AirShares EU Carbon Allowances Fund (ASO)

FINANCE: GENERAL FINANCE
SIC: STATE COMMERCIAL BANKS
*** This stock is shown as delisted in our database. *** If you think this isn't correct then please let us know

1900 FIFTH AVENUE NORTH BIRMINGHAM, AL 35203

AirShares EU Carbon Allowances Fund (the Fund) is a commodity pool that will issue units of beneficial interest (the Shares). Each Share will represent a unit of fractional undivided beneficial interest in and ownership of the Fund. The investment objective of the Fund is to provide investors with investment results generally corresponding to the performance of a basket of exchange-traded futures contracts for European Union Allowances (EUAs). The Fund's portfolio will initially consist of unleveraged long positions in European Carbon Exchange Carbon Financial Instrument Futures Contracts (ECX CFI Futures Contracts), traded on the ICE Futures trading platform. XShares Advisors LLC serves as the Sponsor and commodity pool operator of the Fund.

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View SEC Filings from ASO instead.
Q4 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 0 0 0 (0.0%) 0 (0.0%)
Funds Holding: 0 0 (0.0%) (0.0%)
13F shares: 0 0
% Ownership
New Positions:
Increased Positions
Closed Positions
Reduced Positions
Total Calls
Total Puts
PUT/CALL Ratio
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding ASO (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding ASO BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

190.5 Thousand total shares from 13 transactions

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

HICKS KEN C CHAIRMAN, PRESIDENT AND CEO

  • Officer
  • Director
545,140 2021-01-05 2

JOHNSON SAMUEL J EVP, RETAIL OPERATIONS

  • Officer
194,385 2021-01-05 2

MULLICAN MICHAEL P. EVP & CFO

  • Officer
223,837 2021-01-05 2

ENNIS WILLIAM S. SEE REMARKS

  • Officer
107,741 2021-01-05 2

CASARES RENE G. SVP, GENERAL COUNSEL

  • Officer
113,575 2021-01-05 2

ATTAWAY KENNETH D. EVP, COO

  • Officer
152,480 2021-01-05 2

LAWRENCE STEVEN PAUL SEE REMARKS

  • Officer
174,710 2021-01-04 2

QUESTROM ALLEN I

  • Director
0 2020-12-09 2

MARLEY BRIAN T

  • Director
0 2020-12-09 2

SIMON WILLIAM S

  • Director
0 2020-12-09 2

DAVIS HEATHER A. SEE REMARKS

  • Officer
0 2020-12-09 2

TWEEDY JEFFREY C.

  • Director
0 2020-12-09 2

BECK WENDY A.

  • Director
0 2020-12-09 2

TAYLOR NATHANIEL H.

  • Director
0 2020-10-02 1

KKR GROUP PARTNERSHIP L.P.

KKR GROUP HOLDINGS CORP.

KKR & CO. INC.

KKR MANAGEMENT LLP

KRAVIS HENRY R

ROBERTS GEORGE R

61,587,301 2020-10-02 1

KKR 2006 ALLSTAR BLOCKER L.P.

ALLSTAR CO-INVEST BLOCKER L.P.

ALLSTAR LLC

ALLSTAR CO-INVEST GP LLC

KKR 2006 FUND (ALLSTAR) L.P.

KKR ASSOCIATES 2006 AIV L.P.

KKR 2006 AIV GP LLC

61,587,301 2020-10-02 1

PATEL VISHAL

  • Director
0 2020-10-02 1

YAN AILEEN X.

  • Director
0 2020-10-02 1

RUTHERFORD JAMEY TRAYWICK SVP, OMNICHANNEL

  • Officer
107,066 2020-10-02 1

MAINI MANISH SVP, CHIEF INFORMATION OFFICER

  • Officer
157,181 2020-10-02 1

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

ENNIS WILLIAM S. - Officer SEE REMARKS

2021-01-07 20:32:35 -0500 2021-01-05 S 8,502 $20.58 d 107,808 direct

MULLICAN MICHAEL P. - Officer EVP & CFO

2021-01-07 20:25:55 -0500 2021-01-05 S 334 $21.04 d 223,837 direct

CASARES RENE G. - Officer SVP, GENERAL COUNSEL

2021-01-07 20:24:53 -0500 2021-01-05 S 60 $21.09 d 113,675 direct

HICKS KEN C - Director - Officer CHAIRMAN, PRESIDENT AND CEO

2021-01-07 20:28:23 -0500 2021-01-05 S 240 $21.06 d 545,140 direct

ATTAWAY KENNETH D. - Officer EVP, COO

2021-01-07 20:26:04 -0500 2021-01-05 S 1 $21.31 d 152,480 direct

MULLICAN MICHAEL P. - Officer EVP & CFO

2021-01-07 20:25:55 -0500 2021-01-05 S 22,613 $20.49 d 224,171 direct

CASARES RENE G. - Officer SVP, GENERAL COUNSEL

2021-01-07 20:24:53 -0500 2021-01-05 S 12,536 $20.50 d 113,735 direct

HICKS KEN C - Director - Officer CHAIRMAN, PRESIDENT AND CEO

2021-01-07 20:28:23 -0500 2021-01-05 S 120,489 $20.51 d 545,380 direct

ENNIS WILLIAM S. - Officer SEE REMARKS

2021-01-07 20:32:35 -0500 2021-01-05 S 67 $21.31 d 107,741 direct

ATTAWAY KENNETH D. - Officer EVP, COO

2021-01-07 20:26:04 -0500 2021-01-05 S 8,562 $20.62 d 152,481 direct

CASARES RENE G. - Officer SVP, GENERAL COUNSEL

2021-01-07 20:24:53 -0500 2021-01-05 S 100 $21.10 d 113,575 direct

JOHNSON SAMUEL J - Officer EVP, RETAIL OPERATIONS

2021-01-07 20:30:21 -0500 2021-01-05 S 12,740 $20.56 d 194,385 direct

LAWRENCE STEVEN PAUL - Officer SEE REMARKS

2021-01-06 19:16:55 -0500 2021-01-04 S 4,282 $20.77 d 174,710 direct

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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