Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Capstone Energy Plus, Inc.CGEH · Entity 2475 | Director | August 12, 2025 | August 13, 2025 |
| PACIFIC GAS & ELECTRIC CoPCG-PREF · Entity 25671 | Director | October 28, 2020 | November 03, 2020 |
| PG&E CorpPCG · Entity 3143 | Director | May 17, 2024 | May 21, 2024 |
| UGI CORP /PA/UGI · Entity 3628 | Director · President and CEO | January 01, 2026 | January 05, 2026 |
| WESTMORELAND COAL CoWLB · Entity 159111 | Director | June 23, 2017 | June 27, 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.
Capstone Energy Plus, Inc.
Report date August 12, 2025 · Filed August 13, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting Common StockSEC Table I · non-derivative | Direct | 78,605 |
Reported balance
After 2025-08-12 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-08-12 · Grant · Acquired 4,149 · Balance 78,605 F1: Represents shares of voting common stock underlying restricted stock units that fully vest one year from the date of grant, subject to continued service with the Issuer. F2: Includes 12,658 shares of voting common stock underlying restricted stock units that fully vest on February 12, 2026. |
| Non-voting Common StockSEC Table I · non-derivative | Direct | 60,795 |
Reported balance
Holding disclosure · report date 2025-08-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 60,795 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of voting common stock underlying restricted stock units that fully vest one year from the date of grant, subject to continued service with the Issuer.
F2: Includes 12,658 shares of voting common stock underlying restricted stock units that fully vest on February 12, 2026.
PACIFIC GAS & ELECTRIC Co
Report date October 28, 2020 · Filed November 03, 2020
This filing explicitly reported no securities owned.
PG&E Corp
Report date May 17, 2024 · Filed May 21, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 101,375.55 |
Reported balance
After 2024-05-17 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-05-17 · Grant · Acquired 15,053 · Balance 101,375.55 F1: Restricted Stock Units (RSUs) granted under the PG&E Corporation 2021 Long Term Incentive Plan (LTIP). RSUs are payable in shares of PG&E Corporation common stock on a one-for-one basis. As described in the LTIP, RSUs vest upon the earliest of one year from the date of grant; the last day of a director's elected term; a director's death, disability, or termination following a change in control; or a change in control in which the acquiror does not assume, continue, or substitute the award. F2: This total reflects the acquisition of 22.21 RSUs on 1/15/24 and 23.34 RSUs on 4/15/24 pursuant to a dividend reinvestment feature of the LTIP. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted Stock Units (RSUs) granted under the PG&E Corporation 2021 Long Term Incentive Plan (LTIP). RSUs are payable in shares of PG&E Corporation common stock on a one-for-one basis. As described in the LTIP, RSUs vest upon the earliest of one year from the date of grant; the last day of a director's elected term; a director's death, disability, or termination following a change in control; or a change in control in which the acquiror does not assume, continue, or substitute the award.
F2: This total reflects the acquisition of 22.21 RSUs on 1/15/24 and 23.34 RSUs on 4/15/24 pursuant to a dividend reinvestment feature of the LTIP.
UGI CORP /PA/
Report date January 01, 2026 · Filed January 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Performance UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2028-12-31 | Direct | 90,435 |
Reported balance
After 2026-01-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-01-01 · Grant · Acquired 90,435 · Balance 90,435 F1: Effective January 1, 2026, the reporting person was granted performance units under the UGI Corporation 2021 Incentive Award Plan. Each performance unit represents the right of the reporting person to receive a share of UGI Common Stock if specified performance goals and other conditions are met. |
| Stock UnitsSEC Table II · derivative / convertible security | Direct | 60,113 |
Reported balance
After 2026-01-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-01-01 · Grant · Acquired 60,113 · Balance 60,113 F2: Effective January 1, 2026, the reporting person was granted stock units with dividend equivalents under the UGI Corporation 2021 Incentive Award Plan. Each stock unit represents the right of the recipient to receive a share of UGI Common Stock, with 50% of such stock units vesting on the second anniversary of the grant date and the remaining 50% vesting on the third anniversary of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: Effective January 1, 2026, the reporting person was granted performance units under the UGI Corporation 2021 Incentive Award Plan. Each performance unit represents the right of the reporting person to receive a share of UGI Common Stock if specified performance goals and other conditions are met.
F2: Effective January 1, 2026, the reporting person was granted stock units with dividend equivalents under the UGI Corporation 2021 Incentive Award Plan. Each stock unit represents the right of the recipient to receive a share of UGI Common Stock, with 50% of such stock units vesting on the second anniversary of the grant date and the remaining 50% vesting on the third anniversary of the grant date.
WESTMORELAND COAL Co
Report date June 23, 2017 · Filed June 27, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2018-05-16 | Direct | 11,349 |
Reported balance
After 2017-06-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-06-23 · Grant · Acquired 11,349 · Balance 11,349 F1: These shares are represented by restricted stock units that vest as Common Stock on a one for one basis on May 16, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are represented by restricted stock units that vest as Common Stock on a one for one basis on May 16, 2018.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Charah Solutions, Inc.
