · Grant · Acquired 8,706 · Balance 8,706 F3: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) May 13, 2027, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person was granted Restricted Stock Units ("RSUs") representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. Each RSU represents the right to receive one share of Common Stock upon vesting. These RSUs will vest on the earlier of (a) May 13, 2027, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2027.
F2: Represents 146,528 shares of Common Stock and 10,370 RSUs.
F3: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) May 13, 2027, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2027.
StepStone Group Inc.
Report date September 08, 2026 · Filed September 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 17,621 |
Reported balance
After 2026-09-08 transaction · row 1
1 source rowRow 1 · 2026-09-08 · Grant · Acquired 4,828 · Balance 17,621 F1: Represents the number of shares of Class A Common Stock issued to the Reporting Person pursuant to an award of restricted stock units as compensation for the Reporting Person's service on the Issuer's board of directors. The award vests in full on the earlier of the first anniversary of the grant date or the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continued service to the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the number of shares of Class A Common Stock issued to the Reporting Person pursuant to an award of restricted stock units as compensation for the Reporting Person's service on the Issuer's board of directors. The award vests in full on the earlier of the first anniversary of the grant date or the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continued service to the Issuer.
USA Compression Partners, LP
Report date August 30, 2013 · Filed March 23, 2017 · Amendment
Jointly reported with ARG Private Equity, LLC, Millican Don P., Dorwart Frederic, KINNEAR KENNETH K, KAISER GEORGE B
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common UnitsSEC Table I · non-derivative | Direct | 6,676,874 |
Reported balance
Holding disclosure · report date 2013-08-30 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 6,676,874 F1: These securities are owned solely by Argonaut Private Equity, L.L.C. ("Argonaut"). |
| Common UnitsSEC Table I · non-derivative | Direct | 148,505 |
Reported balance
Holding disclosure · report date 2013-08-30 · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · Balance 148,505 F2: As the managers of Argonaut, Messrs. Mitchell, Millican, Dorwart, and Kinnear are in possession of sole voting and investment power of the Common Units held by Argonaut and may also be deemed to beneficially own the 6,676,874 Common Units held by Argonaut. F3: These securities are owned solely by Steven R. Mitchell. |
| Common UnitsSEC Table I · non-derivative | Direct | 74,253 |
Reported balance
Holding disclosure · report date 2013-08-30 · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · Balance 74,253 F2: As the managers of Argonaut, Messrs. Mitchell, Millican, Dorwart, and Kinnear are in possession of sole voting and investment power of the Common Units held by Argonaut and may also be deemed to beneficially own the 6,676,874 Common Units held by Argonaut. F4: These securities are owned solely by Don P. Millican. |
| Common UnitsSEC Table I · non-derivative | Direct | 7,425 |
Reported balance
Holding disclosure · report date 2013-08-30 · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · Balance 7,425 F2: As the managers of Argonaut, Messrs. Mitchell, Millican, Dorwart, and Kinnear are in possession of sole voting and investment power of the Common Units held by Argonaut and may also be deemed to beneficially own the 6,676,874 Common Units held by Argonaut. F5: These securities are owned solely by Frederic Dorwart. |
| Common UnitsSEC Table I · non-derivative | Direct | 2,970 |
Reported balance
Holding disclosure · report date 2013-08-30 · row 5
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 5 · Balance 2,970 F2: As the managers of Argonaut, Messrs. Mitchell, Millican, Dorwart, and Kinnear are in possession of sole voting and investment power of the Common Units held by Argonaut and may also be deemed to beneficially own the 6,676,874 Common Units held by Argonaut. F6: These securities are owned solely by Ken Kinnear. |
| Common UnitsSEC Table I · non-derivative | Direct | 6,684,299 |
Reported balance
Holding disclosure · report date 2013-08-30 · row 6
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 6 · Balance 6,684,299 F7: George B. Kaiser solely owns 7,425 Common Units. As the sole member of Argonaut, Mr. Kaiser is in indirect possession of sole voting and investment power of the Common Units held by Argonaut and may also be deemed to beneficially own the 6,676,874 Common Units held by Argonaut. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are owned solely by Argonaut Private Equity, L.L.C. ("Argonaut").
