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AMJB

JPMORGAN CHASE & CO

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2795
SEC CIK
0000019617
Parsed reports
2,624

Last 12 months

Inside the activity.

0 purchase rows · 43 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202608
Feb 2026014
Mar 202601
Apr 202608
May 202608
Jun 202601
Jul 202600
Aug 202601
Sep 202601
Oct 202600

Latest available

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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
July 19, 2012 Filed Jul 20, 2012 20:17 UTC
DIMON JAMESDirector · Chairman & CEO
SalePreferred Stock, Series I 1,494 $1,110.00 $1,658,340.00
Disclosure

SEC source: 0001225208-12-016509 · doc4.xml · nonDerivative · entry 3

DIMON JAMES · CIK 0001195345 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Charitable Trust

Disclosed balance after: 0

F1 · ownership.nature: Reporting person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest.

Read SEC document
July 19, 2012 Filed Jul 20, 2012 20:17 UTC
DIMON JAMESDirector · Chairman & CEO
PurchaseCommon Stock 110,000 $34.43 $3,787,212.00
Disclosure

SEC source: 0001225208-12-016509 · doc4.xml · nonDerivative · entry 1

DIMON JAMES · CIK 0001195345 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,976,153

Read SEC document
July 19, 2012 Filed Jul 24, 2012 15:54 UTC
Donnelly John LDirector Human Resources
GiftCommon Stock 5,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-016592 · doc4.xml · nonDerivative · entry 3

Donnelly John L · CIK 0001458126 · Director Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse, as Custodian for Children

Disclosed balance after: 5,500

Read SEC document
July 19, 2012 Filed Jul 24, 2012 15:54 UTC
Donnelly John LDirector Human Resources
GiftCommon Stock 5,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-016592 · doc4.xml · nonDerivative · entry 1

Donnelly John L · CIK 0001458126 · Director Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,278

Read SEC document
July 17, 2012 Filed Jul 17, 2012 12:58 UTC
Bisignano FrankChief Administrative Officer;
SaleCommon Stock 3,000 $35.40 $106,200.00
Disclosure

SEC source: 0001225208-12-016351 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Chief Administrative Officer;

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,012

Read SEC document
June 30, 2012 Filed Jul 3, 2012 15:58 UTC GrantCommon Stock 699.6921 $35.73 $25,000.00
Disclosure

SEC source: 0001225208-12-015671 · doc4.xml · nonDerivative · entry 1

BOWLES CRANDALL CLOSE · CIK 0000903518 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,208.5715

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
June 30, 2012 Filed Jul 3, 2012 19:58 UTC GrantCommon Stock 524.7691 $35.73 $18,750.00
Disclosure

SEC source: 0001225208-12-015672 · doc4.xml · nonDerivative · entry 1

BURKE STEPHEN B · CIK 0001203694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,220.7724

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
June 30, 2012 Filed Jul 3, 2012 15:58 UTC
COTE DAVID MDirector
GrantCommon Stock 524.7691 $35.73 $18,750.00
Disclosure

SEC source: 0001225208-12-015673 · doc4.xml · nonDerivative · entry 1

COTE DAVID M · CIK 0001136538 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,841.3526

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
June 30, 2012 Filed Jul 3, 2012 15:58 UTC GrantCommon Stock 909.5998 $35.73 $32,500.00
Disclosure

SEC source: 0001225208-12-015674 · doc4.xml · nonDerivative · entry 1

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,095.5116

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
June 30, 2012 Filed Jul 3, 2012 15:58 UTC GrantCommon Stock 1,049.5382 $35.73 $37,500.00
Disclosure

SEC source: 0001225208-12-015675 · doc4.xml · nonDerivative · entry 1

JACKSON LABAN · CIK 0001202252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,426.6556

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
June 30, 2012 Filed Jul 3, 2012 15:58 UTC GrantCommon Stock 629.7229 $35.73 $22,500.00
Disclosure

SEC source: 0001225208-12-015676 · doc4.xml · nonDerivative · entry 1

RAYMOND LEE R · CIK 0001198809 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,678.7001

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
June 30, 2012 Filed Jul 3, 2012 19:59 UTC GrantCommon Stock 629.7229 $35.73 $22,500.00
Disclosure

SEC source: 0001225208-12-015677 · doc4.xml · nonDerivative · entry 1

WELDON WILLIAM C · CIK 0001189019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,895.4724