Report date July 13, 2023 · Filed July 17, 2023
Section 16 reporting ended · disclosed 2023-07-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-07-13 transaction · row 1
1 source rowRow 1 · 2023-07-13 · Disposition to issuer · Disposed 12,922 · Balance 0 F1: Disposed of on July 13, 2023 (the "Merger Date") as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of April 16, 2023, by and among Charah Solutions, Inc. (the "Company"), Acquisition Parent 0423, Inc. and Acquisition Sub April 2023, Inc. (the "Merger Agreement"). Pursuant to the Merger Agreement, each issued and outstanding share of common stock, par value $0.01 per share, of the Company was converted on the Merger Date into the right to receive cash in the amount of $6.00 per share. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of on July 13, 2023 (the "Merger Date") as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of April 16, 2023, by and among Charah Solutions, Inc. (the "Company"), Acquisition Parent 0423, Inc. and Acquisition Sub April 2023, Inc. (the "Merger Agreement"). Pursuant to the Merger Agreement, each issued and outstanding share of common stock, par value $0.01 per share, of the Company was converted on the Merger Date into the right to receive cash in the amount of $6.00 per share.
DYNEGY INC.
Report date April 09, 2018 · Filed April 11, 2018
Section 16 reporting ended · disclosed 2018-04-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-04-09 transaction · row 1
1 source rowRow 1 · 2018-04-09 · Disposition to issuer · Disposed 664,057 · Balance 0 F1: Disposed of pursuant to the closing of the merger on April 9, 2018 (the "Effective Date") between Issuer and Vistra Energy Corp. (the "Merger") in exchange for 0.652 shares of Vistra Corp. stock having a market value of $20.83, closing price, per share on the Effective Date of the Merger. |
| Common Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.70 | Direct | 0 |
Reported balance
After 2018-04-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-04-09 · Disposition to issuer · Disposed 273,059 · Balance 0 F2: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 178,034 shares of Vistra common stock for $28.68. The option will expire pursuant to the terms of the grant agreement. |
| Common Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.10 | Direct | 0 |
Reported balance
After 2018-04-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-04-09 · Disposition to issuer · Disposed 101,352 · Balance 0 F3: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 66,081 shares of Vistra common stock for $35.43. The option will expire pursuant to the terms of the grant agreement. |
| Common Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.03 | Direct | 0 |
Reported balance
After 2018-04-09 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-04-09 · Disposition to issuer · Disposed 139,594 · Balance 0 F4: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 91,015 shares of Vistra common stock for $35.32. The option will expire pursuant to the terms of the grant agreement. |
| Common Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.24 | Direct | 0 |
Reported balance
After 2018-04-09 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-04-09 · Disposition to issuer · Disposed 148,984 · Balance 0 F5: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 97,137 shares of Vistra common stock for $41.78. The option will expire pursuant to the terms of the grant agreement. |
| Common Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.05 | Direct | 0 |
Reported balance
After 2018-04-09 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-04-09 · Disposition to issuer · Disposed 311,785 · Balance 0 F6: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 203,283 shares of Vistra common stock for $16.95. The option will expire pursuant to the terms of the grant agreement. |
| Common Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.02 | Direct | 0 |
Reported balance
After 2018-04-09 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-04-09 · Disposition to issuer · Disposed 352,561 · Balance 0 F7: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 229,869 shares of Vistra common stock for $12.30. The option will expire pursuant to the terms of the grant agreement. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-04-09 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-04-09 · Disposition to issuer · Disposed 497,281 · Balance 0 F8: Restricted Stock Units convert into common stock on a one-for-one basis. Disposed of pursuant to the Merger in exchange for 0.652 shares of Vistra Restricted Stock Units having a market value of $20.83, closing price, per share on the Effective Date of the Merger. The Restricted Stock Units will vest pursuant to the terms of the Grant Agreements. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the closing of the merger on April 9, 2018 (the "Effective Date") between Issuer and Vistra Energy Corp. (the "Merger") in exchange for 0.652 shares of Vistra Corp. stock having a market value of $20.83, closing price, per share on the Effective Date of the Merger.
F2: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 178,034 shares of Vistra common stock for $28.68. The option will expire pursuant to the terms of the grant agreement.
F3: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 66,081 shares of Vistra common stock for $35.43. The option will expire pursuant to the terms of the grant agreement.
F4: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 91,015 shares of Vistra common stock for $35.32. The option will expire pursuant to the terms of the grant agreement.
F5: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 97,137 shares of Vistra common stock for $41.78. The option will expire pursuant to the terms of the grant agreement.
F6: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 203,283 shares of Vistra common stock for $16.95. The option will expire pursuant to the terms of the grant agreement.
F7: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 229,869 shares of Vistra common stock for $12.30. The option will expire pursuant to the terms of the grant agreement.
F8: Restricted Stock Units convert into common stock on a one-for-one basis. Disposed of pursuant to the Merger in exchange for 0.652 shares of Vistra Restricted Stock Units having a market value of $20.83, closing price, per share on the Effective Date of the Merger. The Restricted Stock Units will vest pursuant to the terms of the Grant Agreements.