F2: As the managers of Argonaut, Messrs. Mitchell, Millican, Dorwart, and Kinnear are in possession of sole voting and investment power of the Common Units held by Argonaut and may also be deemed to beneficially own the 6,676,874 Common Units held by Argonaut.
F3: These securities are owned solely by Steven R. Mitchell.
F4: These securities are owned solely by Don P. Millican.
F5: These securities are owned solely by Frederic Dorwart.
F6: These securities are owned solely by Ken Kinnear.
F7: George B. Kaiser solely owns 7,425 Common Units. As the sole member of Argonaut, Mr. Kaiser is in indirect possession of sole voting and investment power of the Common Units held by Argonaut and may also be deemed to beneficially own the 6,676,874 Common Units held by Argonaut.
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 |
|---|---|---|---|---|---|---|
| October 05, 2026 Filed Oct 7, 2026 21:18 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 490 | $0.00 | $0.00 |
DisclosureSEC source: 0001610279-26-000015 · wk-form4_1791407886.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 98,516 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| September 08, 2026 Filed Sep 10, 2026 22:38 UTC | StepStone Group Inc. STEP · Entity 3755 | GrantClass A Common Stock | 4,828 | $50.74 | $244,972.72 |
DisclosureSEC source: 0001610279-26-000012 · wk-form4_1789079898.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,621 F1 · shares: Represents the number of shares of Class A Common Stock issued to the Reporting Person pursuant to an award of restricted stock units as compensation for the Reporting Person's service on the Issuer's board of directors. The award vests in full on the earlier of the first anniversary of the grant date or the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continued service to the Issuer. F1 · price: Represents the number of shares of Class A Common Stock issued to the Reporting Person pursuant to an award of restricted stock units as compensation for the Reporting Person's service on the Issuer's board of directors. The award vests in full on the earlier of the first anniversary of the grant date or the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| July 05, 2026 Filed Jul 7, 2026 22:46 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 533 | $0.00 | $0.00 |
DisclosureSEC source: 0001610279-26-000010 · wk-form4_1783464366.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 98,026 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| May 19, 2026 Filed May 21, 2026 22:56 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 11,357 | $0.00 | $0.00 |
DisclosureSEC source: 0001610279-26-000008 · wk-form4_1779404168.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 97,493 F1 · shares: Represents restricted stock units (RSUs) which vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date. Each RSU represents a contingent right to receive one share of common stock. The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Plan. Read SEC document |
| May 13, 2026 Filed May 14, 2026 21:30 UTC | ASPEN AEROGELS INC ASPN · Entity 5645 | GrantStock Options (Right to Buy) · Derivative | 8,706 | $0.00 Strike: $5.40 | $0.00 |
DisclosureSEC source: 0001193125-26-224377 · ownership.xml · derivative · entry 2 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,706 Underlying: Common Stock · 8,706 shares Expires 2036-05-13 F3 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) May 13, 2027, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2027. Read SEC document |
| May 13, 2026 Filed May 14, 2026 21:30 UTC | ASPEN AEROGELS INC ASPN · Entity 5645 | GrantCommon Stock | 10,370 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-224377 · ownership.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 156,898 F1 · shares: The reporting person was granted Restricted Stock Units ("RSUs") representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. Each RSU represents the right to receive one share of Common Stock upon vesting. These RSUs will vest on the earlier of (a) May 13, 2027, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2027. F2 · balance_after: Represents 146,528 shares of Common Stock and 10,370 RSUs. Read SEC document |
| April 05, 2026 Filed Apr 7, 2026 22:19 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 524 | $0.00 | $0.00 |
DisclosureSEC source: 0001610279-26-000006 · wk-form4_1775600382.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 86,136 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| February 23, 2026 Filed Feb 25, 2026 21:46 UTC | StepStone Group Inc. STEP · Entity 3755 | PurchaseClass A Common Stock | 11,507 | $44.18 | $508,379.26 |
DisclosureSEC source: 0001610279-26-000003 · wk-form4_1772056013.xml · nonDerivative · entry 3 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,793 Read SEC document |
| February 23, 2026 Filed Feb 25, 2026 21:46 UTC | StepStone Group Inc. STEP · Entity 3755 | PurchaseClass A Common Stock | 86 | $44.33 | $3,812.38 |
