AirShares EU Carbon Allowances Fund (ASO1)

Sector:
FINANCE
Industry:
GENERAL FINANCE
SIC:
STATE COMMERCIAL BANKS
1900 FIFTH AVENUE NORTH BIRMINGHAM, AL 35203

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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.

View SEC Filings from ASO1 instead.

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Funds Holding ASO1 (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 ASO1 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)

none

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 0

JOHNSON SAMUEL J EVP, RETAIL OPERATIONS

  • Officer
194,385 2021-01-05 0

ATTAWAY KENNETH D. EVP, COO

  • Officer
152,480 2021-01-05 0

MULLICAN MICHAEL P. EVP & CFO

  • Officer
223,837 2021-01-05 0

CASARES RENE G. SVP, GENERAL COUNSEL

  • Officer
113,575 2021-01-05 0

ENNIS WILLIAM S. SEE REMARKS

  • Officer
107,741 2021-01-05 0

LAWRENCE STEVEN PAUL SEE REMARKS

  • Officer
174,710 2021-01-04 0

QUESTROM ALLEN I

  • Director
0 2020-12-09 0

MARLEY BRIAN T

  • Director
0 2020-12-09 0

SIMON WILLIAM S

  • Director
0 2020-12-09 0

BECK WENDY A.

  • Director
0 2020-12-09 0

DAVIS HEATHER A. SEE REMARKS

  • Officer
0 2020-12-09 0

TWEEDY JEFFREY C.

  • Director
0 2020-12-09 0

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 0

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 0

PATEL VISHAL

  • Director
0 2020-10-02 0

TAYLOR NATHANIEL H.

  • Director
0 2020-10-02 0

YAN AILEEN X.

  • Director
0 2020-10-02 0

RUTHERFORD JAMEY TRAYWICK SVP, OMNICHANNEL

  • Officer
107,066 2020-10-02 0

MAINI MANISH SVP, CHIEF INFORMATION OFFICER

  • Officer
157,181 2020-10-02 0

KUEHN RONALD L JR

  • Director
0 2006-11-04 0

INGRAM MARTHA R

  • Director
0 2006-11-04 0

MALONE JAMES R

  • Director
0 2006-11-04 0

DEFOSSET DON

  • Director
0 2006-11-04 0

DEAVENPORT EARNEST W JR

  • Director
17,100 2006-11-04 0

WELLS WILLIAM C II SR EXECUTIVE VICE PRESIDENT

  • Officer
0 2006-11-04 0

YOTHER ALTON E CFO, EVP & CONTROLLER

  • Officer
0 2006-11-04 0

COOPER DAVID J

  • Director
0 2006-11-04 0

NIELSEN CLAUDE B

  • Director
0 2006-11-04 0

MCCRARY CHARLES D

  • Director
0 2006-11-04 0

BAGBY CANDICE W SR EXECUTIVE VICE PRESIDENT

  • Officer
118,036 2006-11-04 0

EDMONDS DAVID B SR EXECUTIVE VICE PRESIDENT

  • Officer
0 2006-11-04 0

HALL GRAYSON SR EXECUTIVE VICE PRESIDENT

  • Officer
0 2006-11-04 0

RITTER C DOWD CHAIRMAN, PRESIDENT AND CEO

  • Officer
  • Director
0 2006-11-04 0

KUHN GEOFFREY A VON SR EXECUTIVE VICE PRESIDENT

  • Officer
0 2006-11-04 0

STEPHENSON E W JR SR EXECUTIVE VICE PRESIDENT

  • Officer
0 2006-11-04 0

GAFFNEY JOHN M SR EXECUTIVE VICE PRESIDENT

  • Officer
0 2006-11-04 0

MAYER W CHARLES III SR EXECUTIVE VICE PRESIDENT

  • Officer
0 2006-11-04 0

MARTINEZ SUSAN A SR. EXECUTIVE VICE PRESIDENT

  • Officer
41,596 2006-10-03 0

THOMAS CLEOPHUS JR

  • Director
15,668 2006-04-03 0

MOONEY BETH E CHIEF FINANCIAL OFFICER

  • Officer
147,197 2005-12-31 0

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
No current insider transactions

* -

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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