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 |
|---|---|---|---|---|---|---|
| June 10, 2018 Filed Jun 12, 2018 16:28 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 586 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-18-000096 · wf-form4_152883530269109.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 586 F1 · kind: Quarterly award of Deferred Stock Units elected in lieu of cash retainer and granted pursuant to the IHS Markit Ltd. 2014 Equity Incentive Award Plan. Read SEC document |
| May 24, 2018 Filed May 29, 2018 20:54 UTC | LSB INDUSTRIES, INC. LXU · Entity 5122 | GrantCommon Stock | 11,837 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-026020 · doc1.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,778 F1 · shares: Restricted Stock Units granted pursuant to the LSB Industries, Inc. 2016 Long Term Incentive Plan. Each Restricted Stock Unit represents a right to receive one share of common stock of LXU which, following the May 24, 2018 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 third anniversary of the grant date, and (iii) the occurrence of a change of control. Read SEC document |
| May 17, 2018 Filed May 18, 2018 17:05 UTC | Six Flags Entertainment Corp/OLD SIX · Entity 89213 | GiftCommon Stock, par value $0.025 per share | 2,429 | $0.00 | $0.00 |
DisclosureSEC source: 0000701374-18-000136 · wf-form4_152667753721330.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,293 Read SEC document |
| May 15, 2018 Filed May 17, 2018 20:15 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 16,287 | $0.00 | $0.00 |
DisclosureSEC source: 0001239819-18-000039 · wf-form4_152660246210972.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,043.49 Underlying: Common Stock · 16,287 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 $50,000 divided by $3.07, the closing price of the issuer's stock on Nasdaq Capital Market on May 15, 2018, 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 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 units have no expiration date. Read SEC document |
| May 02, 2018 Filed May 4, 2018 16:57 UTC | Six Flags Entertainment Corp/OLD SIX · Entity 89213 | GrantCommon Stock, par value $0.025 per share | 443 | $0.00 | $0.00 |
DisclosureSEC source: 0000701374-18-000127 · wf-form4_152546744388650.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,722 F3 · shares: Stock units pursuant to dividend equivalent rights under the director cash retainer deferral program under the Issuer's Long-Term Incentive Plan. The number of stock units was based on the conversion of cash dividend equivalents accumulated since the last annual meeting of stockholders on deferrals. Read SEC document |
| May 02, 2018 Filed May 4, 2018 16:57 UTC | Six Flags Entertainment Corp/OLD SIX · Entity 89213 | GrantCommon Stock, par value $0.025 per share | 1,102 | $0.00 | $0.00 |
DisclosureSEC source: 0000701374-18-000127 · wf-form4_152546744388650.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,279 F2 · 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 |
| May 02, 2018 Filed May 4, 2018 16:57 UTC | Six Flags Entertainment Corp/OLD SIX · Entity 89213 | GrantCommon Stock, par value $0.025 per share | 2,520 | $0.00 | $0.00 |
DisclosureSEC source: 0000701374-18-000127 · wf-form4_152546744388650.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,177 F1 · shares: Subject to vesting on the earlier of (i) the day immediately prior to the first annual meeting of stockholders of the Issuer after the Grant Date or (ii) the first anniversary of the Grant Date. Read SEC document |
| April 11, 2018 Filed Apr 13, 2018 17:42 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 3,722 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-18-000074 · wf-form4_152365572170005.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Spouse Disclosed balance after: 212,600 Read SEC document |
| April 11, 2018 Filed Apr 13, 2018 17:42 UTC | IHS Markit Ltd. INFO · Entity 129710 | GiftCommon Shares | 3,722 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-18-000074 · wf-form4_152365572170005.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| April 11, 2018 Filed Apr 13, 2018 17:42 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 3,722 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-18-000074 · wf-form4_152365572170005.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,722 F1 · kind: Annual award of restricted stock units granted pursuant to the IHS Markit Ltd. 2014 Equity Incentive Award Plan. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 16:35 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 230.77 | $3.25 | $750.00 |
DisclosureSEC source: 0001239819-18-000013 · wf-form4_152287405999511.xml · derivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,756.49 Underlying: Common Stock · 230.77 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 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, 2018 to June 30, 2018. The number of restricted stock units is equal to $750.00 divided by $3.25, the closing price of the issuer's common stock on the Nasdaq Capital Market on April 2, 2018, 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 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 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 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 units have no expiration date. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 16:35 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 3,846.15 | $3.25 | $12,499.99 |