DisclosureSEC source: 0001610279-26-000003 · wk-form4_1772056013.xml · nonDerivative · entry 2 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,286 Read SEC document |
| February 23, 2026 Filed Feb 25, 2026 21:46 UTC | StepStone Group Inc. STEP · Entity 3755 | PurchaseClass A Common Stock | 1,200 | $44.65 | $53,580.00 |
DisclosureSEC source: 0001610279-26-000003 · wk-form4_1772056013.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,200 Read SEC document |
| January 05, 2026 Filed Jan 8, 2026 00:16 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 396 | $0.00 | $0.00 |
DisclosureSEC source: 0001610279-26-000002 · wk-form4_1767831378.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,612 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| October 05, 2025 Filed Oct 7, 2025 20:22 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 347 | $0.00 | $0.00 |
DisclosureSEC source: 0001610279-25-000007 · wk-form4_1759868573.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,216 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| July 05, 2025 Filed Jul 8, 2025 21:10 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 301 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-25-000136 · wk-form4_1752009018.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 84,869 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| May 14, 2025 Filed May 16, 2025 20:35 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 7,225 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-25-000096 · wk-form4_1747427689.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 84,568 F1 · shares: Represents restricted stock units (RSUs) which vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date. Each RSU represents a contingent right to receive one share of common stock. The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Plan. Read SEC document |
| April 30, 2025 Filed May 2, 2025 00:52 UTC | ASPEN AEROGELS INC ASPN · Entity 5645 | GrantStock Options (Right to Buy) · Derivative | 9,105 | $0.00 Strike: $5.40 | $0.00 |
DisclosureSEC source: 0000950170-25-062218 · ownership.xml · derivative · entry 2 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,105 Underlying: Common Stock · 9,105 shares Expires 2035-04-30 F3 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) April 30, 2026, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2026. Read SEC document |
| April 30, 2025 Filed May 2, 2025 00:52 UTC | ASPEN AEROGELS INC ASPN · Entity 5645 | GrantCommon Stock | 10,370 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-062218 · ownership.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 146,528 F1 · shares: The reporting person was granted Restricted Stock Units ("RSUs") representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. Each RSU represents the right to receive one share of Common Stock upon vesting. These RSUs will vest on the earlier of (a) April 30, 2026, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2026. F2 · balance_after: Represents 136,158 shares of Common Stock and 10,370 RSUs Read SEC document |
| April 05, 2025 Filed Apr 7, 2025 23:00 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 325 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-25-000059 · wk-form4_1744066829.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,343 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| January 05, 2025 Filed Jan 8, 2025 00:28 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 219 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-25-000004 · wk-form4_1736296128.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,018 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| October 05, 2024 Filed Oct 8, 2024 21:08 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 272 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-24-000197 · wk-form4_1728421710.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,799 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| July 05, 2024 Filed Jul 9, 2024 20:57 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 311 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-24-000150 · wk-form4_1720558628.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,527 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| June 11, 2024 Filed Jun 12, 2024 23:54 UTC | StepStone Group Inc. STEP · Entity 3755 | SaleClass A Common Stock | 27,500 | $44.34 | $1,219,350.00 |
DisclosureSEC source: 0001796022-24-000057 · wk-form4_1718236435.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: The sales reported in this Form 4 were effected in multiple trades at prices ranging from $44.25 to $44.75. The price reported above reflects the weighted average sales 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. Read SEC document |
| May 30, 2024 Filed May 31, 2024 22:37 UTC | ASPEN AEROGELS INC ASPN · Entity 5645 | GrantStock Options (Right to Buy) · Derivative | 1,657 | $0.00 Strike: $29.50 | $0.00 |
