Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LSB INDUSTRIES, INC.LXU · Entity 5122 | Director | December 16, 2024 | December 18, 2024 |
| LUNA INNOVATIONS INCLUNA · Entity 84494 | Director · Interim Exec Chair/President | March 24, 2024 | March 26, 2024 |
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.
LSB INDUSTRIES, INC.
Report date December 16, 2024 · Filed December 18, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 124,346 |
Reported balance
After 2024-12-16 transaction · row 1
1 source rowRow 1 · 2024-12-16 · Grant · Acquired 15,234 · Balance 124,346 F1: (1) Restricted Stock Units granted pursuant to the LSB Industries, Inc. 2016 Long Term Incentive Plan, as amended. Each Restricted Stock Unit represents a right to receive one share of common stock of LXU which, following the December 16, 2024 grant date, shall be nonforfeitable. Pursuant to the terms of the LSB Industries, Inc. Nonqualified Deferred Compensation Plan for Non-Employee Directors, the Restricted Stock Units will be settled in common stock of LXU within 90 days following the earlier to occur of: (i) the director's separation from service and (ii) the occurrence of a change of control. |
Filing footnotes · ownership attribution and instrument terms
F1: (1) Restricted Stock Units granted pursuant to the LSB Industries, Inc. 2016 Long Term Incentive Plan, as amended. Each Restricted Stock Unit represents a right to receive one share of common stock of LXU which, following the December 16, 2024 grant date, shall be nonforfeitable. Pursuant to the terms of the LSB Industries, Inc. Nonqualified Deferred Compensation Plan for Non-Employee Directors, the Restricted Stock Units will be settled in common stock of LXU within 90 days following the earlier to occur of: (i) the director's separation from service and (ii) the occurrence of a change of control.
LUNA INNOVATIONS INC
Report date March 24, 2024 · Filed March 26, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 154,639 |
Reported balance
After 2024-03-24 transaction · row 1
1 source rowRow 1 · 2024-03-24 · Grant · Acquired 154,639 · Balance 154,639 F1: Consists of restricted stock units. Each restricted stock unit represents the contingent right to receive one share of common stock of the issuer. The Reporting Person was granted the restricted stock units in connection with the Reporting Person's appointment as Interim Executive Chairman and Interim President. One-fourth of the shares underlying the award will become eligible to vest on each three month anniversary of the grant date, subject to the Reporting Person's continued employment with the issuer as Interim Executive Chairman as of the applicable three month anniversary (the "Service-Eligible RSUs"). Any restricted stock units that become Service-Eligible RSUs will actually vest on March 24, 2025, subject to the Reporting Person's Continuous Service (as defined in the issuer's 2023 Equity Incentive Plan) to the issuer through such date. F2: In the event of Mr. Roedel's death or disability, or in the event of a change in control of the issuer, occurring (a) during Mr. Roedel's service as Interim Executive Chairman, the vesting of any unvested restricted stock units, whether or not Service-Eligible RSUs, shall accelerate in full, or (b) after the termination Mr. Roedel's service as Interim Executive Chair but while Mr. Roedel remains in Continuous Service, the vesting of any Service-Eligible RSUs shall accelerate in full. The restricted stock units have no expiration date. |
| Common StockSEC Table I · non-derivative | IndirectBy Profit Sharing Plan | 237,573 |
Reported balance
Holding disclosure · report date 2024-03-24 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 237,573 |
| Common StockSEC Table I · non-derivative | IndirectBy Spousal Trust | 524,633 |
Reported balance
Holding disclosure · report date 2024-03-24 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 524,633 F3: The Reporting Person's spouse is trustee of the Spousal Lifetime Access Trust (SLAT). The beneficiaries of the SLAT are the Reporting Person's spouse and children. The Reporting Person disclaims beneficial ownership of the securities held by the SLAT. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of restricted stock units. Each restricted stock unit represents the contingent right to receive one share of common stock of the issuer. The Reporting Person was granted the restricted stock units in connection with the Reporting Person's appointment as Interim Executive Chairman and Interim President. One-fourth of the shares underlying the award will become eligible to vest on each three month anniversary of the grant date, subject to the Reporting Person's continued employment with the issuer as Interim Executive Chairman as of the applicable three month anniversary (the "Service-Eligible RSUs"). Any restricted stock units that become Service-Eligible RSUs will actually vest on March 24, 2025, subject to the Reporting Person's Continuous Service (as defined in the issuer's 2023 Equity Incentive Plan) to the issuer through such date.