DisclosureSEC source: 0001239819-18-000013 · wf-form4_152287405999511.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,525.72 Underlying: Common Stock · 3,846.15 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: This 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, 2018 to June 30, 2018. The number of restricted stock units is equal to $12,500.00 divided by $3.25, the closing price of the issuer's common stock on the Nasdaq Capital Market on April 2, 2018, 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 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 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 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 units have no expiration date. Read SEC document |
| March 10, 2018 Filed Mar 13, 2018 16:29 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 611 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-18-000036 · wf-form4_152097296780492.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Spouse Disclosed balance after: 208,878 Read SEC document |
| March 10, 2018 Filed Mar 13, 2018 16:29 UTC | IHS Markit Ltd. INFO · Entity 129710 | GiftCommon Shares | 611 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-18-000036 · wf-form4_152097296780492.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| March 10, 2018 Filed Mar 13, 2018 16:29 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 611 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-18-000036 · wf-form4_152097296780492.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 611 F1 · kind: Quarterly award of Deferred Stock Units elected in lieu of cash retainer and granted pursuant to the IHS Markit Ltd. 2014 Equity Incentive Award Plan. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 17:43 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 300 | $2.50 | $750.00 |
DisclosureSEC source: 0001239819-18-000003 · wf-form4_151510580918610.xml · derivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,679.57 Underlying: Common Stock · 300 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 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, 2018 to March 31, 2018. The number of restricted stock units is equal to $750.00 divided by $2.50, the closing price of issuer's common stock on the NASDAQ Capital Market on January 2, 2018, 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 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 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 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 units have no expiration date. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 17:43 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 5,000 | $2.50 | $12,500.00 |
DisclosureSEC source: 0001239819-18-000003 · wf-form4_151510580918610.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,379.57 Underlying: Common Stock · 5,000 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: This 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, 2018 to March 31, 2018. The number of restricted stock units is equal to $12,500.00 divided by $2.50, the closing price of issuer's common stock on the NASDAQ Capital Market on January 2, 2018, 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 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 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 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 units have no expiration date. Read SEC document |
| December 08, 2017 Filed Dec 12, 2017 16:49 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 658 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000154 · wf-form4_151311538524810.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Spouse Disclosed balance after: 208,267 Read SEC document |
| December 08, 2017 Filed Dec 12, 2017 16:49 UTC | IHS Markit Ltd. INFO · Entity 129710 | GiftCommon Shares | 658 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000154 · wf-form4_151311538524810.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| December 08, 2017 Filed Dec 12, 2017 16:49 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 658 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000154 · wf-form4_151311538524810.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 658 F1 · kind: Quarterly award of Deferred Stock Units elected in lieu of cash retainer and granted pursuant to the IHS Markit Ltd. 2014 Equity Incentive Award Plan. Read SEC document |
| October 02, 2017 Filed Oct 4, 2017 19:43 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 441.18 | $1.70 | $750.01 |
DisclosureSEC source: 0001239819-17-000080 · wf-form4_150716061564118.xml · derivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,379.57 Underlying: Common Stock · 441.18 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 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, 2017 to December 31, 2017. The number of restricted stock units is equal to $750.00 divided by $1.70, the closing price of issuer's common stock on the NASDAQ Capital Market on October 2, 2017, 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 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 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 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 units have no expiration date. Read SEC document |
| October 02, 2017 Filed Oct 4, 2017 19:43 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 7,352.94 | $1.70 | $12,500.00 |
