Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Axalta Coating Systems Ltd.AXTA · Entity 3667 | Director | June 06, 2024 | June 07, 2024 |
| CUMMINS INCCMI · Entity 2961 | Group Vice President | March 01, 2020 | March 03, 2020 |
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.
Axalta Coating Systems Ltd.
Report date June 06, 2024 · Filed June 07, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectBy an LLC | 27,441 |
Reported balance
After 2024-06-06 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2024-06-06 · Exercise / conversion · Acquired 2,658 · Balance 27,441 F1: Restricted stock units convert into common shares on a one-for-one basis. F2: Held by a limited liability company owned by the reporting person. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | IndirectBy an LLC | 0 |
Reported balance
After 2024-06-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-06-06 · Exercise / conversion · Disposed 2,658 · Balance 0 F1: Restricted stock units convert into common shares on a one-for-one basis. F3: On February 28, 2024, the reporting person was granted 2,658 restricted stock units, vesting in full on June 6, 2024. F2: Held by a limited liability company owned by the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock units convert into common shares on a one-for-one basis.
F2: Held by a limited liability company owned by the reporting person.
F3: On February 28, 2024, the reporting person was granted 2,658 restricted stock units, vesting in full on June 6, 2024.
CUMMINS INC
Report date March 01, 2020 · Filed March 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 16,192 |
Ending reported balance
After 2020-03-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-03-01 · Grant · Acquired 6,580 · Balance 19,115 Row 2 · 2020-03-01 · Tax withholding · Disposed 2,923 · Balance 16,192 F1: Shares withheld to satisfy tax liabilities relating to earned performance shares. |
| CommonSEC Table I · non-derivative | IndirectBy 401(k) Plan | 11,114.67 |
Reported balance
Holding disclosure · report date 2020-03-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 11,114.67 F2: The number of shares is based on the dollar value of the reporting person's interest in the Cummins Stock Fund under the Company's 401(k) plan as most recently provided by the plan. The actual number of shares underlying the interest is not known since the Cummins Stock Fund is a unitized account consisting of approximately 98% common stock and 2% cash or cash equivalents. |
| CommonSEC Table I · non-derivative | IndirectBy GRAT #1 | 318 |
Reported balance
Holding disclosure · report date 2020-03-01 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 318 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $109.09 · Expires 2026-04-04 | Direct | 21,350 |
Reported balance
Holding disclosure · report date 2020-03-01 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 21,350 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $111.84 · Expires 2023-04-02 | Direct | 8,110 |
Reported balance
Holding disclosure · report date 2020-03-01 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 8,110 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $119.77 · Expires 2021-05-02 | Direct | 5,540 |
Reported balance
Holding disclosure · report date 2020-03-01 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 5,540 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $120.28 · Expires 2022-04-02 | Direct | 6,250 |
Reported balance
Holding disclosure · report date 2020-03-01 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 6,250 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $136.82 · Expires 2025-04-02 | Direct | 9,830 |
Reported balance
Holding disclosure · report date 2020-03-01 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 9,830 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $149.34 · Expires 2024-04-02 | Direct | 7,120 |
Reported balance
Holding disclosure · report date 2020-03-01 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 7,120 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $149.72 · Expires 2027-04-03 | Direct | 13,760 |
Reported balance
Holding disclosure · report date 2020-03-01 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 13,760 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $160.10 · Expires 2028-04-03 | Direct | 9,560 |
Reported balance
Holding disclosure · report date 2020-03-01 · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · Balance 9,560 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $163.43 · Expires 2029-04-04 | Direct | 13,570 |
Reported balance
Holding disclosure · report date 2020-03-01 · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · Balance 13,570 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld to satisfy tax liabilities relating to earned performance shares.
