person · Reporting owner

Ferraro Joseph Anthony

Disclosed activity across 2 companies

Tapewire entity: 84908
SEC CIK: 0001717154

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
INNOVATE Corp.VATE · Entity 6766	Chief Legal Officer & Corp Sec	March 16, 2022	March 18, 2022

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.

INNOVATE Corp.

Report date March 16, 2022 · Filed March 18, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	343,306	Reported balance After 2022-03-16 transaction · row 1 1 source row Row 1 · 2022-03-16 · Sale · Disposed 8,626 · Balance 343,306 F1: Shares sold to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.48 to $3.64, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Filing footnotes · ownership attribution and instrument terms

F1: Shares sold to satisfy taxes payable in connection with the vesting of previously awarded restricted stock.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.48 to $3.64, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Catalent, Inc.

Report date December 18, 2024 · Filed December 18, 2024

Section 16 reporting ended · disclosed 2024-12-18. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Ending reported balance After 2024-12-18 transaction · row 3 3 source rows · reconciled sequence Row 1 · 2024-12-18 · Disposition to issuer · Disposed 23,967 · Balance 0 F1: On December 18, 2024, Creek Parent, Inc., a Delaware corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Creek Merger Sub, Inc., a Delaware corporation and a wholly owned Subsidiary of Parent ("Merger Sub"), dated as of February 5, 2024 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger"). F2: Includes restricted stock units ("RSUs"). F3: At the effective time of the Merger (the "Effective Time"), each outstanding share of the Issuer's common stock (other than certain excluded shares) automatically converted into the right to receive $63.50 in cash, without interest (the "Merger Consideration"). F4: At the Effective Time, each RSU, whether or not vested, outstanding immediately prior to the Effective Time vested (if unvested) and was cancelled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the total number of shares of Issuer common stock subject to the RSU multiplied by (ii) the Merger Consideration, except for certain RSUs granted following the date of the Merger Agreement which were converted at the Effective Time into restricted cash awards equal to the product of (a) the Merger Consideration multiplied by (b) the number of shares of Issuer common stock subject to such award and otherwise remain subject to their terms, including vesting and acceleration terms. Row 2 · 2024-12-18 · Grant · Acquired 14,265 · Balance 14,265 F5: At the Effective Time, each performance stock unit ("PSU"), whether or not vested, outstanding immediately prior to the Effective Time vested based on the greater of (i) the target level of performance or (ii) the actual level of performance as of the Effective Time as determined by the Issuer's board of directors or a committee thereof in its reasonable discretion (other than all then-outstanding awards of PSUs for which the applicable performance period has been completed and the actual level of performance has been certified, in each case, prior to the Effective Time, which vested in accordance with the actual level of performance). PSUs granted with respect to the fiscal 2023-2025 performance period vested at the target level of performance and PSUs granted with respect to the fiscal 2024-2026 performance period vested at 150%, the actual level of performance as of the Effective Time. Row 3 · 2024-12-18 · Disposition to issuer · Disposed 14,265 · Balance 0 F1: On December 18, 2024, Creek Parent, Inc., a Delaware corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Creek Merger Sub, Inc., a Delaware corporation and a wholly owned Subsidiary of Parent ("Merger Sub"), dated as of February 5, 2024 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger"). F6: At the Effective Time, each outstanding PSU was cancelled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the total number of shares of Issuer common stock subject to the PSU as determined in accordance with the Merger Agreement multiplied by (ii) the Merger Consideration.

Filing footnotes · ownership attribution and instrument terms

F1: On December 18, 2024, Creek Parent, Inc., a Delaware corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Creek Merger Sub, Inc., a Delaware corporation and a wholly owned Subsidiary of Parent ("Merger Sub"), dated as of February 5, 2024 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F2: Includes restricted stock units ("RSUs").

F3: At the effective time of the Merger (the "Effective Time"), each outstanding share of the Issuer's common stock (other than certain excluded shares) automatically converted into the right to receive $63.50 in cash, without interest (the "Merger Consideration").

