Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Xylem Inc.XYL · Entity 430 | EVP & President, WSS | March 05, 2026 | March 06, 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.
Xylem Inc.
Report date March 05, 2026 · Filed March 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 73,683 |
Reported balance
After 2026-03-05 transaction · row 1
1 source rowRow 1 · 2026-03-05 · Tax withholding · Disposed 234 · Balance 73,683 F1: Reflects the withholding of shares of common stock to pay the tax liability incident to the vesting of restricted stock units granted on March 5, 2025 (234) under the Xylem 2011 Omnibus Incentive Plan (Amended and Restated February 24, 2016). |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects the withholding of shares of common stock to pay the tax liability incident to the vesting of restricted stock units granted on March 5, 2025 (234) under the Xylem 2011 Omnibus Incentive Plan (Amended and Restated February 24, 2016).
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Evoqua Water Technologies Corp.
Report date May 24, 2023 · Filed May 26, 2023
Section 16 reporting ended · disclosed 2023-05-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2023-05-24 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-05-24 · Grant · Acquired 25,114 · Balance 155,703 F1: Represents performance share units ("PSUs") that became earned (at target award level) pursuant to the merger agreement among Xylem Inc., Fore Merger Sub, Inc. and the issuer, dated as of Jan. 22, 2023, upon effectiveness of the merger on May 24, 2023. Row 2 · 2023-05-24 · Disposition to issuer · Disposed 155,703 · Balance 0 F2: Disposed of pursuant to the merger agreement. Upon effectiveness of the merger, (i) each issued and outstanding share of issuer common stock was exchanged for 0.48 Xylem common shares, with cash paid in lieu of fractional shares, and (ii) unvested restricted stock units ("RSUs") and PSUs (at target award level) were converted into RSUs relating to Xylem common shares, by multiplying the number of shares of issuer common stock underlying the award and 0.48, rounded down to the nearest whole share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.88 · Expires 2028-04-02 | Direct | 0 |
Reported balance
After 2023-05-24 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-05-24 · Disposition to issuer · Disposed 49,730 · Balance 0 F5: Pursuant to the merger agreement, the Xylem option exercise price is equal to the issuer option exercise price divided by 0.48, rounded up to the nearest whole cent. F3: This option is fully vested. F4: Pursuant to the merger agreement, outstanding options for issuer common stock were assumed by Xylem and converted into options for Xylem common shares, in an amount equal to the number of shares of issuer common stock underlying the options multiplied by 0.48, rounded down to the nearest whole share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.67 · Expires 2029-02-14 | Direct | 0 |
Reported balance
After 2023-05-24 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-05-24 · Disposition to issuer · Disposed 19,280 · Balance 0 F5: Pursuant to the merger agreement, the Xylem option exercise price is equal to the issuer option exercise price divided by 0.48, rounded up to the nearest whole cent. F3: This option is fully vested. F4: Pursuant to the merger agreement, outstanding options for issuer common stock were assumed by Xylem and converted into options for Xylem common shares, in an amount equal to the number of shares of issuer common stock underlying the options multiplied by 0.48, rounded down to the nearest whole share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.63 · Expires 2030-02-14 | Direct | 0 |
Reported balance
After 2023-05-24 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-05-24 · Disposition to issuer · Disposed 45,417 · Balance 0 F5: Pursuant to the merger agreement, the Xylem option exercise price is equal to the issuer option exercise price divided by 0.48, rounded up to the nearest whole cent. F4: Pursuant to the merger agreement, outstanding options for issuer common stock were assumed by Xylem and converted into options for Xylem common shares, in an amount equal to the number of shares of issuer common stock underlying the options multiplied by 0.48, rounded down to the nearest whole share. F6: This option vests in four equal annual installments starting on Jan. 1, 2021. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.76 · Expires 2031-02-16 | Direct | 0 |
Reported balance
After 2023-05-24 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-05-24 · Disposition to issuer · Disposed 36,200 · Balance 0 F5: Pursuant to the merger agreement, the Xylem option exercise price is equal to the issuer option exercise price divided by 0.48, rounded up to the nearest whole cent. F4: Pursuant to the merger agreement, outstanding options for issuer common stock were assumed by Xylem and converted into options for Xylem common shares, in an amount equal to the number of shares of issuer common stock underlying the options multiplied by 0.48, rounded down to the nearest whole share. F7: This option vests in four equal installments starting on Feb. 16, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents performance share units ("PSUs") that became earned (at target award level) pursuant to the merger agreement among Xylem Inc., Fore Merger Sub, Inc. and the issuer, dated as of Jan. 22, 2023, upon effectiveness of the merger on May 24, 2023.
