Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| EQUUS TOTAL RETURN, INC.EQS · Entity 7826 | 10% owner | September 28, 2021 | October 04, 2021 |
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.
EQUUS TOTAL RETURN, INC.
Report date September 28, 2021 · Filed October 04, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per shareSEC Table I · non-derivative | Direct | 3,172,237 |
Reported balance
Holding disclosure · report date 2021-09-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,172,237 |
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
MVC CAPITAL, INC.
Report date December 23, 2020 · Filed December 23, 2020
Section 16 reporting ended · disclosed 2020-12-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par valueSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-12-23 transaction · row 1
1 source rowRow 1 · 2020-12-23 · Disposition to issuer · Disposed 1,000,099.56 · Balance 0 F1: MVC Capital, Inc. ("MVC"), Barings BDC, Inc., a Maryland corporation ("Barings BDC"), Mustang Acquisition Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Barings BDC, ("Merger Sub") and Barings LLC, a Delaware limited liability company and investment adviser to Barings BDC ("Barings") entered into the Agreement and Plan of Merger, dated as of August 10, 2020 (the "Merger Agreement"), pursuant to which the acquisition of MVC by Barings BDC was completed in two steps: (i) the first step being a merger of Merger Sub with and into MVC (the "First Step") with MVC surviving as a wholly owned subsidiary of Barings BDC ("First Step Surviving Company"), and (ii) the second step being a merger of the First Step Surviving Company with and into Barings BDC with Barings BDC as the surviving company (the "Second Step", and together with the First Step, the "Merger"). F2: At the effective time of the Merger, each share of issued and outstanding MVC common stock was canceled and exchanged for the right to receive (i) $0.39492 per share in cash, without interest, from Barings and (ii) 0.9790836 of a validly issued, fully paid and non-assessable share of Barings BDC common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: MVC Capital, Inc. ("MVC"), Barings BDC, Inc., a Maryland corporation ("Barings BDC"), Mustang Acquisition Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Barings BDC, ("Merger Sub") and Barings LLC, a Delaware limited liability company and investment adviser to Barings BDC ("Barings") entered into the Agreement and Plan of Merger, dated as of August 10, 2020 (the "Merger Agreement"), pursuant to which the acquisition of MVC by Barings BDC was completed in two steps: (i) the first step being a merger of Merger Sub with and into MVC (the "First Step") with MVC surviving as a wholly owned subsidiary of Barings BDC ("First Step Surviving Company"), and (ii) the second step being a merger of the First Step Surviving Company with and into Barings BDC with Barings BDC as the surviving company (the "Second Step", and together with the First Step, the "Merger").
F2: At the effective time of the Merger, each share of issued and outstanding MVC common stock was canceled and exchanged for the right to receive (i) $0.39492 per share in cash, without interest, from Barings and (ii) 0.9790836 of a validly issued, fully paid and non-assessable share of Barings BDC common stock.
Mueller Water Products, Inc.
Report date May 20, 2024 · Filed May 22, 2024
Section 16 reporting ended · disclosed 2024-05-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom StockSEC Table II · derivative / convertible security | Direct | 229,089.0867 |
Reported balance
After 2024-05-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-05-20 · Grant · Acquired 765.46 · Balance 229,089.0867 F1: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2: The shares of phantom stock become payable in cash following the reporting person's termination of service as a director. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of phantom stock is the economic equivalent of one share of Common Stock.
F2: The shares of phantom stock become payable in cash following the reporting person's termination of service as a director.