F2: In the event of Mr. Roedel's death or disability, or in the event of a change in control of the issuer, occurring (a) during Mr. Roedel's service as Interim Executive Chairman, the vesting of any unvested restricted stock units, whether or not Service-Eligible RSUs, shall accelerate in full, or (b) after the termination Mr. Roedel's service as Interim Executive Chair but while Mr. Roedel remains in Continuous Service, the vesting of any Service-Eligible RSUs shall accelerate in full. The restricted stock units have no expiration date.
F3: The Reporting Person's spouse is trustee of the Spousal Lifetime Access Trust (SLAT). The beneficiaries of the SLAT are the Reporting Person's spouse and children. The Reporting Person disclaims beneficial ownership of the securities held by the SLAT.
Past disclosures · reporting ended (4)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
BrightView Holdings, Inc.
Report date December 31, 2024 · Filed January 02, 2025
Section 16 reporting ended · disclosed 2025-01-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 33,511 |
Reported balance
After 2024-12-31 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-12-31 · Grant · Acquired 1,563 · Balance 33,511 F1: Represents vested shares of Issuer common stock issued as director compensation in lieu of cash. F2: The number of shares of common stock reported in Column 5 does not include 139,928 shares held in a trust of which the reporting person's adult children are trustees and beneficiaries. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents vested shares of Issuer common stock issued as director compensation in lieu of cash.
F2: The number of shares of common stock reported in Column 5 does not include 139,928 shares held in a trust of which the reporting person's adult children are trustees and beneficiaries.
CLARIVATE PLC
Report date December 31, 2024 · Filed January 03, 2025
Section 16 reporting ended · disclosed 2025-01-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 106,645 |
Ending reported balance
After 2025-01-01 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2024-12-31 · Grant · Acquired 5,689 · Balance 107,971 F1: Quarterly award of shares elected in lieu of cash retainer of $28,904 for services as a member of the Board of Directors and granted pursuant to the Clarivate Plc 2019 Incentive Award Plan. The number of shares was calculated by dividing the cash retainer by $5.08, the closing price of the issuer's ordinary shares on December 31, 2024. Row 2 · 2024-12-31 · Tax withholding · Disposed 257 · Balance 107,714 F2: Represents shares withheld for taxes. Row 3 · 2025-01-01 · Tax withholding · Disposed 1,069 · Balance 106,645 F3: Represents shares withheld for taxes due upon the vesting of restricted share units. |
| Ordinary SharesSEC Table I · non-derivative | Indirectby Profit Sharing Plan | 4,090 |
Reported balance
Holding disclosure · report date 2024-12-31 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 4,090 |
| Ordinary SharesSEC Table I · non-derivative | Indirectby The Richard W. Roedel Trust | 39,395 |
Reported balance
Holding disclosure · report date 2024-12-31 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 39,395 |
Filing footnotes · ownership attribution and instrument terms
F1: Quarterly award of shares elected in lieu of cash retainer of $28,904 for services as a member of the Board of Directors and granted pursuant to the Clarivate Plc 2019 Incentive Award Plan. The number of shares was calculated by dividing the cash retainer by $5.08, the closing price of the issuer's ordinary shares on December 31, 2024.
F2: Represents shares withheld for taxes.
F3: Represents shares withheld for taxes due upon the vesting of restricted share units.
IHS Markit Ltd.
Report date April 26, 2020 · Filed June 02, 2020 · Amendment
Section 16 reporting ended · disclosed 2020-06-02. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectHeld by Spouse | 189,075 |
Reported balance
After 2020-04-26 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2020-04-26 · Grant · Acquired 340 · Balance 189,075 F1: This form 4/A is being filed to include the additional common shares which were acquired pursuant to the dividend equivalent provisions of certain underlying deferred stock units which settled following the reporting person's termination of service as a director. Such additional common shares were inadvertently excluded with the initial filing due to administrative error. |
| Common SharesSEC Table I · non-derivative | IndirectHeld by Spouse | 186,651 |
Reported balance
After 2020-04-26 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2020-04-26 · Tax withholding · Disposed 2,424 · Balance 186,651 F2: Represents shares repurchased by the company for withheld taxes due upon the delivery of common shares underlying deferred stock units which settled following the reporting person's termination of service as a director. |
| Common SharesSEC Table I · non-derivative | IndirectHeld by Profit Sharing Plan | 11,029 |
Reported balance
Holding disclosure · report date 2020-04-26 · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · Balance 11,029 |
Filing footnotes · ownership attribution and instrument terms
F1: This form 4/A is being filed to include the additional common shares which were acquired pursuant to the dividend equivalent provisions of certain underlying deferred stock units which settled following the reporting person's termination of service as a director. Such additional common shares were inadvertently excluded with the initial filing due to administrative error.