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 |
|---|---|---|---|---|---|---|
| January 01, 2026 Filed Jan 5, 2026 21:31 UTC | UGI CORP /PA/ UGI · Entity 3628 | GrantStock Units · Derivative | 60,113 | $0.00 | $0.00 |
DisclosureSEC source: 0001236545-26-000002 · form4-01052026_090108.xml · derivative · entry 2 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,113 Underlying: UGI Common Stock · 60,113 shares Expires not disclosed F2 · derivative.exercise_price: Effective January 1, 2026, the reporting person was granted stock units with dividend equivalents under the UGI Corporation 2021 Incentive Award Plan. Each stock unit represents the right of the recipient to receive a share of UGI Common Stock, with 50% of such stock units vesting on the second anniversary of the grant date and the remaining 50% vesting on the third anniversary of the grant date. F2 · derivative.exercise_date: Effective January 1, 2026, the reporting person was granted stock units with dividend equivalents under the UGI Corporation 2021 Incentive Award Plan. Each stock unit represents the right of the recipient to receive a share of UGI Common Stock, with 50% of such stock units vesting on the second anniversary of the grant date and the remaining 50% vesting on the third anniversary of the grant date. F2 · derivative.expiration_date: Effective January 1, 2026, the reporting person was granted stock units with dividend equivalents under the UGI Corporation 2021 Incentive Award Plan. Each stock unit represents the right of the recipient to receive a share of UGI Common Stock, with 50% of such stock units vesting on the second anniversary of the grant date and the remaining 50% vesting on the third anniversary of the grant date. Read SEC document |
| January 01, 2026 Filed Jan 5, 2026 21:31 UTC | UGI CORP /PA/ UGI · Entity 3628 | GrantPerformance Units · Derivative | 90,435 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001236545-26-000002 · form4-01052026_090108.xml · derivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 90,435 Underlying: UGI Common Stock · 90,435 shares Expires 2028-12-31 F1 · derivative.exercise_date: Effective January 1, 2026, the reporting person was granted performance units under the UGI Corporation 2021 Incentive Award Plan. Each performance unit represents the right of the reporting person to receive a share of UGI Common Stock if specified performance goals and other conditions are met. Read SEC document |
| August 12, 2025 Filed Aug 13, 2025 00:03 UTC | Capstone Energy Plus, Inc. CGEH · Entity 2475 | GrantVoting Common Stock | 4,149 | $0.00 | $0.00 |
DisclosureSEC source: 0001009759-25-000033 · primary_doc.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 78,605 F1 · shares: Represents shares of voting common stock underlying restricted stock units that fully vest one year from the date of grant, subject to continued service with the Issuer. F2 · balance_after: Includes 12,658 shares of voting common stock underlying restricted stock units that fully vest on February 12, 2026. Read SEC document |
| February 12, 2025 Filed Feb 14, 2025 22:11 UTC | Capstone Energy Plus, Inc. CGEH · Entity 2475 | GrantVoting Common Stock | 12,658 | $0.00 | $0.00 |
DisclosureSEC source: 0001009759-25-000003 · primary_doc.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 74,456 F1 · shares: Represents shares of voting common stock underlying restricted stock units that fully vest one year from the date of grant, subject to continued service with the Issuer. Read SEC document |
| November 01, 2024 Filed Nov 5, 2024 21:48 UTC | UGI CORP /PA/ UGI · Entity 3628 | GrantStock Units · Derivative | 87,170 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-026157 · form4-11052024_091148.xml · derivative · entry 2 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 87,170 Underlying: UGI Common Stock · 87,170 shares Expires not disclosed F2 · derivative.exercise_price: Effective November 1, 2024, the reporting person was granted stock units with dividend equivalents under the UGI Corporation 2021 Incentive Award Plan. Each stock unit represents the right of the recipient to receive a share of UGI Common Stock, with 50% of such stock units vesting on the second anniversary of the grant date and the remaining 50% vesting on the third anniversary of the grant date. F2 · derivative.exercise_date: Effective November 1, 2024, the reporting person was granted stock units with dividend equivalents under the UGI Corporation 2021 Incentive Award Plan. Each stock unit represents the right of the recipient to receive a share of UGI Common Stock, with 50% of such stock units vesting on the second anniversary of the grant date and the remaining 50% vesting on the third anniversary of the grant date. F2 · derivative.expiration_date: Effective November 1, 2024, the reporting person was granted stock units with dividend equivalents under the UGI Corporation 2021 Incentive Award Plan. Each stock unit represents the right of the recipient to receive a share of UGI Common Stock, with 50% of such stock units vesting on the second anniversary of the grant date and the remaining 50% vesting on the third anniversary of the grant date. Read SEC document |
| November 01, 2024 Filed Nov 5, 2024 21:48 UTC | UGI CORP /PA/ UGI · Entity 3628 | GrantPerformance Units · Derivative | 132,563 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-026157 · form4-11052024_091148.xml · derivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 132,563 Underlying: UGI Common Stock · 132,563 shares Expires 2027-11-01 F1 · derivative.exercise_date: Effective November 1, 2024, the reporting person was granted performance units under the UGI Corporation 2021 Incentive Award Plan. Each performance unit represents the right of the reporting person to receive a share of UGI Common Stock if specified performance goals and other conditions are met. Read SEC document |
| May 17, 2024 Filed May 21, 2024 21:00 UTC | PG&E Corp PCG · Entity 3143 | GrantCommon Stock | 15,053 | $0.00 | $0.00 |