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 |
|---|---|---|---|---|---|---|
| April 01, 2020 Filed Jul 2, 2020 19:24 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 3,859.51 | $7.19 | $27,749.88 |
DisclosureSEC source: 0001225208-20-009533 · doc4.xml · derivative · entry 2 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,824.4767 Underlying: Common Stock · 3,859.51 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F4 · balance_after: Includes 715.44 shares of phantom stock acquired on February 20, 2020 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| January 29, 2020 Filed Jan 30, 2020 20:43 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantRestricted Stock Unit | 8,641 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-001360 · doc4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,641 F1 · shares: Each restricted stock unit represents a contingent right to receive one share of Mueller Water Products, Inc. Common Stock when the restrictions lapse on the first anniversary of the grant date. Read SEC document |
| January 02, 2020 Filed Jul 2, 2020 19:24 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,437.5 | $12.00 | $29,250.00 |
DisclosureSEC source: 0001225208-20-009533 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,249.5267 Underlying: Common Stock · 2,437.5 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 813.24 shares of phantom stock acquired on November 20, 2019 under the Mueller Water Products, Inc. dividend reinvestment plan and 694.94 shares credited to the reporting person's account to correct an administration error. Read SEC document |
| December 05, 2019 Filed Dec 9, 2019 19:38 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | Exercise / conversionStock Option (Right to Buy) · Derivative | 15,094 | $0.00 Strike: $4.67 | $0.00 |
DisclosureSEC source: 0001225208-19-015449 · doc4.xml · derivative · entry 2 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,094 shares Expires 2020-01-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The stock options vested in three equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| December 05, 2019 Filed Dec 9, 2019 19:38 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | Exercise / conversionCommon Stock | 15,094 | $4.67 | $70,488.98 |
DisclosureSEC source: 0001225208-19-015449 · doc4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 317,359 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 |
| September 30, 2019 Filed Oct 2, 2019 20:31 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,224.19 | $11.24 | $24,999.90 |
DisclosureSEC source: 0001225208-19-013072 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,303.8467 Underlying: Common Stock · 2,224.19 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 855.10 shares of phantom stock acquired on August 8, 2019 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| September 25, 2019 Filed Sep 26, 2019 17:41 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 1,000 | $8.95 | $8,950.00 |
DisclosureSEC source: 0001140361-19-017339 · form4.xml · nonDerivative · entry 2 TOKARZ MICHAEL T · CIK 0001206636 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000,099.56 Read SEC document |
| September 24, 2019 Filed Sep 26, 2019 17:41 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 1,000 | $8.91 | $8,911.70 |
DisclosureSEC source: 0001140361-19-017339 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 999,099.56 Read SEC document |
| August 12, 2019 Filed Aug 13, 2019 20:42 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | SaleCommon Stock, par value $0.001 per share | 608,310 | $1.62 | $985,462.20 |
DisclosureSEC source: 0001140361-19-014956 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,228,024 F1 · ownership.nature: The shares are held by MVC Capital, Inc., a registered non-diversified, closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940 ("MVC"). The Reporting Person controls MVC's investment adviser, which makes investment decisions on behalf of MVC pursuant to an investment advisory agreement. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| July 29, 2019 Filed Jul 30, 2019 23:05 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | SaleCommon Stock, par value $0.001 per share | 608,310 | $1.70 | $1,034,127.00 |
DisclosureSEC source: 0001567619-19-015482 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,836,334 F1 · ownership.nature: The shares are held by MVC Capital, Inc., a registered non-diversified, closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940 ("MVC"). The Reporting Person controls MVC's investment adviser, which makes investment decisions on behalf of MVC pursuant to an investment advisory agreement. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| July 26, 2019 Filed Jul 27, 2019 01:12 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | OtherCommon Stock, par value $0.001 per share | 608,310 | $1.70 | $1,034,127.00 |
DisclosureSEC source: 0001140361-19-013528 · form4.xml · nonDerivative · entry 4 TOKARZ MICHAEL T · CIK 0001206636 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,444,644 F2 · price: On July 24, 2019 MVC entered into stock purchase agreements to sell an aggregate of 1,216,620 shares in two separate private transactions. The stock purchase agreements for both transactions were rescinded on July 26, 2019. F1 · ownership.nature: The shares are held by MVC Capital, Inc., a registered non-diversified, closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940 ("MVC"). The Reporting Person controls MVC's investment adviser, which makes investment decisions on behalf of MVC pursuant to an investment advisory agreement. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| July 26, 2019 Filed Jul 27, 2019 01:12 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | OtherCommon Stock, par value $0.001 per share | 608,310 | $1.70 | $1,034,127.00 |