F2: Represents shares repurchased by the company for withheld taxes due upon the delivery of common shares underlying deferred stock units which settled following the reporting person's termination of service as a director.
Six Flags Entertainment Corp/OLD
Report date May 05, 2021 · Filed May 07, 2021
Section 16 reporting ended · disclosed 2021-05-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.025 per shareSEC Table I · non-derivative | Direct | 20,767 |
Reported balance
After 2021-05-05 transaction · row 1
1 source rowRow 1 · 2021-05-05 · Grant · Acquired 749 · Balance 20,767 F1: Represents deferral of director cash compensation into stock units pursuant to the Issuer's director cash retainer deferral program under the Issuer's Long-Term Incentive Plan. |
| Common Stock, par value $0.025 per shareSEC Table I · non-derivative | IndirectHeld by reporting person's defined benefit pension plan | 22,054 |
Reported balance
Holding disclosure · report date 2021-05-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 22,054 |
| Common Stock, par value $0.025 per shareSEC Table I · non-derivative | IndirectHeld by reporting person's profit sharing plan | 5,036 |
Reported balance
Holding disclosure · report date 2021-05-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 5,036 |
| Common Stock, par value $0.025 per shareSEC Table I · non-derivative | IndirectBy reporting person's wife | 45,561 |
Reported balance
Holding disclosure · report date 2021-05-05 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 45,561 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents deferral of director cash compensation into stock units pursuant to the Issuer's director cash retainer deferral program under the Issuer's Long-Term Incentive Plan.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 07, 2022 Filed Mar 9, 2022 17:00 UTC | BrightView Holdings, Inc. BV · Entity 4938 | Exercise / conversionRestricted Stock Units · Derivative | 7,452 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-017610 · doc4.xml · derivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,452 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. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. The restricted stock units will be settled in either common stock or cash (or a combination thereof). F3 · derivative.exercise_date: On March 17, 2021, the Reporting Person was issued 7,452 time-based restricted stock units as director compensation that vested on March 7, 2022. F3 · derivative.expiration_date: On March 17, 2021, the Reporting Person was issued 7,452 time-based restricted stock units as director compensation that vested on March 7, 2022. Read SEC document |
| March 07, 2022 Filed Mar 9, 2022 17:00 UTC | BrightView Holdings, Inc. BV · Entity 4938 | Exercise / conversionCommon Stock | 7,452 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-017610 · doc4.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,124 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: Reflects restricted stock units that upon vesting converted into shares of Issuer common stock on a one-for-one basis. Read SEC document |
| January 03, 2022 Filed Jan 4, 2022 16:40 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 118.2 | $8.46 | $999.97 |
DisclosureSEC source: 0001239819-22-000007 · wf-form4_164133240639459.xml · derivative · entry 4 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,575.93 Underlying: Common Stock · 118.2 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F6 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the compensation committee of the board of directors for the period from January 1, 2022 to March 31, 2022. The number of restricted stock units is equal to $1,000.00 divided by $8.46, the closing price of issuer's common stock on the Nasdaq Capital Market on January 3, 2022, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| January 03, 2022 Filed Jan 4, 2022 16:40 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 118.2 | $8.46 | $999.97 |
DisclosureSEC source: 0001239819-22-000007 · wf-form4_164133240639459.xml · derivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,457.73 Underlying: Common Stock · 118.2 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the nominating and governance committee of the board of directors for the period from January 1, 2022 to March 31, 2022. The number of restricted stock units is equal to $1,000.00 divided by $8.46, the closing price of issuer's common stock on the Nasdaq Capital Market on January 3, 2022, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| January 03, 2022 Filed Jan 4, 2022 16:40 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 325.06 | $8.46 | $2,750.01 |
DisclosureSEC source: 0001239819-22-000007 · wf-form4_164133240639459.xml · derivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,339.53 Underlying: Common Stock · 325.06 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F4 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as the chairman of the risk committee of the board of directors for the period from January 1, 2022 to March 31, 2022. The number of restricted stock units is equal to $2,750.00 divided by $8.46, the closing price of issuer's common stock on the Nasdaq Capital Market on January 3, 2022, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| January 03, 2022 Filed Jan 4, 2022 16:40 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 1,846.93 | $8.46 | $15,625.03 |