DisclosureSEC source: 0001004980-24-000087 · wk-form4_1716325219.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,375.55 F1 · shares: Restricted Stock Units (RSUs) granted under the PG&E Corporation 2021 Long Term Incentive Plan (LTIP). RSUs are payable in shares of PG&E Corporation common stock on a one-for-one basis. As described in the LTIP, RSUs vest upon the earliest of one year from the date of grant; the last day of a director's elected term; a director's death, disability, or termination following a change in control; or a change in control in which the acquiror does not assume, continue, or substitute the award. F2 · balance_after: This total reflects the acquisition of 22.21 RSUs on 1/15/24 and 23.34 RSUs on 4/15/24 pursuant to a dividend reinvestment feature of the LTIP. Read SEC document |
| December 07, 2023 Filed Dec 7, 2023 22:43 UTC | Capstone Energy Plus, Inc. CGRNQ · Entity 2475 | OtherCommon Stock | 61,798 | $0.00 | $0.00 |
DisclosureSEC source: 0001009759-23-000004 · primary_doc.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director · Interim President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: On September 28, 2023, Capstone Green Energy Corporation (the Issuer) and its wholly-owned subsidiaries, Capstone Turbine International, Inc. (Capstone Turbine International) and Capstone Turbine Financial Services, LLC (together with Capstone Turbine International and the Issuer, the Debtors) filed voluntary petitions (the Chapter 11 Cases) for relief under chapter 11 of title 11 (Chapter 11) of the United States Code in the United States Bankruptcy Court for the District of Delaware (the Bankruptcy Court). On November 14, 2023, the Bankruptcy Court entered an order (the Confirmation Order) confirming the Chapter 11 plan of reorganization of the Debtors in the Chapter 11 Cases, including its supplement and all exhibits and schedules thereto, and all other documents filed in connection with such plan (the Plan). On December 7, 2023 (the Effective Date), the Plan was consummated and became effective in accordance with its terms, and the Debtors emerged from the Chapter 11 Cases. F2 · kind: On the Effective Date, in connection with the satisfaction of the conditions to effectiveness set forth in the Conformation Order and the Plan, the Issuer completed a series of transactions pursuant to which, among other things, the Issuer became a private company that continues to own certain assets of the Issuer and (i) all of the Issuers common shares outstanding prior to the Effective Date were canceled, released, and extinguished, and of no further force or effect and (ii) all of the Issuers equity award agreements under any incentive plan, and the awards granted pursuant thereto, were extinguished, canceled, and discharged and have no further force or effect. In addition, Capstone Turbine International was renamed Capstone Green Energy Holdings, Inc. (Holdings) and is the successor to the Issuer pursuant to Rule 12g-3 under the Securities Exchange Act of 1934, as amended. F3 · kind: This Form 4 shall constitute an exit filing for the Reporting Person with respect to the Issuer. Mr. Flexon will continue as a Director and as Interim President and Chief Executive Officer of Holdings. F1 · price: On September 28, 2023, Capstone Green Energy Corporation (the Issuer) and its wholly-owned subsidiaries, Capstone Turbine International, Inc. (Capstone Turbine International) and Capstone Turbine Financial Services, LLC (together with Capstone Turbine International and the Issuer, the Debtors) filed voluntary petitions (the Chapter 11 Cases) for relief under chapter 11 of title 11 (Chapter 11) of the United States Code in the United States Bankruptcy Court for the District of Delaware (the Bankruptcy Court). On November 14, 2023, the Bankruptcy Court entered an order (the Confirmation Order) confirming the Chapter 11 plan of reorganization of the Debtors in the Chapter 11 Cases, including its supplement and all exhibits and schedules thereto, and all other documents filed in connection with such plan (the Plan). On December 7, 2023 (the Effective Date), the Plan was consummated and became effective in accordance with its terms, and the Debtors emerged from the Chapter 11 Cases. F2 · price: On the Effective Date, in connection with the satisfaction of the conditions to effectiveness set forth in the Conformation Order and the Plan, the Issuer completed a series of transactions pursuant to which, among other things, the Issuer became a private company that continues to own certain assets of the Issuer and (i) all of the Issuers common shares outstanding prior to the Effective Date were canceled, released, and extinguished, and of no further force or effect and (ii) all of the Issuers equity award agreements under any incentive plan, and the awards granted pursuant thereto, were extinguished, canceled, and discharged and have no further force or effect. In addition, Capstone Turbine International was renamed Capstone Green Energy Holdings, Inc. (Holdings) and is the successor to the Issuer pursuant to Rule 12g-3 under the Securities Exchange Act of 1934, as amended. F3 · price: This Form 4 shall constitute an exit filing for the Reporting Person with respect to the Issuer. Mr. Flexon will continue as a Director and as Interim President and Chief Executive Officer of Holdings. Read SEC document |
| July 13, 2023 Filed Jul 17, 2023 15:20 UTC | Charah Solutions, Inc. CHRA · Entity 111345 | Disposition to issuerCommon Stock | 12,922 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-034782 · form4.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director · Former Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of on July 13, 2023 (the "Merger Date") as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of April 16, 2023, by and among Charah Solutions, Inc. (the "Company"), Acquisition Parent 0423, Inc. and Acquisition Sub April 2023, Inc. (the "Merger Agreement"). Pursuant to the Merger Agreement, each issued and outstanding share of common stock, par value $0.01 per share, of the Company was converted on the Merger Date into the right to receive cash in the amount of $6.00 per share. Read SEC document |
| May 19, 2023 Filed May 23, 2023 16:54 UTC | PG&E Corp PCG · Entity 3143 | GrantCommon Stock | 16,857 | $0.00 | $0.00 |