DisclosureSEC source: 0001239819-17-000080 · wf-form4_150716061564118.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,938.39 Underlying: Common Stock · 7,352.94 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: This 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, 2017 to December 31, 2017. The number of restricted stock units is equal to $12,500.00 divided by $1.70, the closing price of issuer's common stock on the NASDAQ Capital Market on October 2, 2017, 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 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 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 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 units have no expiration date. Read SEC document |
| September 08, 2017 Filed Sep 12, 2017 16:14 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 631 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000130 · wf-form4_150524723029676.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Spouse Disclosed balance after: 207,609 Read SEC document |
| September 08, 2017 Filed Sep 12, 2017 16:14 UTC | IHS Markit Ltd. INFO · Entity 129710 | GiftCommon Shares | 631 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000130 · wf-form4_150524723029676.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| September 08, 2017 Filed Sep 12, 2017 16:14 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 631 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000130 · wf-form4_150524723029676.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 631 F1 · kind: Quarterly award of Deferred Stock Units elected in lieu of cash retainer and granted pursuant to the IHS Markit Ltd. 2014 Equity Incentive Award Plan. Read SEC document |
| July 03, 2017 Filed Jul 5, 2017 16:24 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 503.36 | $1.49 | $750.01 |
DisclosureSEC source: 0001239819-17-000058 · wf-form4_149928626344621.xml · derivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,585.45 Underlying: Common Stock · 503.36 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 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, 2017 to September 30, 2017. The number of stock units is equal to $750 divided by $1.49, the closing price of issuer's common stock on the NASDAQ Capital Market on July 3, 2017, 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 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 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 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 units have no expiration date. Read SEC document |
| July 03, 2017 Filed Jul 5, 2017 16:24 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 8,389.26 | $1.49 | $12,500.00 |
DisclosureSEC source: 0001239819-17-000058 · wf-form4_149928626344621.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,082.09 Underlying: Common Stock · 8,389.26 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: This 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, 2017 to September 30, 2017. The number of stock units is equal to $12,500 divided by $1.49, the closing price of issuer's common stock on the NASDAQ Capital Market on July 3, 2017, 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 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 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 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 units have no expiration date. Read SEC document |
| June 09, 2017 Filed Jun 13, 2017 16:04 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 647 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000106 · wf-form4_149738425811688.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Spouse Disclosed balance after: 206,978 Read SEC document |
| June 09, 2017 Filed Jun 13, 2017 16:04 UTC | IHS Markit Ltd. INFO · Entity 129710 | GiftCommon Shares | 647 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000106 · wf-form4_149738425811688.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| June 09, 2017 Filed Jun 13, 2017 16:04 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 647 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000106 · wf-form4_149738425811688.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 647 F1 · kind: Quarterly award of Deferred Stock Units elected in lieu of cash retainer and granted pursuant to the IHS Markit Ltd. 2014 Equity Incentive Award Plan. Read SEC document |
| June 02, 2017 Filed Jun 6, 2017 19:30 UTC | LSB INDUSTRIES, INC. LXU · Entity 5122 | GrantCommon Stock | 6,332 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-023932 · doc1.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,941 F1 · shares: Restricted Stock Units granted pursuant to the LSB Industries, Inc. 2016 Long Term Incentive Plan. Each Restricted Stock Unit represents a right to receive one share of common stock of LXU which, following the June 2, 2017 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 third anniversary of the grant date, and (iii) the occurrence of a change of control. Read SEC document |
| May 24, 2017 Filed May 26, 2017 21:31 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantCommon Stock | 32,467 | $0.00 | $0.00 |
DisclosureSEC source: 0001239819-17-000045 · wf-form4_149584866523921.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,945 F1 · security: Consists of restricted 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 restricted stock units awarded is equal to $50,000 divided by $1.54, the closing price of issuer's common stock on the NASDAQ Capital Market on May 24, 2017, the date of grant. F3 · shares: The stock units will vest fully on earlier of the one anniversary of the grant date or the issuer's next annual meeting of stockholders. Read SEC document |