F4: At the Effective Time, each RSU, whether or not vested, outstanding immediately prior to the Effective Time vested (if unvested) and was cancelled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the total number of shares of Issuer common stock subject to the RSU multiplied by (ii) the Merger Consideration, except for certain RSUs granted following the date of the Merger Agreement which were converted at the Effective Time into restricted cash awards equal to the product of (a) the Merger Consideration multiplied by (b) the number of shares of Issuer common stock subject to such award and otherwise remain subject to their terms, including vesting and acceleration terms.

F5: At the Effective Time, each performance stock unit ("PSU"), whether or not vested, outstanding immediately prior to the Effective Time vested based on the greater of (i) the target level of performance or (ii) the actual level of performance as of the Effective Time as determined by the Issuer's board of directors or a committee thereof in its reasonable discretion (other than all then-outstanding awards of PSUs for which the applicable performance period has been completed and the actual level of performance has been certified, in each case, prior to the Effective Time, which vested in accordance with the actual level of performance). PSUs granted with respect to the fiscal 2023-2025 performance period vested at the target level of performance and PSUs granted with respect to the fiscal 2024-2026 performance period vested at 150%, the actual level of performance as of the Effective Time.

F6: At the Effective Time, each outstanding PSU was cancelled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the total number of shares of Issuer common stock subject to the PSU as determined in accordance with the Merger Agreement multiplied by (ii) the Merger Consideration.