DisclosureSEC source: 0001004980-23-000108 · wk-form4_1684860886.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 86,277 F1 · shares: Restricted Stock Units (RSUs) granted under the PG&E Corporation 2021 Long Term Incentive Plan (LTIP). RSUs are payable in shares of PG&E Corporation common stock on a one-for-one basis. As described in the LTIP, RSUs vest upon the earliest of one year from the date of grant; the last day of a director's elected term; a director's death, disability, or termination following a change in control; or a change in control in which the acquiror does not assume, continue, or substitute the award. Read SEC document |
| November 17, 2022 Filed Nov 21, 2022 09:03 UTC | Charah Solutions, Inc. CHRA · Entity 111345 | PurchaseCommon Stock | 19,750 | $0.57 | $11,257.50 |
DisclosureSEC source: 0001730346-22-000081 · wf-form4_166903941395385.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,224 Read SEC document |
| August 24, 2022 Filed Aug 25, 2022 23:09 UTC | Capstone Energy Plus, Inc. CGRN · Entity 2475 | GrantCommon Stock | 19,455 | $0.00 | $0.00 |
DisclosureSEC source: 0001938659-22-000003 · primary_doc.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,798 F1 · shares: Represents shares underlying restricted stock units that vest upon completion of the annual term of the Board of Directors that includes the date of the grant. Read SEC document |
| June 28, 2022 Filed Jun 29, 2022 06:21 UTC | Charah Solutions, Inc. CHRA · Entity 111345 | GrantCommon Stock | 26,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001730346-22-000035 · wf-form4_165649810427659.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,474 F1 · kind: Acquisition consists of an award of restricted stock units granted under the Charah Solutions, Inc. 2018 Omnibus Incentive Plan Read SEC document |
| May 19, 2022 Filed May 24, 2022 00:12 UTC | PG&E Corp PCG · Entity 3143 | GrantCommon Stock | 18,121 | $0.00 | $0.00 |
DisclosureSEC source: 0001004980-22-000098 · wf-form4_165335113228309.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,420 F1 · shares: Restricted Stock Units (RSUs) granted under the PG&E Corporation 2021 Long Term Incentive Plan (LTIP). RSUs are payable in shares of PG&E Corporation common stock on a one-for-one basis. As described in the LTIP, RSUs vest upon the earliest of one year from the date of grant; the last day of a director's elected term; a director's death, disability, or termination following a change in control; or a change in control in which the acquiror does not assume, continue, or substitute the award. Read SEC document |
| September 01, 2021 Filed Sep 2, 2021 23:45 UTC | PG&E Corp PCG · Entity 3143 | PurchaseCommon Stock | 10,000 | $9.28 | $92,800.00 |
DisclosureSEC source: 0001127602-21-024817 · form4.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,299 Read SEC document |
| August 27, 2021 Filed Aug 31, 2021 23:32 UTC | Capstone Energy Plus, Inc. CGRN · Entity 2475 | GrantCommon Stock | 10,917 | $0.00 | $0.00 |
DisclosureSEC source: 0001831231-21-000018 · primary_doc.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,343 F1 · shares: Represents shares underlying restricted stock units that vest upon completion of the annual term of the Board of Directors that includes the date of the grant. Read SEC document |
| August 19, 2021 Filed Aug 19, 2021 22:57 UTC | Capstone Energy Plus, Inc. CGRN · Entity 2475 | PurchaseCommon Stock | 1,600 | $4.10 | $6,560.00 |
DisclosureSEC source: 0001831231-21-000011 · primary_doc.xml · nonDerivative · entry 2 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,426 Read SEC document |
| August 18, 2021 Filed Aug 19, 2021 22:57 UTC | Capstone Energy Plus, Inc. CGRN · Entity 2475 | PurchaseCommon Stock | 929 | $3.85 | $3,576.65 |
DisclosureSEC source: 0001831231-21-000011 · primary_doc.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,826 Read SEC document |
| June 23, 2021 Filed Jun 24, 2021 18:08 UTC | Charah Solutions, Inc. CHRA · Entity 111345 | GrantCommon Stock | 19,802 | $0.00 | $0.00 |
DisclosureSEC source: 0001730346-21-000041 · wf-form4_162457248558933.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,807 F1 · kind: Acquisition consists of an award of restricted stock units granted under the Charah Solutions, Inc. 2018 Omnibus Incentive Plan Read SEC document |
| May 20, 2021 Filed May 25, 2021 01:33 UTC | PG&E Corp PCG · Entity 3143 | GrantCommon Stock | 21,153 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-017946 · form4.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,299 F1 · shares: Restricted Stock Units (RSUs) granted under the PG&E Corporation 2014 Long Term Incentive Plan (LTIP). RSUs are payable in shares of PG&E Corporation common stock on a one-for-one basis. As described in the LTIP, RSUs vest upon the earliest of one year from the date of grant, the last day of a director's elected term, or a director's death, disability, or termination following a change in control. Read SEC document |
| August 27, 2020 Filed Aug 28, 2020 22:57 UTC | Capstone Energy Plus, Inc. CPST · Entity 2475 | GrantCommon Stock | 11,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001770907-20-000017 · primary_doc.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,897 Read SEC document |
| August 03, 2020 Filed Aug 5, 2020 20:51 UTC | PG&E Corp PCG · Entity 3143 | GrantCommon Stock | 20,146 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-022892 · form4.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,146 F1 · shares: Restricted Stock Units (RSUs) granted under the PG&E Corporation 2014 Long-Term Incentive Plan. RSUs are payable in shares of PG&E Corporation stock on a one-for-one basis. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 09:18 UTC | Charah Solutions, Inc. CHRA · Entity 111345 | GrantCommon Stock | 20,619 | $0.00 | $0.00 |
DisclosureSEC source: 0001730346-20-000022 · wf-form4_159188146652443.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,005 F1 · kind: Acquisition consists of an award of restricted stock units granted under the Charah Solutions, Inc. 2018 Omnibus Incentive Plan Read SEC document |
| August 29, 2019 Filed Sep 3, 2019 22:21 UTC | Capstone Energy Plus, Inc. CPST · Entity 2475 | GrantCommon Stock | 73,529 | $0.00 | $0.00 |
DisclosureSEC source: 0001770907-19-000026 · primary_doc.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,863 Read SEC document |
| August 20, 2019 Filed Aug 22, 2019 17:56 UTC | Charah Solutions, Inc. CHRA · Entity 111345 | PurchaseCommon Stock | 7,500 | $3.23 | $24,213.00 |