DisclosureSEC source: 0001239819-22-000007 · wf-form4_164133240639459.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,014.47 Underlying: Common Stock · 1,846.93 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F2 · shares: The grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as chairman of the board of directors for the period from January 1, 2022 to March 31, 2022. The number of restricted stock units is equal to $15,625.00 divided by $8.46, the closing price of issuer's common stock on the Nasdaq Capital Market on January 3, 2022, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| December 31, 2021 Filed Jan 3, 2022 17:30 UTC | BrightView Holdings, Inc. BV · Entity 4938 | GrantCommon Stock | 1,790 | $14.08 | $25,203.20 |
DisclosureSEC source: 0001209191-22-000289 · doc4.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,672 F1 · kind: Represents vested shares of Issuer common stock issued as director compensation in lieu of cash. Read SEC document |
| December 31, 2021 Filed Jan 4, 2022 21:53 UTC | CLARIVATE PLC CLVT · Entity 4778 | Tax withholdingOrdinary Shares | 41 | $0.00 | $0.00 |
DisclosureSEC source: 0001764046-22-000010 · wf-form4_164133314947956.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,917 F2 · shares: Represents shares withheld for taxes due upon the issuance of shares elected by the reporting person in lieu of the quarterly cash retainer for services as a member of the Board of Directors. Read SEC document |
| December 31, 2021 Filed Jan 4, 2022 21:53 UTC | CLARIVATE PLC CLVT · Entity 4778 | GrantOrdinary Shares | 903 | $23.52 | $21,238.56 |
DisclosureSEC source: 0001764046-22-000010 · wf-form4_164133314947956.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,958 F1 · shares: Quarterly award of shares elected in lieu of cash retainer of $21,250 for services as a member of the Board of Directors and granted pursuant to the Clarivate Plc 2019 Incentive Award Plan. The number of shares was calculated by dividing the cash retainer by $23.52, the closing price of the issuer's ordinary shares on December 31, 2021. Read SEC document |
| October 01, 2021 Filed Oct 4, 2021 18:08 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 106.38 | $9.40 | $999.97 |
DisclosureSEC source: 0001239819-21-000086 · wf-form4_163338526302693.xml · derivative · entry 4 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,167.54 Underlying: Common Stock · 106.38 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F6 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the compensation committee of the board of directors for the period from October 1, 2021 to December 31, 2021. The number of restricted stock units is equal to $1,000.00 divided by $9.40, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| October 01, 2021 Filed Oct 4, 2021 18:08 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 106.38 | $9.40 | $999.97 |
DisclosureSEC source: 0001239819-21-000086 · wf-form4_163338526302693.xml · derivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,061.16 Underlying: Common Stock · 106.38 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the nominating and governance committee of the board of directors for the period from October 1, 2021 to December 31, 2021. The number of restricted stock units is equal to $1,000.00 divided by $9.40, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| October 01, 2021 Filed Oct 4, 2021 18:08 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 292.55 | $9.40 | $2,749.97 |
DisclosureSEC source: 0001239819-21-000086 · wf-form4_163338526302693.xml · derivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,954.78 Underlying: Common Stock · 292.55 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F4 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as the chairman of the risk committee of the board of directors for the period from October 1, 2021 to December 31, 2021. The number of restricted stock units is equal to $2,750.00 divided by $9.40, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| October 01, 2021 Filed Oct 4, 2021 18:08 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 1,662.23 | $9.40 | $15,624.96 |
DisclosureSEC source: 0001239819-21-000086 · wf-form4_163338526302693.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,662.23 Underlying: Common Stock · 1,662.23 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F2 · shares: The grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as chairman of the board of directors for the period from October 1, 2021 to December 31, 2021. The number of restricted stock units is equal to $15,625.00 divided by $9.40, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2021, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| September 30, 2021 Filed Oct 1, 2021 16:34 UTC | BrightView Holdings, Inc. BV · Entity 4938 | GrantCommon Stock | 1,693 | $14.76 | $24,988.68 |
DisclosureSEC source: 0001209191-21-058472 · doc4.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,882 F2 · kind: Represents vested shares of Issuer common stock issued as director compensation in lieu of cash. Read SEC document |
| September 30, 2021 Filed Oct 4, 2021 20:56 UTC | CLARIVATE PLC CLVT · Entity 4778 | Tax withholdingOrdinary Shares | 42 | $21.90 | $919.80 |
DisclosureSEC source: 0001764046-21-000148 · wf-form4_163338097198005.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,055 F2 · shares: Represents shares withheld for taxes due upon the issuance of shares elected by the reporting person in lieu of the quarterly cash retainer for services as a member of the Board of Directors. Read SEC document |