Transaction history

JSON API

Purchases/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
December 18, 2024 Filed Dec 18, 2024 13:56 UTC	Catalent, Inc. CTLT · Entity 16279	Disposition to issuerCommon Stock	14,265	Not disclosed	Not disclosed	Disclosure SEC source: 0000950170-24-137771 · ownership.xml · nonDerivative · entry 3 Ferraro Joseph Anthony · CIK 0001717154 · SVP, General Counsel, CCO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: On December 18, 2024, Creek Parent, Inc., a Delaware corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Creek Merger Sub, Inc., a Delaware corporation and a wholly owned Subsidiary of Parent ("Merger Sub"), dated as of February 5, 2024 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger"). F6 · price: At the Effective Time, each outstanding PSU was cancelled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the total number of shares of Issuer common stock subject to the PSU as determined in accordance with the Merger Agreement multiplied by (ii) the Merger Consideration. Read SEC document
December 18, 2024 Filed Dec 18, 2024 13:56 UTC	Catalent, Inc. CTLT · Entity 16279	GrantCommon Stock	14,265	$0.00	$0.00	Disclosure SEC source: 0000950170-24-137771 · ownership.xml · nonDerivative · entry 2 Ferraro Joseph Anthony · CIK 0001717154 · SVP, General Counsel, CCO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,265 F5 · shares: At the Effective Time, each performance stock unit ("PSU"), whether or not vested, outstanding immediately prior to the Effective Time vested based on the greater of (i) the target level of performance or (ii) the actual level of performance as of the Effective Time as determined by the Issuer's board of directors or a committee thereof in its reasonable discretion (other than all then-outstanding awards of PSUs for which the applicable performance period has been completed and the actual level of performance has been certified, in each case, prior to the Effective Time, which vested in accordance with the actual level of performance). PSUs granted with respect to the fiscal 2023-2025 performance period vested at the target level of performance and PSUs granted with respect to the fiscal 2024-2026 performance period vested at 150%, the actual level of performance as of the Effective Time. Read SEC document
December 18, 2024 Filed Dec 18, 2024 13:56 UTC	Catalent, Inc. CTLT · Entity 16279	Disposition to issuerCommon Stock	23,967	Not disclosed	Not disclosed	Disclosure SEC source: 0000950170-24-137771 · ownership.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · SVP, General Counsel, CCO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: On December 18, 2024, Creek Parent, Inc., a Delaware corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Creek Merger Sub, Inc., a Delaware corporation and a wholly owned Subsidiary of Parent ("Merger Sub"), dated as of February 5, 2024 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger"). F2 · shares: Includes restricted stock units ("RSUs"). F3 · price: At the effective time of the Merger (the "Effective Time"), each outstanding share of the Issuer's common stock (other than certain excluded shares) automatically converted into the right to receive $63.50 in cash, without interest (the "Merger Consideration"). F4 · price: At the Effective Time, each RSU, whether or not vested, outstanding immediately prior to the Effective Time vested (if unvested) and was cancelled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the total number of shares of Issuer common stock subject to the RSU multiplied by (ii) the Merger Consideration, except for certain RSUs granted following the date of the Merger Agreement which were converted at the Effective Time into restricted cash awards equal to the product of (a) the Merger Consideration multiplied by (b) the number of shares of Issuer common stock subject to such award and otherwise remain subject to their terms, including vesting and acceleration terms. Read SEC document
October 18, 2024 Filed Oct 21, 2024 11:30 UTC	Catalent, Inc. CTLT · Entity 16279	SaleCommon Stock	320	$59.97	$19,190.40	Disclosure SEC source: 0001596783-24-000091 · wk-form4_1729524625.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · SVP, General Counsel, CCO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,967 F1 · shares: Shares sold by the reporting person through an automatic sell-to-cover transaction to cover tax withholding obligations in connection with the vesting of restricted stock units received pursuant to the Issuers omnibus incentive plan. No shares were withheld by or surrendered to the Issuer. F2 · price: Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $59.94 to $60.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · balance_after: Includes restricted stock units. Read SEC document