DisclosureSEC source: 0000899243-19-022332 · doc4.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,386 F1 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $3.09 to $3.30, inclusive. The reporting person undertakes to provide to Charah Solutions, Inc., any security holder of Charah Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the range set forth above. Read SEC document |
| June 14, 2019 Filed Jun 14, 2019 22:52 UTC | Capstone Energy Plus, Inc. CPST · Entity 2475 | PurchaseCommon Stock | 12,600 | $0.80 | $10,080.00 |
DisclosureSEC source: 0001770907-19-000015 · primary_doc.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,334 Read SEC document |
| May 17, 2019 Filed May 23, 2019 13:51 UTC | Charah Solutions, Inc. CHRA · Entity 111345 | GrantCommon Stock | 21,552 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-014485 · doc4.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,886 F1 · kind: Acquisition consists of an award of restricted stock units granted under the Charah Solutions, Inc. 2018 Omnibus Incentive Plan. Read SEC document |
| August 30, 2018 Filed Sep 4, 2018 23:31 UTC | Capstone Energy Plus, Inc. cpst · Entity 2475 | GrantCommon Stock | 43,859 | $0.00 | $0.00 |
DisclosureSEC source: 0001447591-18-000031 · primary_doc.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,734 Read SEC document |
| August 16, 2018 Filed Aug 20, 2018 19:12 UTC | Charah Solutions, Inc. CHRA · Entity 111345 | GrantCommon Stock | 8,334 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-022830 · doc4.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,334 F1 · kind: Acquisition consists of an award of restricted stock units granted under the Charah Solutions, Inc. 2018 Omnibus Incentive Plan. Read SEC document |
| June 18, 2018 Filed Jun 20, 2018 21:09 UTC | Charah Solutions, Inc. CHRA · Entity 111345 | PurchaseCommon Stock | 5,000 | $12.00 | $60,000.00 |
DisclosureSEC source: 0000899243-18-017542 · doc4.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 F1 · kind: These shares of common stock were purchased in the directed share program conducted in connection with Charah Solutions, Inc.'s initial public offering. Read SEC document |
| June 12, 2018 Filed Jun 12, 2018 17:03 UTC | Capstone Energy Plus, Inc. cpst · Entity 2475 | PurchaseCommon Stock | 30,000 | $1.53 | $45,840.00 |
DisclosureSEC source: 0001447591-18-000023 · primary_doc.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,875 Read SEC document |
| April 20, 2018 Filed Apr 24, 2018 23:07 UTC | Capstone Energy Plus, Inc. cpst · Entity 2475 | GrantCommon Stock | 11,875 | $0.00 | $0.00 |
DisclosureSEC source: 0001447591-18-000014 · primary_doc.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,875 Read SEC document |
| April 09, 2018 Filed Apr 11, 2018 10:38 UTC | DYNEGY INC. DYN · Entity 12803 | Disposition to issuerRestricted Stock Units · Derivative | 497,281 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-018143 · doc1.xml · derivative · entry 8 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 497,281 shares Expires not disclosed F8 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis. Disposed of pursuant to the Merger in exchange for 0.652 shares of Vistra Restricted Stock Units having a market value of $20.83, closing price, per share on the Effective Date of the Merger. The Restricted Stock Units will vest pursuant to the terms of the Grant Agreements. F8 · derivative.exercise_date: Restricted Stock Units convert into common stock on a one-for-one basis. Disposed of pursuant to the Merger in exchange for 0.652 shares of Vistra Restricted Stock Units having a market value of $20.83, closing price, per share on the Effective Date of the Merger. The Restricted Stock Units will vest pursuant to the terms of the Grant Agreements. F8 · derivative.expiration_date: Restricted Stock Units convert into common stock on a one-for-one basis. Disposed of pursuant to the Merger in exchange for 0.652 shares of Vistra Restricted Stock Units having a market value of $20.83, closing price, per share on the Effective Date of the Merger. The Restricted Stock Units will vest pursuant to the terms of the Grant Agreements. Read SEC document |
| April 09, 2018 Filed Apr 11, 2018 10:38 UTC | DYNEGY INC. DYN · Entity 12803 | Disposition to issuerCommon Stock Option (Right to Buy) · Derivative | 352,561 | Not disclosed Strike: $8.02 | Not disclosed |
DisclosureSEC source: 0001140361-18-018143 · doc1.xml · derivative · entry 7 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 352,561 shares Expires not disclosed F7 · price: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 229,869 shares of Vistra common stock for $12.30. The option will expire pursuant to the terms of the grant agreement. F7 · derivative.exercise_date: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 229,869 shares of Vistra common stock for $12.30. The option will expire pursuant to the terms of the grant agreement. F7 · derivative.expiration_date: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 229,869 shares of Vistra common stock for $12.30. The option will expire pursuant to the terms of the grant agreement. Read SEC document |
| April 09, 2018 Filed Apr 11, 2018 10:38 UTC | DYNEGY INC. DYN · Entity 12803 | Disposition to issuerCommon Stock Option (Right to Buy) · Derivative | 311,785 | Not disclosed Strike: $11.05 | Not disclosed |
DisclosureSEC source: 0001140361-18-018143 · doc1.xml · derivative · entry 6 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 311,785 shares Expires not disclosed F6 · price: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 203,283 shares of Vistra common stock for $16.95. The option will expire pursuant to the terms of the grant agreement. F6 · derivative.exercise_date: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 203,283 shares of Vistra common stock for $16.95. The option will expire pursuant to the terms of the grant agreement. F6 · derivative.expiration_date: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 203,283 shares of Vistra common stock for $16.95. The option will expire pursuant to the terms of the grant agreement. Read SEC document |
| April 09, 2018 Filed Apr 11, 2018 10:38 UTC | DYNEGY INC. DYN · Entity 12803 | Disposition to issuerCommon Stock Option (Right to Buy) · Derivative | 148,984 | Not disclosed Strike: $27.24 | Not disclosed |