| September 30, 2021 Filed Oct 4, 2021 20:56 UTC | CLARIVATE PLC CLVT · Entity 4778 | GrantOrdinary Shares | 970 | $21.90 | $21,243.00 |
DisclosureSEC source: 0001764046-21-000148 · wf-form4_163338097198005.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,097 F1 · shares: Quarterly award of shares elected in lieu of the quarterly cash retainer of $21,250 for services as a member of the Board of Directors and granted pursuant to the Clarivate Plc 2019 Incentive Award Plan. The number of shares granted was calculated by dividing the cash retainer by $21.90, the closing price of the issuer's ordinary shares on September 30, 2021, and rounding down to the next whole share. Read SEC document |
| August 02, 2021 Filed Oct 4, 2021 20:56 UTC | CLARIVATE PLC CLVT · Entity 4778 | GiftOrdinary Shares | 39,395 | $0.00 | $0.00 |
DisclosureSEC source: 0001764046-21-000148 · wf-form4_163338097198005.xml · nonDerivative · entry 4 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by The Richard W. Roedel Trust Disclosed balance after: 39,395 Read SEC document |
| August 02, 2021 Filed Oct 4, 2021 20:56 UTC | CLARIVATE PLC CLVT · Entity 4778 | GiftOrdinary Shares | 39,395 | $0.00 | $0.00 |
DisclosureSEC source: 0001764046-21-000148 · wf-form4_163338097198005.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Spouse Disclosed balance after: 0 Read SEC document |
| July 29, 2021 Filed Oct 1, 2021 16:34 UTC | BrightView Holdings, Inc. BV · Entity 4938 | GiftCommon Stock | 61,170 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-058472 · doc4.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 0 F1 · kind: Transfer of shares to an irrevocable trust, of which the reporting person's adult children are trustees and beneficiaries. Read SEC document |
| July 29, 2021 Filed Feb 8, 2022 15:07 UTC | LSB INDUSTRIES, INC. LXU · Entity 5122 | GiftCommon Stock | 100,640 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-002793 · doc1.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 0 F2 · shares: Transfer of shares to an irrevocable trust, of which the reporting person's adult children are trustees and beneficiaries. F2 · price: Transfer of shares to an irrevocable trust, of which the reporting person's adult children are trustees and beneficiaries. Read SEC document |
| July 09, 2021 Filed Jul 13, 2021 14:12 UTC | LSB INDUSTRIES, INC. LXU · Entity 5122 | GiftCommon Stock | 89,109 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-013270 · doc1.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 100,640 F1 · shares: On July 9, 2021, the reporting person transferred 89,109 shares of common stock to his spouse. The reporting person disclaims Section 16 beneficial ownership of these shares except to the extent, if any, of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Following this transfer, the reporting person directly held 23,470 shares and his spouse directly held 100,640 shares. Read SEC document |
| July 09, 2021 Filed Jul 13, 2021 14:12 UTC | LSB INDUSTRIES, INC. LXU · Entity 5122 | GiftCommon Stock | 89,109 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-013270 · doc1.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,470 F1 · shares: On July 9, 2021, the reporting person transferred 89,109 shares of common stock to his spouse. The reporting person disclaims Section 16 beneficial ownership of these shares except to the extent, if any, of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Following this transfer, the reporting person directly held 23,470 shares and his spouse directly held 100,640 shares. F2 · balance_after: On the Form 4 filed by the reporting person on May 17, 2021, the Amount of Securities Beneficially Owned Following Reported Transaction(s) was reported as 106,052. The amount should have been 112,579. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 16:52 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 92.17 | $10.85 | $1,000.04 |
DisclosureSEC source: 0001239819-21-000073 · wf-form4_162525911456926.xml · derivative · entry 4 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,434.77 Underlying: Common Stock · 92.17 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F6 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the compensation committee of the board of directors for the period from July 1, 2021 to September 30, 2021. The number of restricted stock units is equal to $1,000.00 divided by $10.85, the closing price of issuer's common stock on the Nasdaq Capital Market on July 1, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 16:52 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 92.17 | $10.85 | $1,000.04 |
DisclosureSEC source: 0001239819-21-000073 · wf-form4_162525911456926.xml · derivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,342.6 Underlying: Common Stock · 92.17 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the nominating and governance committee of the board of directors for the period from July 1, 2021 to September 30, 2021. The number of restricted stock units is equal to $1,000.00 divided by $10.85, the closing price of issuer's common stock on the Nasdaq Capital Market on July 1, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 16:52 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 253.46 | $10.85 | $2,750.04 |