August 02, 2024 Filed Aug 5, 2024 12:45 UTC	Catalent, Inc. CTLT · Entity 16279	SaleCommon Stock	608	$59.58	$36,224.64	Disclosure SEC source: 0001596783-24-000070 · wk-form4_1722876301.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · SVP, General Counsel, CCO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,287 F1 · shares: Shares sold by the reporting person through an automatic sell-to-cover transaction to cover tax withholding obligations in connection with the vesting of restricted stock units received pursuant to the Issuers omnibus incentive plan. No shares were withheld by or surrendered to the Issuer. F2 · price: Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $59.44 to $59.655, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · balance_after: Includes restricted stock units. Read SEC document
July 26, 2024 Filed Jul 30, 2024 17:12 UTC	Catalent, Inc. CTLT · Entity 16279	GrantCommon Stock	17,042	$0.00	$0.00	Disclosure SEC source: 0001596783-24-000058 · wk-form4_1722373953.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · SVP, General Counsel, CCO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,895 F1 · shares: Restricted stock units (RSUs) received by the reporting person pursuant to the Issuer's annual grant to executive officers and other personnel under its long-term incentive plan. Each RSU represents the right to receive one share of the Issuer's common stock as of the date of vesting, which will occur in three equal annual installments beginning on July 26, 2025. F2 · balance_after: Includes RSUs. Read SEC document
October 17, 2023 Filed Oct 19, 2023 14:46 UTC	Catalent, Inc. CTLT · Entity 16279	GrantOptions to purchase Common Stock · Derivative	5,902	$0.00 Strike: $45.71	$0.00	Disclosure SEC source: 0001596783-23-000137 · wk-form4_1697741205.xml · derivative · entry 2 Ferraro Joseph Anthony · CIK 0001717154 · SVP, General Counsel, CCO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,902 Underlying: Common Stock · 5,902 shares Expires 2033-10-17 F3 · security: Received by the reporting person pursuant to the Issuer's annual grant to executive officers and other personnel under its long-term incentive plan. F3 · shares: Received by the reporting person pursuant to the Issuer's annual grant to executive officers and other personnel under its long-term incentive plan. F4 · derivative.exercise_date: The options vest and become exercisable in four equal annual installments beginning on October 17, 2024. Read SEC document
October 17, 2023 Filed Oct 19, 2023 14:46 UTC	Catalent, Inc. CTLT · Entity 16279	GrantCommon Stock	2,708	$0.00	$0.00	Disclosure SEC source: 0001596783-23-000137 · wk-form4_1697741205.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · SVP, General Counsel, CCO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,853 F1 · shares: Restricted stock units (RSUs) received by the reporting person pursuant to the Issuer's annual grant to executive officers and other personnel under its long-term incentive plan. Each RSU represents the right to receive one share of the Issuer's common stock as of the date of vesting, which will occur in three equal annual installments beginning on October 17, 2024. F2 · balance_after: Represents RSUs. Read SEC document
August 01, 2023 Filed Aug 3, 2023 16:55 UTC	Catalent, Inc. CTLT · Entity 16279	GrantOptions to purchase Common Stock · Derivative	11,459	$0.00 Strike: $46.51	$0.00	Disclosure SEC source: 0001596783-23-000066 · wf-form4_169109608833710.xml · derivative · entry 2 Ferraro Joseph Anthony · CIK 0001717154 · SVP, General Counsel, CCO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,459 Underlying: Common Stock · 11,459 shares Expires 2033-08-01 F3 · shares: Received by the reporting person pursuant to the Issuer's annual grant to executive officers and other personnel under its long-term incentive plan. F4 · derivative.exercise_date: The options vest and become exercisable in four equal annual installments beginning on August 1, 2024. Read SEC document
August 01, 2023 Filed Aug 3, 2023 16:55 UTC	Catalent, Inc. CTLT · Entity 16279	GrantCommon Stock	5,145	$0.00	$0.00	Disclosure SEC source: 0001596783-23-000066 · wf-form4_169109608833710.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · SVP, General Counsel, CCO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,145 F1 · shares: Restricted stock units received by the reporting person pursuant to the Issuer's annual grant to executive officers and other personnel under its long-term incentive plan. Each restricted stock unit represents the right to receive one share of the Issuer's common stock as of the date of vesting, which will occur in three equal annual installments beginning on August 1, 2024. F2 · balance_after: Represents restricted stock units. Read SEC document