DisclosureSEC source: 0000950170-24-067549 · ownership.xml · derivative · entry 2 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,657 Underlying: Common Stock · 1,657 shares Expires 2034-05-30 F2 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) May 30, 2025, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2025. Read SEC document |
| May 30, 2024 Filed May 31, 2024 22:37 UTC | ASPEN AEROGELS INC ASPN · Entity 5645 | GrantCommon Stock | 1,898 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-067549 · ownership.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,158 F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) May 30, 2025, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2025. Read SEC document |
| May 15, 2024 Filed May 17, 2024 21:54 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 6,853 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-24-000106 · wk-form4_1715982833.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,216 F1 · shares: Represents restricted stock units (RSUs) which vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date. Each RSU represents a contingent right to receive one share of common stock. The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Plan. Read SEC document |
| April 05, 2024 Filed Apr 8, 2024 23:19 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 354 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-24-000076 · wk-form4_1712618354.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 69,363 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| January 05, 2024 Filed Jan 9, 2024 21:35 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 367 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-24-000004 · wk-form4_1704836090.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 69,009 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| October 05, 2023 Filed Oct 6, 2023 23:08 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 485 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-23-000175 · wk-form4_1696633708.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 68,642 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| September 07, 2023 Filed Sep 8, 2023 00:42 UTC | ASPEN AEROGELS INC ASPN · Entity 5645 | PurchaseCommon Stock | 7,541 | $6.50 | $49,008.96 |
DisclosureSEC source: 0001209191-23-048712 · doc4.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 134,260 F1 · shares: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.485 to $6.50 per share. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F2 · balance_after: Includes 7,488 shares of Restricted Stock. Read SEC document |
| September 05, 2023 Filed Sep 6, 2023 23:29 UTC | ASPEN AEROGELS INC ASPN · Entity 5645 | PurchaseCommon Stock | 50,000 | $6.17 | $308,455.00 |
DisclosureSEC source: 0001209191-23-048547 · doc4.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 126,719 F1 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.115 to $6.19 per share. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F2 · balance_after: Includes 7,488 shares of Restricted Stock. Read SEC document |
| July 28, 2023 Filed Jul 31, 2023 20:35 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | OtherCommon Stock | 10,086,450 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-23-000146 · wk-form4_1690835712.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 2,521,611 F1 · kind: ARG Private Equity II, LLC ("APE II") fka Argonaut Private Equity II, LLC transferred 10,086,450 shares owned directly by APE II to George B. Kaiser ("Kaiser"). F2 · ownership.nature: Shares held by ARG Private Equity II, LLC ("APE II"). The Reporting Person, a member of the Issuer's board of directors, serves as an adviser to APE II and may be deemed to have beneficial ownership of the shares held by APE II. The Reporting Person disclaims beneficial ownership of all such shares except to the extent of his pecuniary interest therein. Read SEC document |
| July 05, 2023 Filed Jul 7, 2023 21:21 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 552 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-23-000140 · wk-form4_1688764867.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 68,157 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| June 01, 2023 Filed Jun 2, 2023 20:16 UTC | ASPEN AEROGELS INC ASPN · Entity 5645 | GrantStock Option (Right-to-Buy) · Derivative | 7,712 | $0.00 Strike: $6.81 | $0.00 |
DisclosureSEC source: 0001209191-23-033694 · doc4.xml · derivative · entry 2 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,712 Underlying: Common Stock · 7,712 shares Expires 2033-06-01 F2 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 1, 2024, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2024. Read SEC document |