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
June 30, 2012 Filed Jul 3, 2012 19:59 UTC GrantCommon Stock 349.8461 $35.73 $12,500.00
Disclosure

SEC source: 0001225208-12-015678 · doc4.xml · nonDerivative · entry 1

FLYNN TIMOTHY PATRICK · CIK 0001550322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,599.8461

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
May 02, 2012 Filed May 4, 2012 14:43 UTC
BELL JAMES ADirector
GiftCommon Stock 135 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-011232 · doc4.xml · nonDerivative · entry 2

BELL JAMES A · CIK 0001182047 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 0

Read SEC document
May 02, 2012 Filed May 4, 2012 14:43 UTC
BELL JAMES ADirector
GiftCommon Stock 135 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-011232 · doc4.xml · nonDerivative · entry 1

BELL JAMES A · CIK 0001182047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,909.6103

Read SEC document
April 19, 2012 Filed Apr 20, 2012 15:47 UTC
Bisignano FrankChief Administrative Officer;
GiftCommon Stock 2,871 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-010022 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Chief Administrative Officer;

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,012

Read SEC document
April 17, 2012 Filed Apr 17, 2012 17:05 UTC
Bisignano FrankChief Administrative Officer;
SaleCommon Stock 15,000 $43.83 $657,379.50
Disclosure

SEC source: 0001225208-12-009936 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Chief Administrative Officer;

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,883

Read SEC document
April 16, 2012 Filed Apr 16, 2012 16:58 UTC
Maclin Samuel ToddExecutive Vice President
SaleCommon Stock 49,000 $43.06 $2,109,719.50
Disclosure

SEC source: 0001225208-12-009823 · doc4.xml · nonDerivative · entry 1

Maclin Samuel Todd · CIK 0001298816 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,316.1246

Read SEC document
April 16, 2012 Filed Apr 17, 2012 16:56 UTC
STALEY JAMES EManaging Director
Exercise / conversionStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $21.87 $0.00
Disclosure

SEC source: 0001225208-12-009930 · doc4.xml · derivative · entry 4

STALEY JAMES E · CIK 0001197620 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,264

Underlying: Common Stock · 50,000 shares

Expires 2013-02-12

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: Vests annually in halves beginning January 25, 2005.

Read SEC document
April 16, 2012 Filed Apr 17, 2012 16:56 UTC
STALEY JAMES EManaging Director
Tax withholdingCommon Stock 37,702 $43.32 $1,633,250.64
Disclosure

SEC source: 0001225208-12-009930 · doc4.xml · nonDerivative · entry 2

STALEY JAMES E · CIK 0001197620 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,882.8211

Read SEC document
April 16, 2012 Filed Apr 17, 2012 16:56 UTC
STALEY JAMES EManaging Director
Exercise / conversionCommon Stock 50,000 $21.87 $1,093,500.00
Disclosure

SEC source: 0001225208-12-009930 · doc4.xml · nonDerivative · entry 1

STALEY JAMES E · CIK 0001197620 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,584.8211

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
April 16, 2012 Filed Apr 20, 2012 15:48 UTC
Donnelly John LDirector Human Resources
Exercise / conversionStock Appreciation Rights · Derivative 66,666 $0.00 Strike: $31.06 $0.00
Disclosure

SEC source: 0001225208-12-010023 · doc4.xml · derivative · entry 3

Donnelly John L · CIK 0001458126 · Director Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,334

Underlying: Common Stock · 66,666 shares

Expires 2019-01-02

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: SARs vest and become exercisable in three equal installments beginning January 2, 2012. Shares resulting from exercise must be held at least until 5 years after the grant.

Read SEC document
April 16, 2012 Filed Apr 20, 2012 15:48 UTC
Donnelly John LDirector Human Resources
Tax withholdingCommon Stock 56,487 $43.32 $2,447,016.84
Disclosure

SEC source: 0001225208-12-010023 · doc4.xml · nonDerivative · entry 2

Donnelly John L · CIK 0001458126 · Director Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,778

Read SEC document
April 16, 2012 Filed Apr 20, 2012 15:48 UTC
Donnelly John LDirector Human Resources
Exercise / conversionCommon Stock 66,666 $31.06 $2,070,312.63
Disclosure

SEC source: 0001225208-12-010023 · doc4.xml · nonDerivative · entry 1

Donnelly John L · CIK 0001458126 · Director Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,265