DisclosureSEC source: 0001140361-18-018143 · doc1.xml · derivative · entry 5 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 148,984 shares Expires not disclosed F5 · price: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 97,137 shares of Vistra common stock for $41.78. The option will expire pursuant to the terms of the grant agreement. F5 · derivative.exercise_date: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 97,137 shares of Vistra common stock for $41.78. The option will expire pursuant to the terms of the grant agreement. F5 · derivative.expiration_date: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 97,137 shares of Vistra common stock for $41.78. The option will expire pursuant to the terms of the grant agreement. Read SEC document |
| April 09, 2018 Filed Apr 11, 2018 10:38 UTC | DYNEGY INC. DYN · Entity 12803 | Disposition to issuerCommon Stock Option (Right to Buy) · Derivative | 139,594 | Not disclosed Strike: $23.03 | Not disclosed |
DisclosureSEC source: 0001140361-18-018143 · doc1.xml · derivative · entry 4 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 139,594 shares Expires not disclosed F4 · price: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 91,015 shares of Vistra common stock for $35.32. The option will expire pursuant to the terms of the grant agreement. F4 · derivative.exercise_date: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 91,015 shares of Vistra common stock for $35.32. The option will expire pursuant to the terms of the grant agreement. F4 · derivative.expiration_date: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 91,015 shares of Vistra common stock for $35.32. The option will expire pursuant to the terms of the grant agreement. Read SEC document |
| April 09, 2018 Filed Apr 11, 2018 10:38 UTC | DYNEGY INC. DYN · Entity 12803 | Disposition to issuerCommon Stock Option (Right to Buy) · Derivative | 101,352 | Not disclosed Strike: $23.10 | Not disclosed |
DisclosureSEC source: 0001140361-18-018143 · doc1.xml · derivative · entry 3 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 101,352 shares Expires not disclosed F3 · price: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 66,081 shares of Vistra common stock for $35.43. The option will expire pursuant to the terms of the grant agreement. F3 · derivative.exercise_date: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 66,081 shares of Vistra common stock for $35.43. The option will expire pursuant to the terms of the grant agreement. F3 · derivative.expiration_date: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 66,081 shares of Vistra common stock for $35.43. The option will expire pursuant to the terms of the grant agreement. Read SEC document |
| April 09, 2018 Filed Apr 11, 2018 10:38 UTC | DYNEGY INC. DYN · Entity 12803 | Disposition to issuerCommon Stock Option (Right to Buy) · Derivative | 273,059 | Not disclosed Strike: $18.70 | Not disclosed |
DisclosureSEC source: 0001140361-18-018143 · doc1.xml · derivative · entry 2 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 273,059 shares Expires not disclosed F2 · price: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 178,034 shares of Vistra common stock for $28.68. The option will expire pursuant to the terms of the grant agreement. F2 · derivative.exercise_date: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 178,034 shares of Vistra common stock for $28.68. The option will expire pursuant to the terms of the grant agreement. F2 · derivative.expiration_date: This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 178,034 shares of Vistra common stock for $28.68. The option will expire pursuant to the terms of the grant agreement. Read SEC document |
| April 09, 2018 Filed Apr 11, 2018 10:38 UTC | DYNEGY INC. DYN · Entity 12803 | Disposition to issuerCommon Stock | 664,057 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-018143 · doc1.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to the closing of the merger on April 9, 2018 (the "Effective Date") between Issuer and Vistra Energy Corp. (the "Merger") in exchange for 0.652 shares of Vistra Corp. stock having a market value of $20.83, closing price, per share on the Effective Date of the Merger. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 16:32 UTC | DYNEGY INC. DYN · Entity 12803 | Exercise / conversionRestricted Stock Units · Derivative | 57,542 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-013035 · doc1.xml · derivative · entry 3 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 497,281 Underlying: Common Stock · 57,542 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Dynegy Inc. common stock. F5 · derivative.exercise_date: On March 8, 2016, the reporting person was granted 172,625 restricted stock units representing the contingent right to receive for each restricted stock unit one share of Dynegy Inc. common stock or the cash equivalent of one share of common stock. The restricted stock units vest in three annual equal installments which began on March 8, 2017. F5 · derivative.expiration_date: On March 8, 2016, the reporting person was granted 172,625 restricted stock units representing the contingent right to receive for each restricted stock unit one share of Dynegy Inc. common stock or the cash equivalent of one share of common stock. The restricted stock units vest in three annual equal installments which began on March 8, 2017. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 16:32 UTC | DYNEGY INC. DYN · Entity 12803 | Tax withholdingCommon Stock | 22,626 | $13.47 | $304,772.22 |
DisclosureSEC source: 0001140361-18-013035 · doc1.xml · nonDerivative · entry 2 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 664,057 F2 · kind: These restricted stock units were withheld to pay the taxes applicable to the vesting of 57,542 units of restricted stock on March 8, 2018. F3 · price: Reflects closing stock price on March 8, 2018. F4 · balance_after: Amount includes 152,220 restricted stock units that vest in two annual equal installments beginning on March 1, 2019. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 16:32 UTC | DYNEGY INC. DYN · Entity 12803 | Exercise / conversionCommon Stock | 57,542 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-013035 · doc1.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 686,683 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 · price: Each restricted stock unit is the economic equivalent of one share of Dynegy Inc. common stock. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 16:34 UTC | DYNEGY INC. DYN · Entity 12803 | Tax withholdingCommon Stock | 18,518 | $12.34 | $228,512.12 |