DisclosureSEC source: 0001140361-19-013528 · form4.xml · nonDerivative · entry 3 TOKARZ MICHAEL T · CIK 0001206636 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,836,334 F2 · price: On July 24, 2019 MVC entered into stock purchase agreements to sell an aggregate of 1,216,620 shares in two separate private transactions. The stock purchase agreements for both transactions were rescinded on July 26, 2019. F1 · ownership.nature: The shares are held by MVC Capital, Inc., a registered non-diversified, closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940 ("MVC"). The Reporting Person controls MVC's investment adviser, which makes investment decisions on behalf of MVC pursuant to an investment advisory agreement. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| July 24, 2019 Filed Jul 27, 2019 01:12 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | SaleCommon Stock, par value $0.001 per share | 608,310 | $1.70 | $1,034,127.00 |
DisclosureSEC source: 0001140361-19-013528 · form4.xml · nonDerivative · entry 2 TOKARZ MICHAEL T · CIK 0001206636 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,228,024 F2 · price: On July 24, 2019 MVC entered into stock purchase agreements to sell an aggregate of 1,216,620 shares in two separate private transactions. The stock purchase agreements for both transactions were rescinded on July 26, 2019. F1 · ownership.nature: The shares are held by MVC Capital, Inc., a registered non-diversified, closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940 ("MVC"). The Reporting Person controls MVC's investment adviser, which makes investment decisions on behalf of MVC pursuant to an investment advisory agreement. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| July 24, 2019 Filed Jul 27, 2019 01:12 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | SaleCommon Stock, par value $0.001 per share | 608,310 | $1.70 | $1,034,127.00 |
DisclosureSEC source: 0001140361-19-013528 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,836,334 F2 · price: On July 24, 2019 MVC entered into stock purchase agreements to sell an aggregate of 1,216,620 shares in two separate private transactions. The stock purchase agreements for both transactions were rescinded on July 26, 2019. F1 · ownership.nature: The shares are held by MVC Capital, Inc., a registered non-diversified, closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940 ("MVC"). The Reporting Person controls MVC's investment adviser, which makes investment decisions on behalf of MVC pursuant to an investment advisory agreement. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 16:00 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 11,068 | $9.37 | $103,692.77 |
DisclosureSEC source: 0001140361-19-012742 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 998,099.56 Read SEC document |
| June 30, 2019 Filed Jul 2, 2019 16:28 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,393.08 | $9.82 | $23,500.05 |
DisclosureSEC source: 0001225208-19-009843 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,224.5567 Underlying: Common Stock · 2,393.08 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 885.47 shares of phantom stock acquired on May 9, 2019 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| April 12, 2019 Filed Apr 15, 2019 16:41 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 2,100 | $9.20 | $19,320.00 |
DisclosureSEC source: 0000922423-19-000026 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 987,031.56 Read SEC document |
| March 31, 2019 Filed Apr 2, 2019 20:19 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,639.43 | $10.04 | $26,499.88 |
DisclosureSEC source: 0001225208-19-006218 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,946.0067 Underlying: Common Stock · 2,639.43 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 785.23 shares of phantom stock acquired on February 7, 2019 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| January 23, 2019 Filed Jan 24, 2019 21:18 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantRestricted Stock Unit | 9,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-001228 · doc4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,108 F1 · shares: Each restricted stock unit represents a contingent right to receive one share of Mueller Water Products, Inc. Common Stock when the restrictions lapse on the first anniversary of the grant date. Read SEC document |
| December 31, 2018 Filed Jan 2, 2019 16:13 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,747.28 | $9.10 | $25,000.25 |
DisclosureSEC source: 0001225208-19-000090 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,521.3467 Underlying: Common Stock · 2,747.28 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 667.82 shares of phantom stock acquired on November 8, 2018 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| December 12, 2018 Filed Dec 13, 2018 17:40 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | Exercise / conversionStock Option (Right to Buy) · Derivative | 9,546 | $0.00 Strike: $7.76 | $0.00 |
DisclosureSEC source: 0001225208-18-016589 · doc4.xml · derivative · entry 3 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,546 shares Expires 2019-01-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options vested in three equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| December 12, 2018 Filed Dec 13, 2018 17:40 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | SaleCommon Stock | 9,546 | $10.27 | $98,067.97 |