F2: Disposed of pursuant to the merger agreement. Upon effectiveness of the merger, (i) each issued and outstanding share of issuer common stock was exchanged for 0.48 Xylem common shares, with cash paid in lieu of fractional shares, and (ii) unvested restricted stock units ("RSUs") and PSUs (at target award level) were converted into RSUs relating to Xylem common shares, by multiplying the number of shares of issuer common stock underlying the award and 0.48, rounded down to the nearest whole share.
F3: This option is fully vested.
F4: Pursuant to the merger agreement, outstanding options for issuer common stock were assumed by Xylem and converted into options for Xylem common shares, in an amount equal to the number of shares of issuer common stock underlying the options multiplied by 0.48, rounded down to the nearest whole share.
F5: Pursuant to the merger agreement, the Xylem option exercise price is equal to the issuer option exercise price divided by 0.48, rounded up to the nearest whole cent.
F6: This option vests in four equal annual installments starting on Jan. 1, 2021.
F7: This option vests in four equal installments starting on Feb. 16, 2022.
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 |
|---|---|---|---|---|---|---|
| February 03, 2020 Filed Feb 5, 2020 17:56 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | SaleCommon Stock | 55,000 | $20.54 | $1,129,843.00 |
DisclosureSEC source: 0000895345-20-000065 · form4.xml · nonDerivative · entry 2 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,295 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.50 to $20.65, inclusive. The reporting person undertakes to provide 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 sold at each separate price within the ranges set forth in footnotes 3, 4, 5 and 6 to this Form 4. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 17:56 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionCommon Stock | 55,000 | $4.64 | $255,200.00 |
DisclosureSEC source: 0000895345-20-000065 · form4.xml · nonDerivative · entry 1 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,295 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 28, 2020 Filed Jan 30, 2020 16:50 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionStock Option (Right to Buy) · Derivative | 12,190 | $0.00 Strike: $4.64 | $0.00 |
DisclosureSEC source: 0001567619-20-001740 · doc1.xml · derivative · entry 3 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 499,141 Underlying: Common Stock · 12,190 shares Expires 2024-03-06 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F4 · derivative.exercise_date: This option is fully vested. Read SEC document |
| January 28, 2020 Filed Jan 30, 2020 16:50 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | SaleCommon Stock | 12,190 | $19.61 | $239,071.50 |
DisclosureSEC source: 0001567619-20-001740 · doc1.xml · nonDerivative · entry 2 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,295 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.51 to $19.70, inclusive. The reporting person undertakes to provide 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 sold at each separate price within the range set forth in this footnote. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 28, 2020 Filed Jan 30, 2020 16:50 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionCommon Stock | 12,190 | $4.64 | $56,561.60 |
DisclosureSEC source: 0001567619-20-001740 · doc1.xml · nonDerivative · entry 1 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,485 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 24, 2020 Filed Jan 24, 2020 19:14 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,582 | $0.00 Strike: $4.64 | $0.00 |
DisclosureSEC source: 0001567619-20-001528 · doc1.xml · derivative · entry 6 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 511,331 Underlying: Common Stock · 2,582 shares Expires 2024-03-06 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F5 · derivative.exercise_date: This option is fully vested. Read SEC document |
| January 24, 2020 Filed Jan 24, 2020 19:14 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | SaleCommon Stock | 2,582 | $19.57 | $50,526.64 |
DisclosureSEC source: 0001567619-20-001528 · doc1.xml · nonDerivative · entry 4 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,295 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.50 to $19.67, inclusive. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 24, 2020 Filed Jan 24, 2020 19:14 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionCommon Stock | 2,582 | $4.64 | $11,980.48 |
DisclosureSEC source: 0001567619-20-001528 · doc1.xml · nonDerivative · entry 3 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,877 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 19:14 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,646 | $0.00 Strike: $4.64 | $0.00 |
DisclosureSEC source: 0001567619-20-001528 · doc1.xml · derivative · entry 5 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 513,913 Underlying: Common Stock · 7,646 shares Expires 2024-03-06 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F5 · derivative.exercise_date: This option is fully vested. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 19:14 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | SaleCommon Stock | 7,646 | $19.64 | $150,189.61 |