F2: The number of shares is based on the dollar value of the reporting person's interest in the Cummins Stock Fund under the Company's 401(k) plan as most recently provided by the plan. The actual number of shares underlying the interest is not known since the Cummins Stock Fund is a unitized account consisting of approximately 98% common stock and 2% cash or cash equivalents.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
COOPER TIRE & RUBBER CO
Report date June 07, 2021 · Filed June 09, 2021
Section 16 reporting ended · disclosed 2021-06-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-06-07 transaction · row 1
1 source rowRow 1 · 2021-06-07 · Disposition to issuer · Disposed 2,631 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of February 22, 2021, The Goodyear Tire & Rubber Company ("Goodyear") acquired Cooper Tire & Rubber Company ("Cooper Tire") in a merger transaction (the "Merger") which became effective on June 7, 2021. At the effective time of the Merger (the "Effective Time"), each share of Cooper Tire's common stock, par value of $1.00 per share converted into the right to receive (A) $41.75 in cash, without interest, and (B) 0.907 of a share of Goodyear common stock, no par value ("Merger Consideration"). On June 7, 2021, the closing price for Goodyear common stock was $19.39. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-06-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-06-07 · Disposition to issuer · Disposed 144,331 · Balance 0 F2: One-for-one. F3: The phantom stock units were accrued over time under Cooper Tire's equity plans, and were generally to be settled in cash upon the reporting person's termination of service as a director. Pursuant to the Merger Agreement, the phantom stock units were canceled and converted at the Effective Time into the right to receive $59.48 per unit. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated as of February 22, 2021, The Goodyear Tire & Rubber Company ("Goodyear") acquired Cooper Tire & Rubber Company ("Cooper Tire") in a merger transaction (the "Merger") which became effective on June 7, 2021. At the effective time of the Merger (the "Effective Time"), each share of Cooper Tire's common stock, par value of $1.00 per share converted into the right to receive (A) $41.75 in cash, without interest, and (B) 0.907 of a share of Goodyear common stock, no par value ("Merger Consideration"). On June 7, 2021, the closing price for Goodyear common stock was $19.39.
F2: One-for-one.
F3: The phantom stock units were accrued over time under Cooper Tire's equity plans, and were generally to be settled in cash upon the reporting person's termination of service as a director. Pursuant to the Merger Agreement, the phantom stock units were canceled and converted at the Effective Time into the right to receive $59.48 per unit.
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 |
|---|---|---|---|---|---|---|
| May 05, 2017 Filed May 9, 2017 13:13 UTC | COOPER TIRE & RUBBER CO CTB · Entity 138569 | GrantPhantom Stock · Derivative | 3,180.66 | $39.30 | $124,999.94 |
DisclosureSEC source: 0001225208-17-009353 · doc4.xml · derivative · entry 1 CHAPMAN STEVEN M · CIK 0001238885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,537.7981 Underlying: Common Stock · 3,180.66 shares Expires not disclosed F1 · derivative.exercise_price: One-for-One F2 · derivative.exercise_date: The phantom stock units were accrued under the Cooper Tire & Rubber Company 2014 Incentive Compensation Plan and are to be settled in cash upon the reporting person's termination of service as a director, unless otherwise elected or transferred into an alternative investment account. F2 · derivative.expiration_date: The phantom stock units were accrued under the Cooper Tire & Rubber Company 2014 Incentive Compensation Plan and are to be settled in cash upon the reporting person's termination of service as a director, unless otherwise elected or transferred into an alternative investment account. Read SEC document |
| May 02, 2017 Filed May 4, 2017 18:17 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionStock Option (Right-to-Buy) · Derivative | 6,540 | $0.00 Strike: $58.12 | $0.00 |
DisclosureSEC source: 0001225208-17-009121 · doc4.xml · derivative · entry 4 CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,540 shares Expires 2020-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 02, 2017 Filed May 4, 2017 18:17 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 6,540 | $163.00 | $1,066,020.00 |
DisclosureSEC source: 0001225208-17-009121 · doc4.xml · nonDerivative · entry 2 CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,502 F1 · kind: Transactions pursuant to Rule 10b5-1 Trading Plan entered into on February 24, 2017. Read SEC document |
| May 02, 2017 Filed May 4, 2017 18:17 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionCommon | 6,540 | $58.12 | $380,072.10 |
DisclosureSEC source: 0001225208-17-009121 · doc4.xml · nonDerivative · entry 1 CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,042 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transactions pursuant to Rule 10b5-1 Trading Plan entered into on February 24, 2017. Read SEC document |
| May 01, 2017 Filed May 3, 2017 18:20 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 13,760 | $0.00 Strike: $149.72 | $0.00 |
DisclosureSEC source: 0001225208-17-008941 · doc4.xml · derivative · entry 3 CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,760 Underlying: Common · 13,760 shares Expires 2027-04-03 Read SEC document |
| March 31, 2017 Filed Apr 3, 2017 18:28 UTC | COOPER TIRE & RUBBER CO CTB · Entity 138569 | GrantPhantom Stock · Derivative | 563.698 | $44.35 | $25,000.01 |