March 16, 2022 Filed Mar 18, 2022 20:17 UTC	INNOVATE Corp. VATE · Entity 6766	SaleCommon Stock	8,626	$3.57	$30,811.21	Disclosure SEC source: 0001006837-22-000027 · wf-form4_164763464836593.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,306 F1 · kind: Shares sold to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.48 to $3.64, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:15 UTC	INNOVATE Corp. VATE · Entity 6766	GrantCommon Stock	64,304	$0.00	$0.00	Disclosure SEC source: 0001006837-22-000023 · wf-form4_164737531090212.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 351,932 F1 · shares: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. (f/k/a HC2 Holdings, Inc.) 2014 Omnibus Equity Award Plan (the "Plan"). Shares will vest and become exercisable in three installments of one-third each on the first, second and third anniversaries of the Date of Grant (each a "Vesting Date"), subject to the continued employment of the Reporting Person on the applicable Vesting Date. Read SEC document
March 16, 2021 Filed Mar 17, 2021 23:32 UTC	INNOVATE Corp. HCHC · Entity 6766	SaleCommon Stock	669	$3.66	$2,448.47	Disclosure SEC source: 0001006837-21-000033 · wf-form4_161602395544874.xml · nonDerivative · entry 2 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,628 F2 · kind: Shares sold to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.64 to $3.66, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document
March 15, 2021 Filed Mar 17, 2021 23:32 UTC	INNOVATE Corp. HCHC · Entity 6766	GrantCommon Stock	66,000	$0.00	$0.00	Disclosure SEC source: 0001006837-21-000033 · wf-form4_161602395544874.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,297 F1 · shares: The reported stock award will vest in three installments of one-third each on each of the first, second and third anniversaries of the grant, provided reporting person continues as an officer of Issuer on each such vesting date. Read SEC document
November 24, 2020 Filed Nov 25, 2020 02:51 UTC	INNOVATE Corp. HCHC · Entity 6766	SaleCommon Stock	1,096	$2.51	$2,755.67	Disclosure SEC source: 0001006837-20-000215 · wf-form4_160627265579444.xml · nonDerivative · entry 3 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,297 F2 · shares: Shares disposed of to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.51, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote 1. Read SEC document
November 23, 2020 Filed Nov 25, 2020 02:51 UTC	INNOVATE Corp. HCHC · Entity 6766	SaleCommon Stock	66,554	$2.40	$159,995.82	Disclosure SEC source: 0001006837-20-000215 · wf-form4_160627265579444.xml · nonDerivative · entry 2 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,393 F2 · shares: Shares disposed of to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.39 to $2.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote 1. Read SEC document
November 20, 2020 Filed Nov 25, 2020 02:51 UTC	INNOVATE Corp. HCHC · Entity 6766	OtherSubscription Rights (right to buy) · Derivative	24,196	$0.00 Strike: $2.27	$0.00	Disclosure SEC source: 0001006837-20-000215 · wf-form4_160627265579444.xml · derivative · entry 4 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,215 shares Expires 2020-11-20 F5 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27. Read SEC document
November 20, 2020 Filed Nov 25, 2020 02:51 UTC	INNOVATE Corp. HCHC · Entity 6766	OtherCommon Stock	13,215	$2.27	$29,998.05	Disclosure SEC source: 0001006837-20-000215 · wf-form4_160627265579444.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,947 F1 · shares: These shares were directly acquired by the reporting person as a result of the exercise of subscription rights which were issued to the reporting person in the Issuer's rights offering. Read SEC document
November 16, 2020 Filed Nov 17, 2020 23:19 UTC	INNOVATE Corp. HCHC · Entity 6766	Tax withholdingCommon Stock	11,493	$2.31	$26,548.83	Disclosure SEC source: 0001006837-20-000199 · wf-form4_160565517470995.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,732 F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.27 to $2.35, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote 1. Read SEC document
November 16, 2020 Filed Nov 25, 2020 02:52 UTC Amendment	INNOVATE Corp. HCHC · Entity 6766	SaleCommon Stock	11,493	$2.31	$26,548.83	Disclosure SEC source: 0001006837-20-000218 · wf-form4a_160627271246562.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,732 F1 · kind: Shares sold to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.27 to $2.35, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote 1. Read SEC document
July 16, 2020 Filed Jul 20, 2020 21:48 UTC	INNOVATE Corp. HCHC · Entity 6766	GrantStock Opion (right to buy) · Derivative	71,548	$0.00 Strike: $2.62	$0.00	Disclosure SEC source: 0001006837-20-000132 · wf-form4_159528168133310.xml · derivative · entry 2 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,548 Underlying: Common Stock · 71,548 shares Expires 2029-03-15 F2 · derivative.exercise_price: The option award was granted on March 15, 2019, subject to the Share Approval Condition, with an exercise price of $2.62 per share which was the fair market value of a share on the grant date. F3 · derivative.exercise_date: The option award was granted on March 15, 2019, subject to the Share Approval Condition. On July 16, 2020, HC2 amended the option award to remove the Share Approval Condition. As a result, 70,198 option shares vested on July 16, 2020 and 675 option shares will vest on each of March 15, 2021 and March 15, 2022, provided reporting person continues as an officer of HC2 on each such vesting date. Read SEC document