| May 12, 2017 Filed May 15, 2017 17:00 UTC | Six Flags Entertainment Corp/OLD SIX · Entity 89213 | GiftCommon Stock, par value $0.025 per share | 2,394 | $0.00 | $0.00 |
DisclosureSEC source: 0000701374-17-000098 · wf-form4_149488201081301.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,657 Read SEC document |
| May 03, 2017 Filed May 5, 2017 16:50 UTC | Six Flags Entertainment Corp/OLD SIX · Entity 89213 | GrantCommon Stock, par value $0.025 per share | 1,476 | $0.00 | $0.00 |
DisclosureSEC source: 0000701374-17-000087 · wf-form4_149401742258524.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,184 F3 · shares: Stock units pursuant to dividend equivalent rights under the director cash retainer deferral program under the Issuer's Long-Term Incentive Plan. The number of stock units was based on the conversion of cashdividend equivalents accumulated since the last annual meeting of stockholders on deferrals. Read SEC document |
| May 03, 2017 Filed May 5, 2017 16:50 UTC | Six Flags Entertainment Corp/OLD SIX · Entity 89213 | GrantCommon Stock, par value $0.025 per share | 1,133 | $0.00 | $0.00 |
DisclosureSEC source: 0000701374-17-000087 · wf-form4_149401742258524.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,708 F2 · shares: Represents deferral of director cash compensation into stock units pursuant to the Company's director cash retainer deferral program under the Company's Long-Term Incentive Plan. Read SEC document |
| May 03, 2017 Filed May 5, 2017 16:50 UTC | Six Flags Entertainment Corp/OLD SIX · Entity 89213 | GrantCommon Stock, par value $0.025 per share | 2,429 | $0.00 | $0.00 |
DisclosureSEC source: 0000701374-17-000087 · wf-form4_149401742258524.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,575 F1 · shares: Subject to vesting on the earlier of (i) the day immediately prior to the first annual meeting of stockholders of the Issuer after the Grant Date or (ii) the first anniversary of the Grant Date. Read SEC document |
| May 03, 2017 Filed May 10, 2017 17:08 UTC Amendment | Six Flags Entertainment Corp/OLD SIX · Entity 89213 | GrantCommon Stock, par value $0.025 per share | 343 | $0.00 | $0.00 |
DisclosureSEC source: 0000701374-17-000094 · wf-form4a_149445046440763.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,051 F1 · shares: Stock units pursuant to dividend equivalent rights under the director cash retainer deferral program under the Issuer's Long-Term Incentive Plan. The number of stock units was based on the conversion of cash dividend equivalents accumulated since the last annual meeting of stockholders on deferrals. The number of stock units granted pursuant to dividend equivalent rights under the director cash retainer deferral program under the Issuer's Long-Term Incentive Plan was inadvertently overstated on the Form 4 filed on May 5, 2017 by also including the stock units granted pursuant to the deferral of director cash compensation reported on the preceding line on such Form 4. Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 16:31 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 4,293 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000081 · wf-form4_149159707783561.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Spouse Disclosed balance after: 206,331 Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 16:31 UTC | IHS Markit Ltd. INFO · Entity 129710 | GiftCommon Shares | 4,293 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000081 · wf-form4_149159707783561.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 16:31 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 4,293 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000081 · wf-form4_149159707783561.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,293 F1 · kind: Annual award of restricted stock units granted pursuant to the IHS Markit Ltd. 2014 Equity Incentive Award Plan. Read SEC document |
| April 03, 2017 Filed Apr 10, 2017 16:48 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 436.05 | $1.72 | $750.01 |
DisclosureSEC source: 0001628280-17-003520 · wf-form4_149185730525695.xml · derivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,692.83 Underlying: Common Stock · 436.05 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 compensation committee of the board of directors for the period from April 1, 2017 to June 30, 2017. The number units is equal to $750.00 divided by $1.72, the closing price of issuer's common stock on the NASDAQ Capital Market on April 3, 2017, 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 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 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 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 units have no expiration date. Read SEC document |
| April 03, 2017 Filed Apr 10, 2017 16:48 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 436.05 | $1.72 | $750.01 |