DisclosureSEC source: 0001225208-18-016589 · doc4.xml · nonDerivative · entry 2 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,986 F1 · price: The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $10.27 to $10.285, inclusive. The reporting person undertakes to provide to Mueller Water Products, Inc. (the "Company"), any security holder of the Company, 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 |
| December 12, 2018 Filed Dec 13, 2018 17:40 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | Exercise / conversionCommon Stock | 9,546 | $7.76 | $74,076.96 |
DisclosureSEC source: 0001225208-18-016589 · doc4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 298,532 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 |
| September 30, 2018 Filed Oct 1, 2018 17:44 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,432.66 | $11.51 | $27,999.92 |
DisclosureSEC source: 0001225208-18-013942 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,106.2467 Underlying: Common Stock · 2,432.66 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 652.30 shares of phantom stock acquired on August 9, 2018 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 20:00 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 5,000 | $9.36 | $46,800.00 |
DisclosureSEC source: 0001140361-18-032295 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 984,931.56 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.30 to $9.40, inclusive. The reporting person undertakes to provide to MVC Capital, Inc. (the "Company"), any security holder of the Company, 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. Read SEC document |
| June 30, 2018 Filed Jul 2, 2018 17:24 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 1,877.14 | $11.72 | $22,000.08 |
DisclosureSEC source: 0001225208-18-011081 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,021.2867 Underlying: Common Stock · 1,877.14 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 624.43 shares of phantom stock acquired on May 21, 2018 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| April 12, 2018 Filed Apr 16, 2018 16:30 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 3,889 | $10.06 | $39,123.34 |
DisclosureSEC source: 0001140361-18-018645 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 979,931.56 Read SEC document |
| March 31, 2018 Filed Apr 2, 2018 16:50 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,437.88 | $10.87 | $26,499.76 |
DisclosureSEC source: 0001225208-18-006923 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,519.7167 Underlying: Common Stock · 2,437.88 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 655.28 shares of phantom stock acquired on February 20, 2018 under the Muell1er Water Products, Inc. dividend reinvestment plan ("DRP"). Also includes the 482.16 shares of phantom stock acquired on November 20, 2017 under the Mueller Water Products, Inc. DRP, which were incorrectly attributed to the Reporting Persons shares of common stock holdings. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 16:14 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 20,000 | $9.99 | $199,800.00 |
DisclosureSEC source: 0001140361-18-016757 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 976,042.56 Read SEC document |
| March 27, 2018 Filed Mar 29, 2018 14:03 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 10,000 | $10.01 | $100,100.00 |
DisclosureSEC source: 0001140361-18-015794 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 956,042.56 Read SEC document |
| March 22, 2018 Filed Mar 26, 2018 16:33 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 2,500 | $10.13 | $25,325.00 |
DisclosureSEC source: 0001140361-18-015005 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 946,042.56 Read SEC document |
| March 19, 2018 Filed Mar 21, 2018 17:08 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 2,500 | $10.12 | $25,300.00 |
DisclosureSEC source: 0001140361-18-014481 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 943,542.56 Read SEC document |
| January 30, 2018 Filed Jan 30, 2018 17:02 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | Exercise / conversionStock Option (Right to Buy) · Derivative | 9,701 | $0.00 Strike: $7.95 | $0.00 |
DisclosureSEC source: 0001225208-18-001868 · doc4.xml · derivative · entry 2 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,701 shares Expires 2018-01-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The stock options vested in three equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| January 30, 2018 Filed Jan 30, 2018 17:02 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | Exercise / conversionCommon Stock | 9,701 | $7.95 | $77,122.95 |
DisclosureSEC source: 0001225208-18-001868 · doc4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,020.16 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 |
| January 24, 2018 Filed Jan 26, 2018 20:12 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantRestricted Stock Unit | 7,627 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-001679 · doc4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,639 F1 · shares: Each restricted stock unit represents a contingent right to receive one share of Mueller Water Products, Inc. Common Stock when the restrictions lapse on the first anniversary of the grant date. Read SEC document |
| January 19, 2018 Filed Jan 23, 2018 16:08 UTC | MVC CAPITAL, INC. MVC · Entity 144341 | PurchaseCommon Stock, .01 par value | 10,000 | $10.55 | $105,500.00 |
DisclosureSEC source: 0001140361-18-002912 · form4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 941,042.56 Read SEC document |