DisclosureSEC source: 0001239819-21-000073 · wf-form4_162525911456926.xml · derivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,250.43 Underlying: Common Stock · 253.46 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F4 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as the chairman of the risk committee of the board of directors for the period from July 1, 2021 to September 30, 2021. The number of restricted stock units is equal to $2,750.00 divided by $10.85, the closing price of issuer's common stock on the Nasdaq Capital Market on July 1, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 16:52 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 1,440.09 | $10.85 | $15,624.98 |
DisclosureSEC source: 0001239819-21-000073 · wf-form4_162525911456926.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,996.97 Underlying: Common Stock · 1,440.09 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F2 · shares: The grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as chairman of the board of directors for the period from July 1, 2021 to September 30, 2021. The number of restricted stock units is equal to $15,625.00 divided by $10.85, the closing price of issuer's common stock on the Nasdaq Capital Market on July 1, 2021, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 16:34 UTC | BrightView Holdings, Inc. BV · Entity 4938 | GrantCommon Stock | 1,550 | $16.12 | $24,986.00 |
DisclosureSEC source: 0001209191-21-044425 · doc4.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,189 F1 · kind: Represents vested shares of Issuer common stock issued as director compensation in lieu of cash. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 20:55 UTC | CLARIVATE PLC CLVT · Entity 4778 | Tax withholdingOrdinary Shares | 35 | $27.53 | $963.55 |
DisclosureSEC source: 0001764046-21-000113 · wf-form4_162525927784831.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,127 F2 · shares: Represents shares withheld for taxes due upon the issuance of shares elected by the reporting person in lieu of the quarterly cash retainer for services as a member of the Board of Directors. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 20:55 UTC | CLARIVATE PLC CLVT · Entity 4778 | GrantOrdinary Shares | 771 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001764046-21-000113 · wf-form4_162525927784831.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,162 F1 · price: Quarterly award of shares elected in lieu of $21,250 for services as a member of the Board of Directors and granted pursuant to the Clarivate Plc 2019 Incentive Award Plan. The number of shares granted was calculated by dividing the cash retainer by $27.53, the closing price of the issuer's ordinary shares on June 30, 2021 and rounding down to the next whole share. Read SEC document |
| June 11, 2021 Filed Jun 15, 2021 21:08 UTC | CLARIVATE PLC CLVT · Entity 4778 | PurchaseOrdinary Shares | 19,193 | $26.08 | $500,457.48 |
DisclosureSEC source: 0001764046-21-000107 · wf-form4_162379126073556.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Spouse Disclosed balance after: 39,395 F1 · price: The price reported is a weighted average price. The prices actually paid ranged from $26.075 to $26.0782. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. Read SEC document |
| May 17, 2021 Filed May 20, 2021 19:37 UTC | LSB INDUSTRIES, INC. LXU · Entity 5122 | GrantCommon Stock | 12,859 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-010784 · doc1.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,052 F1 · shares: Restricted Stock Units granted pursuant to the LSB Industries, Inc. 2016 Long Term Incentive Plan, as amended. Each Restricted Stock Unit represents a right to receive one share of common stock of LXU which, following the May 17, 2021 grant date, shall be nonforfeitable. The Restricted Stock Units will be settled in common stock of LXU within thirty days following the earliest to occur of: (i) the director's separation from service, (ii) the anniversary of the grant date, and (iii) the occurrence of a change of control. Read SEC document |
| May 11, 2021 Filed May 13, 2021 16:25 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 5,640 | $11.08 | $62,491.20 |
DisclosureSEC source: 0001239819-21-000049 · wf-form4_162093750444291.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,556.88 Underlying: Common Stock · 5,640 shares Expires not disclosed F1 · derivative.exercise_price: Consists of stock units that are convertible into issuer's common stock on a 1-for-1 basis. F2 · shares: This grant was awarded in connection with Mr. Roedel's service as chairman of the board of directors, pursuant to the issuer's non-employee director compensation policy. The number of stock units awarded is equal to $62,500 divided by $11.08, the closing price of the issuer's stock on the Nasdaq Capital Market on May 11, 2021, the date of grant. F3 · derivative.exercise_date: The stock units vest upon the earlier of the one year anniversary of the grant date or the issuer's annual meeting of stockholders and, subject to vesting, will become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The stock units have no expiration date. F3 · derivative.expiration_date: The stock units vest upon the earlier of the one year anniversary of the grant date or the issuer's annual meeting of stockholders and, subject to vesting, will become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The stock units have no expiration date. Read SEC document |
| May 07, 2021 Filed May 10, 2021 21:12 UTC | CLARIVATE PLC CLVT · Entity 4778 | Tax withholdingOrdinary Shares | 303 | $27.96 | $8,471.88 |
DisclosureSEC source: 0001764046-21-000090 · wf-form4_162068113524231.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Spouse Disclosed balance after: 20,202 F2 · shares: Represents shares withheld for taxes due upon the vesting of restricted share units. Read SEC document |