DisclosureSEC source: 0001628280-17-003520 · wf-form4_149185730525695.xml · derivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,256.78 Underlying: Common Stock · 436.05 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 issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the audit committee of the board of directors for the period from April 1, 2017 to June 30, 2017. The number units is equal to $750.00 divided by $1.72, the closing price of issuer's common stock on the NASDAQ Capital Market on April 3, 2017, 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 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 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 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 units have no expiration date. Read SEC document |
| April 03, 2017 Filed Apr 10, 2017 16:48 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 7,267.44 | $1.72 | $12,500.00 |
DisclosureSEC source: 0001628280-17-003520 · wf-form4_149185730525695.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,820.73 Underlying: Common Stock · 7,267.44 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: This 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, 2017 to June 30, 2017. The number units is equal to $12,500.00 divided by $1.72, the closing price of issuer's common stock on the NASDAQ Capital Market on April 3, 2017, 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 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 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 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 units have no expiration date. Read SEC document |
| March 10, 2017 Filed Mar 14, 2017 17:56 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 747 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000064 · wf-form4_148952857982673.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Spouse Disclosed balance after: 202,038 Read SEC document |
| March 10, 2017 Filed Mar 14, 2017 17:56 UTC | IHS Markit Ltd. INFO · Entity 129710 | GiftCommon Shares | 747 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000064 · wf-form4_148952857982673.xml · nonDerivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| March 10, 2017 Filed Mar 14, 2017 17:56 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 747 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-17-000064 · wf-form4_148952857982673.xml · nonDerivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 747 F1 · kind: Quarterly award of Deferred Stock Units elected in lieu of cash retainer and granted pursuant to the IHS Markit Ltd. 2014 Equity Incentive Award Plan. Read SEC document |
| January 03, 2017 Filed Jan 4, 2017 16:21 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 487.01 | $1.54 | $750.00 |
DisclosureSEC source: 0001239819-17-000003 · wf-form4_148356490092756.xml · derivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,553.29 Underlying: Common Stock · 487.01 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 compensation committee of the board of directors for the period from January 1, 2017 to March 31, 2017. The number units is equal to $750.00 divided by $1.54, the closing price of issuer's common stock on the NASDAQ Capital Market on January 3, 2017, 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 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 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 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 units have no expiration date. Read SEC document |
| January 03, 2017 Filed Jan 4, 2017 16:21 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 487.01 | $1.54 | $750.00 |
DisclosureSEC source: 0001239819-17-000003 · wf-form4_148356490092756.xml · derivative · entry 2 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,066.28 Underlying: Common Stock · 487.01 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 issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the audit committee of the board of directors for the period from January 1, 2017 to March 31, 2017. The number units is equal to $750.00 divided by $1.54, the closing price of issuer's common stock on the NASDAQ Capital Market on January 3, 2017, 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 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 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 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 units have no expiration date. Read SEC document |
| January 03, 2017 Filed Jan 4, 2017 16:21 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | GrantStock Units · Derivative | 8,116.88 | $1.54 | $12,500.00 |
DisclosureSEC source: 0001239819-17-000003 · wf-form4_148356490092756.xml · derivative · entry 1 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,579.27 Underlying: Common Stock · 8,116.88 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: This 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, 2017 to March 31, 2017. The number units is equal to $12,500.00 divided by $1.54, the closing price of issuer's common stock on the NASDAQ Capital Market on January 3, 2017, 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 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 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 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 units have no expiration date. Read SEC document |
| December 09, 2016 Filed Dec 13, 2016 18:37 UTC | IHS Markit Ltd. INFO · Entity 129710 | GrantCommon Shares | 280 | $0.00 | $0.00 |
DisclosureSEC source: 0001598014-16-000091 · wf-form4_148167222135958.xml · nonDerivative · entry 3 ROEDEL RICHARD · CIK 0001205976 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Spouse Disclosed balance after: 201,291 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.