| June 01, 2023 Filed Jun 2, 2023 20:16 UTC | ASPEN AEROGELS INC ASPN · Entity 5645 | GrantCommon Stock | 7,488 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-033694 · doc4.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,719 F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 1, 2024, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2024. Read SEC document |
| May 17, 2023 Filed May 19, 2023 20:10 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 13,699 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-23-000104 · wf-form4_168452701600048.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,605 F1 · shares: Represents restricted stock units (RSUs) which vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date. Each RSU represents a contingent right to receive one share of common stock. The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| April 05, 2023 Filed Apr 7, 2023 20:16 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 631 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-23-000075 · wf-form4_168089859772120.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,906 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| January 05, 2023 Filed Jan 9, 2023 22:17 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 636 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-23-000016 · wf-form4_167330261415739.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,275 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| October 05, 2022 Filed Oct 7, 2022 21:44 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 562 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-22-000160 · wf-form4_166517902656948.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,639 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| July 05, 2022 Filed Jul 6, 2022 21:57 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 642 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-22-000133 · wf-form4_165714463324178.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,077 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| June 02, 2022 Filed Jun 6, 2022 23:08 UTC | ASPEN AEROGELS INC ASPN · Entity 5645 | GrantStock Option (Right-to-Buy) · Derivative | 3,178 | $0.00 Strike: $18.89 | $0.00 |
DisclosureSEC source: 0001209191-22-034702 · doc4.xml · derivative · entry 2 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,178 Underlying: Common Stock · 3,178 shares Expires 2032-06-02 F2 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023. Read SEC document |
| June 02, 2022 Filed Jun 6, 2022 23:08 UTC | ASPEN AEROGELS INC ASPN · Entity 5645 | GrantCommon Stock | 2,699 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-034702 · doc4.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,231 F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023. Read SEC document |
| May 18, 2022 Filed May 20, 2022 21:52 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 14,179 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-22-000101 · wf-form4_165308351457893.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,435 F1 · shares: Represents restricted stock units (RSUs) which vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date. Each RSU represents a contingent right to receive one share of common stock. The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| April 05, 2022 Filed Apr 7, 2022 22:53 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 590 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-22-000057 · wf-form4_164937200334765.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,256 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| January 05, 2022 Filed Jan 7, 2022 23:28 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 379 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-22-000009 · wf-form4_164159810951705.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,666 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| November 18, 2021 Filed Nov 19, 2021 17:43 UTC | StepStone Group Inc. STEP · Entity 3755 | ConversionClass B Units · Derivative | 1,330,336 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001394221-21-000002 · primary_doc.xml · derivative · entry 4 ARG Private Equity, LLC · CIK 0001585937 · 10% owner ARGO Holdings, LLC · CIK 0001394221 · 10% owner KAISER GEORGE B · CIK 0001163432 · 10% owner Mitchell Steven R · CIK 0001610279 · Director · 10% owner Waldo Robert · CIK 0001728668 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,662,708 Underlying: Class A Common Stock · 1,330,336 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. F4 · derivative.exercise_price: The Class B Units are exchangeable, on a one-for-one basis, for shares of Class A Common Stock of the Issuer. Upon exchange of a Class B Unit, the corresponding share of Class B Common Stock of the Issuer will be automatically redeemed and cancelled. F1 · kind: On November 18, 2021, the Reporting Person exchanged 1,330,336 Class B Units of StepStone Group LP for 1,330,336 shares of Class A Common Stock. In connection with the exchange, 1,330,336 shares of Class B Common Stock were