DisclosureSEC source: 0001225208-17-007095 · doc4.xml · derivative · entry 1 CHAPMAN STEVEN M · CIK 0001238885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,357.1381 Underlying: Common Stock · 563.698 shares Expires not disclosed F1 · derivative.exercise_price: One-for-One F2 · derivative.exercise_date: The phantom stock units were accrued under the Cooper Tire & Rubber Company 2014 Incentive Compensation Plan and are to be settled in cash upon the reporting person's termination of service as a director, unless otherwise elected or transferred into an alternative investment account. F2 · derivative.expiration_date: The phantom stock units were accrued under the Cooper Tire & Rubber Company 2014 Incentive Compensation Plan and are to be settled in cash upon the reporting person's termination of service as a director, unless otherwise elected or transferred into an alternative investment account. F3 · balance_after: Includes 247.516 dividend equivalents since reporting persons last report. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 17:09 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 932 | $152.85 | $142,456.20 |
DisclosureSEC source: 0001225208-17-005862 · doc4.xml · nonDerivative · entry 2 CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,502 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 17:09 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 2,065 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-005862 · doc4.xml · nonDerivative · entry 1 CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,434 Read SEC document |
| December 30, 2016 Filed Jan 3, 2017 16:29 UTC | COOPER TIRE & RUBBER CO CTB · Entity 138569 | GrantPhantom Stock · Derivative | 643.501 | $38.85 | $25,000.01 |
DisclosureSEC source: 0001225208-17-000019 · doc4.xml · derivative · entry 1 CHAPMAN STEVEN M · CIK 0001238885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,545.9241 Underlying: Common Stock · 643.501 shares Expires not disclosed F1 · derivative.exercise_price: One-for-One F2 · derivative.exercise_date: The phantom stock units were accrued under the Cooper Tire & Rubber Company 2014 Incentive Compensation Plan and are to be settled in cash upon the reporting person's termination of service as a director, unless otherwise elected or transferred into an alternative investment account. F2 · derivative.expiration_date: The phantom stock units were accrued under the Cooper Tire & Rubber Company 2014 Incentive Compensation Plan and are to be settled in cash upon the reporting person's termination of service as a director, unless otherwise elected or transferred into an alternative investment account. F3 · balance_after: Includes 280.421 dividend equivalents since reporting persons last report. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 19:34 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 3,000 | $145.00 | $435,000.00 |
DisclosureSEC source: 0001140361-16-088801 · doc1.xml · nonDerivative · entry 1 CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,369 F1 · kind: Sale pursuant to Rule 10b5-1 Trading Plan entered into on November 6, 2015. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 15:47 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 3,000 | $135.00 | $405,000.00 |
DisclosureSEC source: 0001140361-16-086055 · doc1.xml · nonDerivative · entry 2 CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,369 F2 · kind: Sale pursuant to Rule 10b5-1 Trading Plan entered into on November 6, 2015. Read SEC document |
| September 30, 2016 Filed Oct 3, 2016 17:12 UTC | COOPER TIRE & RUBBER CO CTB · Entity 138569 | GrantPhantom Stock · Derivative | 657.549 | $38.02 | $25,000.01 |
DisclosureSEC source: 0001225208-16-039797 · doc4.xml · derivative · entry 1 CHAPMAN STEVEN M · CIK 0001238885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,622.0021 Underlying: Common Stock · 657.549 shares Expires not disclosed F1 · derivative.exercise_price: One-for-One F2 · derivative.exercise_date: The phantom stock units were accrued under the Cooper Tire & Rubber Company 2014 Incentive Compensation Plan and are to be settled in cash upon the reporting person's termination of service as a director, unless otherwise elected or transferred into an alternative investment account. F2 · derivative.expiration_date: The phantom stock units were accrued under the Cooper Tire & Rubber Company 2014 Incentive Compensation Plan and are to be settled in cash upon the reporting person's termination of service as a director, unless otherwise elected or transferred into an alternative investment account. F3 · balance_after: Includes 283.575 dividend equivalents since reporting persons last report. Read SEC document |
| February 28, 2012 Filed Nov 14, 2016 15:47 UTC | CUMMINS INC CMI · Entity 2961 | GiftCommon | 670 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-086055 · doc1.xml · nonDerivative · entry 1 CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,369 F1 · balance_after: The number of shares of Common Stock beneficially owned by the reporting person following the reported transaction has been reduced by 4,231 shares pursuant to a discrepancy discovered during an audit of the reporting person's shareholdings. The audit did not identify any violations of Section 16(b) of the Securities Exchange Act of 1934, as amended. To the extent this Form 4 updates the beneficial share ownership amounts reported on previously filed Form 4s, this Form 4 serves as an amendment to any such previously filed Form 4s. 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.