| December 31, 2017 Filed Jan 2, 2018 16:31 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,234.62 | $12.53 | $27,999.79 |
DisclosureSEC source: 0001225208-18-000090 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,944.3967 Underlying: Common Stock · 2,234.62 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 482.16 shares of phantom stock acquired on November 20, 2017 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 16:35 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 1,718.76 | $12.80 | $22,000.13 |
DisclosureSEC source: 0001225208-17-015583 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,709.7767 Underlying: Common Stock · 1,718.76 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 483.70 shares of phantom stock acquired on August 21, 2017 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 14:54 UTC Amendment | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,011.97 | $11.68 | $23,499.81 |
DisclosureSEC source: 0001225208-17-011917 · doc4a.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,507.3167 Underlying: Common Stock · 2,011.97 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · shares: Includes 1.72 additional shares of phantom stock acquired on June 30, 2016, which were omitted due to a clerical error. F2 · price: Includes 1.72 additional shares of phantom stock acquired on June 30, 2016, which were omitted due to a clerical error. F3 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.underlying_shares: Includes 1.72 additional shares of phantom stock acquired on June 30, 2016, which were omitted due to a clerical error. F4 · balance_after: Includes 493.25 shares of phantom stock acquired on May 22, 2017 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 13:09 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,010.25 | $11.69 | $23,499.82 |
DisclosureSEC source: 0001225208-17-011914 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,505.5967 Underlying: Common Stock · 2,010.25 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 493.25 shares of phantom stock acquired on May 22, 2017 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| March 31, 2017 Filed Apr 3, 2017 17:01 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,368.84 | $11.82 | $27,999.69 |
DisclosureSEC source: 0001225208-17-007146 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,002.0967 Underlying: Common Stock · 2,368.84 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 422.98 shares of phantom stock acquired on February 21, 2017 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| January 25, 2017 Filed Jan 27, 2017 17:06 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantRestricted Stock Unit | 6,612 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-001893 · doc4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,712 F1 · shares: Each restricted stock unit represents a contingent right to receive one share of Mueller Water Products, Inc. Common Stock when the restrictions lapse. The lapse occurs in three (3) equal, annual installments on each yearly anniversary of the grant date. Read SEC document |
| December 31, 2016 Filed Jan 3, 2017 17:58 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,892.6 | $13.31 | $38,500.51 |
DisclosureSEC source: 0001225208-17-000145 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,210.2767 Underlying: Common Stock · 2,892.6 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 298.46 shares of phantom stock acquired on November 21, 2016 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 17:22 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,111.54 | $12.55 | $26,499.83 |
DisclosureSEC source: 0001225208-16-040109 · doc4.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,019.2167 Underlying: Common Stock · 2,111.54 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · balance_after: Includes 321.61 shares of phantom stock acquired on August 19, 2016 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| June 30, 2016 Filed Oct 4, 2016 17:17 UTC Amendment | Mueller Water Products, Inc. MWA · Entity 2326 | GrantPhantom Stock · Derivative | 2,189.15 | $11.42 | $25,000.09 |
DisclosureSEC source: 0001225208-16-040107 · doc4a.xml · derivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,586.0667 Underlying: Common Stock · 2,189.15 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of Common Stock. F2 · shares: Includes 131.35 additional shares of phantom stock acquired on June 30, 2016, which were omitted from due to a clerical error. F3 · derivative.exercise_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F3 · derivative.expiration_date: The shares of phantom stock become payable in cash upon the reporting person's termination of service as a director. F2 · derivative.underlying_shares: Includes 131.35 additional shares of phantom stock acquired on June 30, 2016, which were omitted from due to a clerical error. F4 · balance_after: Includes 369.94 shares of phantom stock acquired on May 20, 2016 under the Mueller Water Products, Inc. dividend reinvestment plan. Read SEC document |
| August 24, 2010 Filed Oct 4, 2023 21:04 UTC | Mueller Water Products, Inc. MWA · Entity 2326 | PurchaseCommon Stock | 250 | $2.40 | $600.00 |
DisclosureSEC source: 0001225208-23-009367 · doc4.xml · nonDerivative · entry 1 TOKARZ MICHAEL T · CIK 0001206636 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Ted M. Tokarz Revocable Trust Disclosed balance after: 250 F1 · price: The cost basis for the issuance was $599.37 or $2.40 per share, which was the closing price of the stock on the date of purchase. 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.