| May 06, 2021 Filed May 10, 2021 21:12 UTC | CLARIVATE PLC CLVT · Entity 4778 | GrantOrdinary Shares | 5,941 | $0.00 | $0.00 |
DisclosureSEC source: 0001764046-21-000090 · wf-form4_162068113524231.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,391 F1 · shares: Annual non-employee director award of restricted share units granted pursuant to the Clarivate Plc 2019 Incentive Award Plan. Read SEC document |
| May 05, 2021 Filed May 7, 2021 16:26 UTC | Six Flags Entertainment Corp/OLD SIX · Entity 89213 | GrantCommon Stock, par value $0.025 per share | 749 | $43.36 | $32,476.64 |
DisclosureSEC source: 0001179110-21-005004 · edgar.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,767 F1 · shares: Represents deferral of director cash compensation into stock units pursuant to the Issuer's director cash retainer deferral program under the Issuer's Long-Term Incentive Plan. Read SEC document |
| April 01, 2021 Filed Apr 2, 2021 17:28 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 92.34 | $10.83 | $1,000.04 |
DisclosureSEC source: 0001239819-21-000033 · wf-form4_161739884571509.xml · derivative · entry 4 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,916.88 Underlying: Common Stock · 92.34 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F6 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the compensation committee of the board of directors for the period from April 1, 2021 to June 30, 2021. The number of restricted stock units is equal to $1,000.00 divided by $10.83, the closing price of issuer's common stock on the Nasdaq Capital Market on April 1, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| April 01, 2021 Filed Apr 2, 2021 17:28 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 92.34 | $10.83 | $1,000.04 |
DisclosureSEC source: 0001239819-21-000033 · wf-form4_161739884571509.xml · derivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,824.54 Underlying: Common Stock · 92.34 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the nominating and governance committee of the board of directors for the period from April 1, 2021 to June 30, 2021. The number of restricted stock units is equal to $1,000.00 divided by $10.83, the closing price of issuer's common stock on the Nasdaq Capital Market on April 1, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| April 01, 2021 Filed Apr 2, 2021 17:28 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 253.92 | $10.83 | $2,749.95 |
DisclosureSEC source: 0001239819-21-000033 · wf-form4_161739884571509.xml · derivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,732.2 Underlying: Common Stock · 253.92 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F4 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as the chairman of the risk committee of the board of directors for the period from April 1, 2021 to June 30, 2021. The number of restricted stock units is equal to $2,750.00 divided by $10.83, the closing price of issuer's common stock on the Nasdaq Capital Market on April 1, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| April 01, 2021 Filed Apr 2, 2021 17:28 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 1,442.75 | $10.83 | $15,624.98 |
DisclosureSEC source: 0001239819-21-000033 · wf-form4_161739884571509.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,478.28 Underlying: Common Stock · 1,442.75 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F2 · shares: The grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as chairman of the board of directors for the period from April 1, 2021 to June 30, 2021. The number of restricted stock units is equal to $15,625.00 divided by $10.83, the closing price of issuer's common stock on the Nasdaq Capital Market on April 1, 2021, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 17:01 UTC | BrightView Holdings, Inc. BV · Entity 4938 | GrantCommon Stock | 1,481 | $16.87 | $24,984.47 |
DisclosureSEC source: 0001209191-21-024145 · doc4.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,639 F1 · kind: Represents vested shares of Issuer common stock issued as director compensation in lieu of cash. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 20:54 UTC | CLARIVATE PLC CLVT · Entity 4778 | Tax withholdingOrdinary Shares | 37 | $26.39 | $976.43 |
DisclosureSEC source: 0001764046-21-000044 · wf-form4_161739681178343.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,450 F2 · shares: Represents shares withheld for taxes due upon the issuance of shares elected by the reporting person in lieu of the quarterly cash retainer for services as a member of the Board of Directors. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 20:54 UTC | CLARIVATE PLC CLVT · Entity 4778 | GrantOrdinary Shares | 805 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001764046-21-000044 · wf-form4_161739681178343.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,487 F1 · shares: Quarterly award of shares elected in lieu of cash retainer of $21,250 for services as a member of the Board of Directors and granted pursuant to the Clarivate Plc 2019 Incentive Award Plan. The number of shares granted was calculated by dividing the cash retainer by $26.39, the closing price of the issuer's ordinary shares on March 31, 2021, and rounding down to the next whole share. F1 · price: Quarterly award of shares elected in lieu of cash retainer of $21,250 for services as a member of the Board of Directors and granted pursuant to the Clarivate Plc 2019 Incentive Award Plan. The number of shares granted was calculated by dividing the cash retainer by $26.39, the closing price of the issuer's ordinary shares on March 31, 2021, and rounding down to the next whole share. Read SEC document |