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
March 31, 2012 Filed Apr 2, 2012 19:34 UTC GrantCommon Stock 543.7147 $45.98 $25,000.00
Disclosure

SEC source: 0001225208-12-008746 · doc4.xml · nonDerivative · entry 1

BOWLES CRANDALL CLOSE · CIK 0000903518 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,218.3612

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2012 Filed Apr 2, 2012 23:34 UTC GrantCommon Stock 407.786 $45.98 $18,750.00
Disclosure

SEC source: 0001225208-12-008747 · doc4.xml · nonDerivative · entry 1

BURKE STEPHEN B · CIK 0001203694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,275.3792

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2012 Filed Apr 2, 2012 19:34 UTC
COTE DAVID MDirector
GrantCommon Stock 407.786 $45.98 $18,750.00
Disclosure

SEC source: 0001225208-12-008748 · doc4.xml · nonDerivative · entry 1

COTE DAVID M · CIK 0001136538 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,072.521

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2012 Filed Apr 2, 2012 19:34 UTC GrantCommon Stock 815.572 $45.98 $37,500.00
Disclosure

SEC source: 0001225208-12-008749 · doc4.xml · nonDerivative · entry 1

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,388.521

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2012 Filed Apr 2, 2012 19:34 UTC GrantCommon Stock 869.9435 $45.98 $40,000.00
Disclosure

SEC source: 0001225208-12-008750 · doc4.xml · nonDerivative · entry 1

JACKSON LABAN · CIK 0001202252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,754.0787

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2012 Filed Apr 2, 2012 23:34 UTC GrantCommon Stock 489.3432 $45.98 $22,500.00
Disclosure

SEC source: 0001225208-12-008751 · doc4.xml · nonDerivative · entry 1

NOVAK DAVID C · CIK 0001211696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,868.7794

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2012 Filed Apr 2, 2012 19:34 UTC GrantCommon Stock 489.3432 $45.98 $22,500.00
Disclosure

SEC source: 0001225208-12-008752 · doc4.xml · nonDerivative · entry 1

RAYMOND LEE R · CIK 0001198809 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,918.6091

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2012 Filed Apr 2, 2012 23:35 UTC GrantCommon Stock 407.786 $45.98 $18,750.00
Disclosure

SEC source: 0001225208-12-008753 · doc4.xml · nonDerivative · entry 1

WELDON WILLIAM C · CIK 0001189019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,921.0178

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 02, 2012 Filed Mar 5, 2012 22:57 UTC
DIMON JAMESDirector · Chairman & CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 462,000 $0.00 Strike: $31.22 $0.00
Disclosure

SEC source: 0001225208-12-006676 · doc4.xml · derivative · entry 7

DIMON JAMES · CIK 0001195345 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 462,000 shares

Expires 2012-04-16

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.

F1 · security: Options exercised pursuant to 10b5-1 Plan dated February 15, 2012.

Read SEC document
March 02, 2012 Filed Mar 5, 2012 22:57 UTC
DIMON JAMESDirector · Chairman & CEO
Tax withholdingCommon Stock 409,167 $40.56 $16,593,767.69
Disclosure

SEC source: 0001225208-12-006676 · doc4.xml · nonDerivative · entry 2

DIMON JAMES · CIK 0001195345 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,866,153

Read SEC document
March 02, 2012 Filed Mar 5, 2012 22:57 UTC
DIMON JAMESDirector · Chairman & CEO
Exercise / conversionCommon Stock 462,000 $31.22 $14,423,640.00
Disclosure

SEC source: 0001225208-12-006676 · doc4.xml · nonDerivative · entry 1

DIMON JAMES · CIK 0001195345 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,275,320

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
February 17, 2012 Filed Feb 22, 2012 21:16 UTC
Erdoes Mary E.Managing Director
GiftCommon Stock 651 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-005032 · doc4.xml · nonDerivative · entry 1

Erdoes Mary E. · CIK 0001473446 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,616

Read SEC document
February 15, 2012 Filed Feb 16, 2012 16:27 UTC
Erdoes Mary E.Managing Director
GiftCommon Stock 5,285 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-004405 · doc4.xml · nonDerivative · entry 1

Erdoes Mary E. · CIK 0001473446 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,606