DisclosureSEC source: 0001567619-20-001528 · doc1.xml · nonDerivative · entry 2 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,295 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.50 to $19.84, inclusive. The reporting person undertakes to provide 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 sold at each separate price within the ranges set forth in footnotes 3, 4 and 5 to this Form 4. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 19:14 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionCommon Stock | 7,646 | $4.64 | $35,477.44 |
DisclosureSEC source: 0001567619-20-001528 · doc1.xml · nonDerivative · entry 1 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,941 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 21, 2020 Filed Jan 21, 2020 20:08 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionStock Option (Right to Buy) · Derivative | 12,858 | $0.00 Strike: $4.64 | $0.00 |
DisclosureSEC source: 0001567619-20-001310 · doc1.xml · derivative · entry 9 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 521,559 Underlying: Common Stock · 12,858 shares Expires 2024-03-06 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F6 · derivative.exercise_date: This option is fully vested. Read SEC document |
| January 21, 2020 Filed Jan 21, 2020 20:08 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | SaleCommon Stock | 12,858 | $19.56 | $251,511.48 |
DisclosureSEC source: 0001567619-20-001310 · doc1.xml · nonDerivative · entry 6 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,295 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.50 to $19.625, inclusive. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 21, 2020 Filed Jan 21, 2020 20:08 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionCommon Stock | 12,858 | $4.64 | $59,661.12 |
DisclosureSEC source: 0001567619-20-001310 · doc1.xml · nonDerivative · entry 5 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,153 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 17, 2020 Filed Jan 21, 2020 20:08 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,095 | $0.00 Strike: $4.64 | $0.00 |
DisclosureSEC source: 0001567619-20-001310 · doc1.xml · derivative · entry 8 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 534,417 Underlying: Common Stock · 10,095 shares Expires 2024-03-06 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F6 · derivative.exercise_date: This option is fully vested. Read SEC document |
| January 17, 2020 Filed Jan 21, 2020 20:08 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | SaleCommon Stock | 10,095 | $19.54 | $197,298.70 |
DisclosureSEC source: 0001567619-20-001310 · doc1.xml · nonDerivative · entry 4 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,295 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.50 to $19.71, inclusive. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 17, 2020 Filed Jan 21, 2020 20:08 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionCommon Stock | 10,095 | $4.64 | $46,840.80 |
DisclosureSEC source: 0001567619-20-001310 · doc1.xml · nonDerivative · entry 3 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,390 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 16, 2020 Filed Jan 21, 2020 20:08 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionStock Option (Right to Buy) · Derivative | 9,629 | $0.00 Strike: $4.64 | $0.00 |
DisclosureSEC source: 0001567619-20-001310 · doc1.xml · derivative · entry 7 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 544,512 Underlying: Common Stock · 9,629 shares Expires 2024-03-06 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F6 · derivative.exercise_date: This option is fully vested. Read SEC document |
| January 16, 2020 Filed Jan 21, 2020 20:08 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | SaleCommon Stock | 9,629 | $19.54 | $188,195.92 |
DisclosureSEC source: 0001567619-20-001310 · doc1.xml · nonDerivative · entry 2 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,295 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.50 to $19.61, inclusive. The reporting person undertakes to provide 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 sold at each separate price within the ranges set forth in footnotes 3, 4 and 5 to this Form 4. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 16, 2020 Filed Jan 21, 2020 20:08 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Exercise / conversionCommon Stock | 9,629 | $4.64 | $44,678.56 |
DisclosureSEC source: 0001567619-20-001310 · doc1.xml · nonDerivative · entry 1 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,924 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: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2019. F2 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| January 01, 2020 Filed Jan 3, 2020 16:11 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Tax withholdingCommon Stock | 1,292 | $18.95 | $24,483.40 |
DisclosureSEC source: 0001567619-20-000318 · doc1.xml · nonDerivative · entry 1 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,295 F1 · balance_after: This amount includes 11,839 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| December 11, 2019 Filed Dec 13, 2019 16:07 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | SaleCommon Stock | 42,000 | $19.52 | $819,659.40 |