| March 17, 2021 Filed Mar 19, 2021 16:10 UTC | BrightView Holdings, Inc. BV · Entity 4938 | GrantRestricted Stock Units · Derivative | 7,452 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-022063 · doc4.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,452 Underlying: Common Stock · 7,452 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. The restricted stock units will be settled in either common stock or cash (or a combination thereof). F2 · derivative.exercise_date: Represents a grant of time-based restricted stock units issued as director compensation that vests 100% on the earlier of: (a) March 17, 2022, or (b) the business day immediately preceding the Issuer's next annual meeting of stockholders. F2 · derivative.expiration_date: Represents a grant of time-based restricted stock units issued as director compensation that vests 100% on the earlier of: (a) March 17, 2022, or (b) the business day immediately preceding the Issuer's next annual meeting of stockholders. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 18:06 UTC | BrightView Holdings, Inc. BV · Entity 4938 | Exercise / conversionRestricted Stock Units · Derivative | 7,832 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-020540 · doc4.xml · derivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,832 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. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. The restricted stock units will be settled in either common stock or cash (or a combination thereof). F3 · derivative.exercise_date: On March 11, 2020, the Reporting Person was issued 7,832 time-based restricted stock units as director compensation that vested on March 11, 2021. F3 · derivative.expiration_date: On March 11, 2020, the Reporting Person was issued 7,832 time-based restricted stock units as director compensation that vested on March 11, 2021. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 18:06 UTC | BrightView Holdings, Inc. BV · Entity 4938 | Exercise / conversionCommon Stock | 7,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-020540 · doc4.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,158 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: Reflects restricted stock units that upon vesting converted into shares of Issuer common stock on a one-for-one basis. Read SEC document |
| January 29, 2021 Filed Feb 2, 2021 17:55 UTC | Six Flags Entertainment Corp/OLD SIX · Entity 89213 | GrantCommon Stock, par value $0.025 per share | 603 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-21-001083 · edgar.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,018 F1 · shares: Shares issued in lieu of certain cash compensation for 2020 service on the Board of Directors. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:15 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 106.16 | $9.42 | $1,000.03 |
DisclosureSEC source: 0001239819-21-000006 · wf-form4_160988493133122.xml · derivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,035.53 Underlying: Common Stock · 106.16 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the nominating and governance committee of the board of directors for the period from January 1, 2021 to March 31, 2021. The number of restricted stock units is equal to $1,000.00 divided by $9.42, the closing price of issuer's common stock on the Nasdaq Capital Market on January 4, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:15 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 106.16 | $9.42 | $1,000.03 |
DisclosureSEC source: 0001239819-21-000006 · wf-form4_160988493133122.xml · derivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,929.37 Underlying: Common Stock · 106.16 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F4 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the compensation committee of the board of directors for the period from January 1, 2021 to March 31, 2021. The number of restricted stock units is equal to $1,000.00 divided by $9.42, the closing price of issuer's common stock on the Nasdaq Capital Market on January 4, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:15 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 1,658.7 | $9.42 | $15,624.95 |
DisclosureSEC source: 0001239819-21-000006 · wf-form4_160988493133122.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,823.21 Underlying: Common Stock · 1,658.7 shares Expires not disclosed F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis. F2 · shares: The grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as chairman of the board of directors for the period from January 1, 2021 to March 31, 2021. The number of restricted stock units is equal to $15,625.00 divided by $9.42, the closing price of issuer's common stock on the Nasdaq Capital Market on January 4, 2021, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 21:17 UTC | CLARIVATE PLC CCC · Entity 4778 | Tax withholdingOrdinary Shares | 33 | $29.71 | $980.43 |
DisclosureSEC source: 0001764046-21-000004 · wf-form4_160988144611451.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 682 F2 · shares: Represents shares withheld for taxes due upon the issuance of shares elected by the reporting person in lieu of the quarterly cash retainer for services as a member of the Board of Directors. 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.