automatically redeemed and cancelled. F4 · price: The Class B Units are exchangeable, on a one-for-one basis, for shares of Class A Common Stock of the Issuer. Upon exchange of a Class B Unit, the corresponding share of Class B Common Stock of the Issuer will be automatically redeemed and cancelled. F4 · derivative.exercise_date: The Class B Units are exchangeable, on a one-for-one basis, for shares of Class A Common Stock of the Issuer. Upon exchange of a Class B Unit, the corresponding share of Class B Common Stock of the Issuer will be automatically redeemed and cancelled. F4 · derivative.expiration_date: The Class B Units are exchangeable, on a one-for-one basis, for shares of Class A Common Stock of the Issuer. Upon exchange of a Class B Unit, the corresponding share of Class B Common Stock of the Issuer will be automatically redeemed and cancelled. F2 · ownership.direct: 27,500 of the Class A Common Stock securities are held of record by Steven R. Mitchell. Each of ARG Private Equity, LLC, ARGO Holdings, LLC, George Kaiser and Robert A. Waldo disclaims beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein. 25,000 of the Class A Common Stock securities are held of record by Robert A. Waldo. Each of ARG Private Equity, LLC, ARGO Holdings, LLC, George Kaiser and Steven R. Mitchell disclaims beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein. F3 · ownership.direct: The remaining securities are held of record by ARGO Holdings, LLC. ARGO Holdings, LLC is managed by ARG Private Equity, LLC Steven R. Mitchell has a derivative interest in ARG Private Equity, LLC. Robert A. Waldo is a manager and Vice President of ARG Private Equity, LLC and has a derivative interest therein. George B. Kaiser is the sole member of ARG Private Equity, LLC. Each of Steven R. Mitchell, Robert A. Waldo and George B. Kaiser disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities and Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| November 18, 2021 Filed Nov 19, 2021 17:43 UTC | StepStone Group Inc. STEP · Entity 3755 | SaleClass A Common Stock | 1,330,336 | $51.83 | $68,951,314.88 |
DisclosureSEC source: 0001394221-21-000002 · primary_doc.xml · nonDerivative · entry 3 ARG Private Equity, LLC · CIK 0001585937 · 10% owner ARGO Holdings, LLC · CIK 0001394221 · 10% owner KAISER GEORGE B · CIK 0001163432 · 10% owner Mitchell Steven R · CIK 0001610279 · Director · 10% owner Waldo Robert · CIK 0001728668 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,500 F5 · kind: On November 18, 2021, the Reporting Person sold shares of Class A Common Stock in a secondary offering of Class A Common Stock by certain selling stockholders of the Issuer. F2 · ownership.direct: 27,500 of the Class A Common Stock securities are held of record by Steven R. Mitchell. Each of ARG Private Equity, LLC, ARGO Holdings, LLC, George Kaiser and Robert A. Waldo disclaims beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein. 25,000 of the Class A Common Stock securities are held of record by Robert A. Waldo. Each of ARG Private Equity, LLC, ARGO Holdings, LLC, George Kaiser and Steven R. Mitchell disclaims beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein. F3 · ownership.direct: The remaining securities are held of record by ARGO Holdings, LLC. ARGO Holdings, LLC is managed by ARG Private Equity, LLC Steven R. Mitchell has a derivative interest in ARG Private Equity, LLC. Robert A. Waldo is a manager and Vice President of ARG Private Equity, LLC and has a derivative interest therein. George B. Kaiser is the sole member of ARG Private Equity, LLC. Each of Steven R. Mitchell, Robert A. Waldo and George B. Kaiser disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities and Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| November 18, 2021 Filed Nov 19, 2021 17:43 UTC | StepStone Group Inc. STEP · Entity 3755 | ConversionClass A Common Stock | 1,330,336 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001394221-21-000002 · primary_doc.xml · nonDerivative · entry 2 ARG Private Equity, LLC · CIK 0001585937 · 10% owner ARGO Holdings, LLC · CIK 0001394221 · 10% owner KAISER GEORGE B · CIK 0001163432 · 10% owner Mitchell Steven R · CIK 0001610279 · Director · 10% owner Waldo Robert · CIK 0001728668 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,382,836 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 · kind: On November 18, 2021, the Reporting Person exchanged 1,330,336 Class B Units of StepStone Group LP for 1,330,336 shares of Class A Common Stock. In connection with the exchange, 1,330,336 shares of Class B Common Stock were automatically redeemed and cancelled. F4 · price: The Class B Units are exchangeable, on a one-for-one basis, for shares of Class A Common Stock of the Issuer. Upon exchange of a Class B Unit, the corresponding share of Class B Common Stock of the Issuer will be automatically redeemed and cancelled. F2 · ownership.direct: 27,500 of the Class A Common Stock