Read SEC document
February 15, 2012 Filed Feb 22, 2012 21:16 UTC Amendment
Erdoes Mary E.Managing Director
GiftCommon Stock 4,624 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-005033 · doc4a.xml · nonDerivative · entry 1

Erdoes Mary E. · CIK 0001473446 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,267

Read SEC document
February 13, 2012 Filed Feb 15, 2012 19:46 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 2,640 $0.00 Strike: $31.22 $0.00
Disclosure

SEC source: 0001225208-12-004318 · doc4.xml · derivative · entry 4

NOVAK DAVID C · CIK 0001211696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,640 shares

Expires 2012-04-16

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
February 13, 2012 Filed Feb 15, 2012 19:46 UTC Tax withholdingCommon Stock 2,166 $38.06 $82,434.71
Disclosure

SEC source: 0001225208-12-004318 · doc4.xml · nonDerivative · entry 2

NOVAK DAVID C · CIK 0001211696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,911.9759

Read SEC document
February 13, 2012 Filed Feb 15, 2012 19:46 UTC Exercise / conversionCommon Stock 2,640 $31.22 $82,420.80
Disclosure

SEC source: 0001225208-12-004318 · doc4.xml · nonDerivative · entry 1

NOVAK DAVID C · CIK 0001211696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,077.9759

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
February 03, 2012 Filed Feb 6, 2012 16:19 UTC
Bisignano FrankChief Administrative Officer
GiftCommon Stock 654 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-003173 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,883

Read SEC document
January 27, 2012 Filed Jan 31, 2012 11:00 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 2,640 $0.00 Strike: $31.22 $0.00
Disclosure

SEC source: 0001225208-12-002547 · doc4.xml · derivative · entry 4

JACKSON LABAN · CIK 0001202252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,640 shares

Expires 2012-04-16

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 27, 2012 Filed Jan 31, 2012 11:00 UTC Tax withholdingCommon Stock 2,313 $37.41 $86,517.77
Disclosure

SEC source: 0001225208-12-002547 · doc4.xml · nonDerivative · entry 2

JACKSON LABAN · CIK 0001202252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,277.283

Read SEC document
January 27, 2012 Filed Jan 31, 2012 11:00 UTC Exercise / conversionCommon Stock 2,640 $31.22 $82,420.80
Disclosure

SEC source: 0001225208-12-002547 · doc4.xml · nonDerivative · entry 1

JACKSON LABAN · CIK 0001202252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,590.283

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 25, 2012 Filed Jan 25, 2012 17:25 UTC
Hogan John JamesChief Risk Officer
SaleCommon Stock 40,797 $37.50 $1,529,887.50
Disclosure

SEC source: 0001225208-12-002072 · doc4.xml · nonDerivative · entry 1

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,642.229

Read SEC document
January 25, 2012 Filed Mar 6, 2012 15:32 UTC Amendment
Hogan John JamesChief Risk Officer
Exercise / conversionStock Appreciation Rights · Derivative 50,000 $0.00 Strike: $19.49 $0.00
Disclosure

SEC source: 0001225208-12-006857 · doc4a.xml · derivative · entry 3

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 50,000 shares

Expires 2019-01-20

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: Stock Appreciation Rights, which have a ten-year term, become exercisable in five equal annual installments beginning January 20, 2010. Shares resulting from exercise must be held at least 5 years from the grant date.

Read SEC document
January 25, 2012 Filed Mar 6, 2012 15:32 UTC Amendment
Hogan John JamesChief Risk Officer
Tax withholdingCommon Stock 37,061 $37.47 $1,388,675.67
Disclosure

SEC source: 0001225208-12-006857 · doc4a.xml · nonDerivative · entry 2

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,378.229

Read SEC document
January 25, 2012 Filed Mar 6, 2012 15:32 UTC Amendment
Hogan John JamesChief Risk Officer
Exercise / conversionCommon Stock 50,000 $19.49 $974,500.00
Disclosure

SEC source: 0001225208-12-006857 · doc4a.xml · nonDerivative · entry 1

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,439.229

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 23, 2012 Filed Jan 23, 2012 22:03 UTC
Cutler Stephen MGeneral Counsel
SaleCommon Stock 12,500 $37.42 $467,750.00
Disclosure

SEC source: 0001225208-12-001836 · doc4.xml · nonDerivative · entry 1

Cutler Stephen M · CIK 0001388539 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,894

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.