DisclosureSEC source: 0001567619-19-023065 · doc1.xml · nonDerivative · entry 1 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,587 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.50 to $19.62, inclusive. The reporting person undertakes to provide 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 sold at each separate price within the range set forth in this footnote. F2 · balance_after: This amount includes 15,785 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2020, January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| November 02, 2019 Filed Nov 5, 2019 16:07 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | Tax withholdingCommon Stock | 32,369 | $17.69 | $572,607.61 |
DisclosureSEC source: 0001567619-19-020432 · doc1.xml · nonDerivative · entry 1 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,587 F1 · balance_after: This amount includes 15,785 unvested restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2020, January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 17:33 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | GrantStock Option (Right to Buy) · Derivative | 51,948 | $0.00 Strike: $12.67 | $0.00 |
DisclosureSEC source: 0001567619-19-004904 · doc1.xml · derivative · entry 2 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,948 Underlying: Common Stock · 51,948 shares Expires 2029-02-14 F3 · derivative.exercise_date: Subject to the reporting person's continued employment with the issuer through the applicable vesting date, this option is scheduled to vest in equal installments on each of January 1, 2020, January 1, 2021, January 1, 2022 and January 1, 2023. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 17:33 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | GrantCommon Stock | 15,785 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-004904 · doc1.xml · nonDerivative · entry 1 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,956 F1 · kind: The reported transaction is an award of restricted stock units in respect of the issuer's common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these restricted stock units are scheduled to vest in equal installments on each of January 1, 2020, January 1, 2021, January 1, 2022 and January 1, 2023 and settle within 30 days of the applicable vesting date. F2 · balance_after: This amount includes 111,571 unvested restricted stock units in respect of the issuer's common stock. Of these restricted stock units, 15,785 are scheduled to vest as described in footnote 1 to this Form 4 and 95,786 are scheduled to vest as described in the Form 4 filed by the reporting person on November 6, 2017. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 19:17 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | GrantStock Option (Right to Buy) · Derivative | 49,730 | $0.00 Strike: $20.88 | $0.00 |
DisclosureSEC source: 0001140361-18-017208 · doc1.xml · derivative · entry 1 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,730 Underlying: Common Stock · 49,730 shares Expires 2028-04-02 F1 · derivative.exercise_date: Subject to the reporting person's continued employment with the issuer through the applicable vesting date, this option is scheduled to vest in equal installments on each of January 1, 2019, January 1, 2020, January 1, 2021 and January 1, 2022. Read SEC document |
| November 06, 2017 Filed Nov 8, 2017 20:06 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | PurchaseCommon Stock | 1,000 | $18.00 | $18,000.00 |
DisclosureSEC source: 0001140361-17-041653 · doc1.xml · nonDerivative · entry 1 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,171 F1 · shares: The reporting person purchased these shares in connection with the closing of the initial public offering of the issuer (the "IPO") at the IPO price of $18.00 per share pursuant to the directed share program described in the issuer's registration statement. The shares are subject to a lock-up provision for a period of 180 days, as required under a lock-up agreement with the underwriters of the IPO. F2 · balance_after: This amount includes 95,786 unvested restricted stock units in respect of the issuer's common stock. These restricted stock units are scheduled to vest as described in the Form 4 filed by the reporting person on November 6, 2017. Read SEC document |
| November 02, 2017 Filed Nov 6, 2017 21:12 UTC | Evoqua Water Technologies Corp. AQUA · Entity 113037 | GrantCommon Stock | 95,786 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-041179 · doc1.xml · nonDerivative · entry 1 Aulick Rodney · CIK 0001720147 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,171 F1 · kind: The reported transaction is an award of restricted stock units in respect of the issuer's common stock. These restricted stock units will vest and settle in full on November 1, 2019 (the "Vesting Date"), subject to the reporting person's continued employment with the issuer or any of its subsidiaries through the Vesting Date; provided, however, that if the reporting person's employment with the issuer or any of its subsidiaries is terminated without cause (as defined in the award agreement) prior to the Vesting Date, these restricted stock units will remain outstanding and eligible to vest and settle on the Vesting Date. Notwithstanding the foregoing, upon a Change in Control (as defined in the Evoqua Water Technologies Corp. Stock Option Plan) prior to the Vesting Date, these restricted stock units will vest and settle in full, subject to the reporting person's continued employment with the issuer or any of its subsidiaries through the date of the Change in Control. 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.