securities are held of record by Steven R. Mitchell. Each of ARG Private Equity, LLC, ARGO Holdings, LLC, George Kaiser and Robert A. Waldo disclaims beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein. 25,000 of the Class A Common Stock securities are held of record by Robert A. Waldo. Each of ARG Private Equity, LLC, ARGO Holdings, LLC, George Kaiser and Steven R. Mitchell disclaims beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein. F3 · ownership.direct: The remaining securities are held of record by ARGO Holdings, LLC. ARGO Holdings, LLC is managed by ARG Private Equity, LLC Steven R. Mitchell has a derivative interest in ARG Private Equity, LLC. Robert A. Waldo is a manager and Vice President of ARG Private Equity, LLC and has a derivative interest therein. George B. Kaiser is the sole member of ARG Private Equity, LLC. Each of Steven R. Mitchell, Robert A. Waldo and George B. Kaiser disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities and Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| November 18, 2021 Filed Nov 19, 2021 17:43 UTC | StepStone Group Inc. STEP · Entity 3755 | Disposition to issuerClass B Common Stock | 1,330,336 | $0.00 | $1,330.34 |
DisclosureSEC source: 0001394221-21-000002 · primary_doc.xml · nonDerivative · entry 1 ARG Private Equity, LLC · CIK 0001585937 · 10% owner ARGO Holdings, LLC · CIK 0001394221 · 10% owner KAISER GEORGE B · CIK 0001163432 · 10% owner Mitchell Steven R · CIK 0001610279 · Director · 10% owner Waldo Robert · CIK 0001728668 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,662,708 F1 · kind: On November 18, 2021, the Reporting Person exchanged 1,330,336 Class B Units of StepStone Group LP for 1,330,336 shares of Class A Common Stock. In connection with the exchange, 1,330,336 shares of Class B Common Stock were automatically redeemed and cancelled. F2 · ownership.direct: 27,500 of the Class A Common Stock securities are held of record by Steven R. Mitchell. Each of ARG Private Equity, LLC, ARGO Holdings, LLC, George Kaiser and Robert A. Waldo disclaims beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein. 25,000 of the Class A Common Stock securities are held of record by Robert A. Waldo. Each of ARG Private Equity, LLC, ARGO Holdings, LLC, George Kaiser and Steven R. Mitchell disclaims beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein. F3 · ownership.direct: The remaining securities are held of record by ARGO Holdings, LLC. ARGO Holdings, LLC is managed by ARG Private Equity, LLC Steven R. Mitchell has a derivative interest in ARG Private Equity, LLC. Robert A. Waldo is a manager and Vice President of ARG Private Equity, LLC and has a derivative interest therein. George B. Kaiser is the sole member of ARG Private Equity, LLC. Each of Steven R. Mitchell, Robert A. Waldo and George B. Kaiser disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities and Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| October 05, 2021 Filed Oct 7, 2021 21:53 UTC | ALKAMI TECHNOLOGY, INC. ALKT · Entity 1625 | GrantCommon Stock | 314 | $0.00 | $0.00 |
DisclosureSEC source: 0001529274-21-000068 · wf-form4_163364361800911.xml · nonDerivative · entry 1 Mitchell Steven R · CIK 0001610279 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,287 F1 · shares: The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Read SEC document |
| September 29, 2021 Filed Sep 29, 2021 22:09 UTC | StepStone Group Inc. STEP · Entity 3755 | SaleClass A Common Stock | 7,865 | $43.55 | $342,520.75 |
DisclosureSEC source: 0001796022-21-000064 · wf-form4_163295336429552.xml · nonDerivative · entry 3 Mitchell Steven R · CIK 0001610279 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,500 F4 · price: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $43.12 to $43.97. The price reported above reflects the weighted average sales 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. F2 · ownership.direct: Represents shares held of record by the reporting person, who is a member of a "group" with ARG Private Equity, LLC, Argo Holdings, LLC (f/k/a Argonaut Holdings, L.L.C.), Sanford Energy, Inc., George Kaiser, and Robert A. Waldo. Each of ARG Private Equity, LLC, Argo Holdings, LLC, George Kaiser and Robert A. Waldo disclaims beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein. Read SEC document |
| September 29, 2021 Filed Jun 12, 2024 23:53 UTC Amendment | StepStone Group Inc. STEP · Entity 3755 | SaleClass A Common Stock | 7,865 | $43.55 | $342,520.75 |
DisclosureSEC source: 0001796022-24-000056 · wk-form4a_1718236383.xml · nonDerivative · entry 3 Mitchell Steven R · CIK 0001610279 · Director · 10% owner 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 27,500 F3 · price: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $43.12 to $43.97. The price reported above reflects the weighted average sales 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. 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.