July 16, 2020 Filed Jul 20, 2020 21:48 UTC	INNOVATE Corp. HCHC · Entity 6766	GrantCommon Stock	198,398	$0.00	$0.00	Disclosure SEC source: 0001006837-20-000132 · wf-form4_159528168133310.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,225 F1 · shares: The restricted stock unit ("RSU") award representing a contingent right to receive a share of common stock of HC2 Holdings Inc. ("HC2") was granted on March 15, 2019, subject to the Company's shareholders approving additional shares under the Second Amended and Restated 2014 Omnibus Equity Award Plan (the "Share Approval Condition"). On July 16, 2020, HC2 amended the RSU award to remove the Share Approval Condition. As a result, 194,656 RSUs vested on July 16, 2020 and 1,871 RSUs will vest on each of March 15, 2021 and March 15, 2022, provided reporting person continues as an officer of HC2 on each such vesting date. Read SEC document
June 03, 2020 Filed Jun 4, 2020 20:30 UTC	INNOVATE Corp. HCHC · Entity 6766	SaleCommon Stock	20,000	$2.96	$59,230.00	Disclosure SEC source: 0001006837-20-000089 · wf-form4_159130263238484.xml · nonDerivative · entry 2 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,827 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.87 to $3.07, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote 1. Read SEC document
June 02, 2020 Filed Jun 4, 2020 20:30 UTC	INNOVATE Corp. HCHC · Entity 6766	SaleCommon Stock	20,000	$2.92	$58,354.00	Disclosure SEC source: 0001006837-20-000089 · wf-form4_159130263238484.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,827 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.87 to $2.95, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote 1. Read SEC document
March 16, 2020 Filed Mar 17, 2020 20:37 UTC	INNOVATE Corp. HCHC · Entity 6766	Tax withholdingCommon Stock	9,628	$2.25	$21,663.00	Disclosure SEC source: 0001006837-20-000050 · wf-form4_158447743009179.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,827 F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. Read SEC document
November 13, 2019 Filed Nov 14, 2019 21:19 UTC	INNOVATE Corp. HCHC · Entity 6766	Tax withholdingCommon Stock	11,256	$2.22	$24,988.32	Disclosure SEC source: 0001006837-19-000099 · wf-form4_157376634102800.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,455 F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. Read SEC document
March 15, 2019 Filed Mar 19, 2019 21:28 UTC	INNOVATE Corp. HCHC · Entity 6766	Tax withholdingCommon Stock	16,582	$2.62	$43,444.84	Disclosure SEC source: 0001006837-19-000030 · wf-form4_155303091113185.xml · nonDerivative · entry 2 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,711 F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. Read SEC document
March 15, 2019 Filed Mar 19, 2019 21:28 UTC	INNOVATE Corp. HCHC · Entity 6766	PurchaseCommon Stock	5,750	$2.62	$15,086.28	Disclosure SEC source: 0001006837-19-000030 · wf-form4_155303091113185.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,293 Read SEC document
November 13, 2018 Filed Nov 15, 2018 21:17 UTC	INNOVATE Corp. HCHC · Entity 6766	Tax withholdingCommon Stock	11,256	$3.65	$41,084.40	Disclosure SEC source: 0001006837-18-000143 · wf-form4_154231664455484.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,543 F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock. Read SEC document
June 13, 2018 Filed Jun 15, 2018 12:43 UTC	INNOVATE Corp. HCHC · Entity 6766	GrantCommon Stock	73,395	$0.00	$0.00	Disclosure SEC source: 0001006837-18-000085 · wf-form4_152906660235735.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,799 F1 · shares: The restricted stock units reported will vest as follows: 48,930 of the RSUs will vest on March 15, 2019 and 24,465 of the RSUs will vest on March 16, 2020 (each such date, a "Vesting Date"), provided reporting person continues as an officer of HC2 Holdings, Inc. on each such Vesting Date. Read SEC document
November 13, 2017 Filed Nov 14, 2017 22:32 UTC	INNOVATE Corp. HCHC · Entity 6766	GrantCommon Stock	99,404	$0.00	$0.00	Disclosure SEC source: 0001006837-17-000192 · wf-form4_151069875959207.xml · nonDerivative · entry 1 Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,404 F1 · shares: The shares of restricted stock were awarded pursuant to an Employment Agreement (the "Employment Agreement") between Reporting Person and HC2 Holdings, Inc. (the "Issuer"). Subject to the condition that Reporting Person has neither been terminated by the Issuer for Cause nor resigned without Good Reason (both as defined in the Employment Agreement) before the applicable vesting date, the restricted stock will vest in installments of one-third (33,135 shares) on November 13, 2018, one-third (33,135 shares) on November 13, 2019 and one-third (33,134 shares) on November 13, 2020. 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.