DisclosureSEC source: 0001140361-18-011973 · doc1.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 629,141 F1 · kind: These restricted stock units were withheld by Issuer to pay the taxes applicable to the vesting of 76,110 units of restricted stock on March 1, 2018. F2 · price: Reflects the closing stock price on March 1, 2018. F3 · balance_after: Amount includes 152,220 restricted stock units that vest in two annual equal installments beginning on March 1, 2019. Read SEC document |
| February 27, 2018 Filed Mar 1, 2018 17:12 UTC | DYNEGY INC. DYN · Entity 12803 | GrantRestricted Stock Units · Derivative | 439,740 | $12.33 | $5,421,994.20 |
DisclosureSEC source: 0001140361-18-011308 · doc1.xml · derivative · entry 2 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 554,823 Underlying: Common Stock · 439,740 shares Expires not disclosed F3 · derivative.exercise_price: Restricted stock unit grant pursuant to Rule 16(b)-3(d). Each restricted stock unit represents a contingent right to receive one share of Dynegy Inc. common stock or the cash equivalent of one share of common stock. Subject to certain exceptions as described in the award agreements, the restricted stock units vest in three annual equal installments beginning on February 27, 2019. The settlement of such units are anticipated to be settled in cash. F2 · date: The grants of the restricted stock units were approved by a committee of the Issuer's Board of Directors on February 27, 2018. F3 · derivative.exercise_date: Restricted stock unit grant pursuant to Rule 16(b)-3(d). Each restricted stock unit represents a contingent right to receive one share of Dynegy Inc. common stock or the cash equivalent of one share of common stock. Subject to certain exceptions as described in the award agreements, the restricted stock units vest in three annual equal installments beginning on February 27, 2019. The settlement of such units are anticipated to be settled in cash. F3 · derivative.expiration_date: Restricted stock unit grant pursuant to Rule 16(b)-3(d). Each restricted stock unit represents a contingent right to receive one share of Dynegy Inc. common stock or the cash equivalent of one share of common stock. Subject to certain exceptions as described in the award agreements, the restricted stock units vest in three annual equal installments beginning on February 27, 2019. The settlement of such units are anticipated to be settled in cash. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:33 UTC | DYNEGY INC. DYN · Entity 12803 | Tax withholdingCommon Stock | 72,847 | $11.47 | $835,555.09 |
DisclosureSEC source: 0001140361-17-047004 · doc1.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 647,659 F1 · kind: On December 19, 2017, the Dynegy Board of Directors (the "Board") approved the acceleration of vesting of restricted stock units granted in 2015 that were otherwise scheduled to vest on March 3, 2018 and April 20, 2018. The Board approved the accelerated vesting of such grants, and the related withholding of shares to pay taxes, in order to mitigate potential adverse tax consequences of Section 280G of the Internal Revenue Code in connection with the pending merger of Dynegy Inc. with and into Vistra Energy Corp. The reported disposition represents the withholding of shares to cover tax obligations arising from the acceleration of 173,650 restricted stock units on December 19, 2017. F2 · price: Reflects the closing stock price on December 19, 2017. F3 · balance_after: Amount 228,330 restricted stock units that vest in three annual equal installments beginning on March 1, 2018. Read SEC document |
| June 23, 2017 Filed Jun 27, 2017 20:09 UTC | WESTMORELAND COAL Co WLB · Entity 159111 | GrantRestricted Stock Units · Derivative | 11,349 | $0.00 | $0.00 |
DisclosureSEC source: 0000106455-17-000052 · wf-form4_149860855679812.xml · derivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,349 Underlying: Common Stock · 11,349 shares Expires 2018-05-16 F1 · derivative.exercise_price: These shares are represented by restricted stock units that vest as Common Stock on a one for one basis on May 16, 2018. Read SEC document |
| May 17, 2017 Filed May 19, 2017 18:56 UTC | WESTMORELAND COAL Co WLB · Entity 159111 | Exercise / conversionRestricted Stock Units · Derivative | 9,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000106455-17-000034 · wf-form4_149523458748236.xml · derivative · entry 2 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,000 shares Expires 2017-05-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These shares are represented by restricted stock units that vest one year from the date of the grant. Read SEC document |
| May 17, 2017 Filed May 19, 2017 18:56 UTC | WESTMORELAND COAL Co WLB · Entity 159111 | Exercise / conversionCommon Stock | 9,000 | $7.78 | $70,020.00 |
DisclosureSEC source: 0000106455-17-000034 · wf-form4_149523458748236.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 24, 2017 Filed Mar 24, 2017 16:34 UTC | DYNEGY INC. DYN · Entity 12803 | PurchaseCommon Stock | 15,000 | $7.16 | $107,400.00 |
DisclosureSEC source: 0001140361-17-013273 · doc1.xml · nonDerivative · entry 1 FLEXON ROBERT C · CIK 0001236545 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 720,506 F1 · price: The price reported in Column 4 is the weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.13 to $7.18, inclusive. The reporting person undertakes to provide Dynegy Inc., any security holder of Dynegy Inc., or staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price and within the range set forth herein. F2 · balance_after: Amount includes 20,087 restricted stock units that vest on March 3, 2018, 153,563 restricted stock units that vest on April 30, 2018 and 228,330 restricted stock units that vest in three annual equal installments beginning on March 1, 2018. 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.