Last 12 months
Inside the activity.
1 purchase rows · 13 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 1 | 8 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 2 |
| May 2026 | 0 | 1 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 1 |
| Sep 2026 | 0 | 1 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 14, 2017 Filed Jul 18, 2017 21:37 UTC |
Schnel JonahDirector
|
GrantCommon Stock | 4,928 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-001210 · form4-07182017_020746.xml · nonDerivative · entry 1 Schnel Jonah · CIK 0001390121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,953.2259 F1 · kind: Represents restricted stock units issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. The awards will automatically vest in full on July 1, 2018, subject to earlier vesting if certain conditions are met. F1 · price: Represents restricted stock units issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. The awards will automatically vest in full on July 1, 2018, subject to earlier vesting if certain conditions are met. Read SEC document |
| July 14, 2017 Filed Jul 18, 2017 21:36 UTC |
Curran Mary ADirector
|
GrantCommon Stock | 4,748 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-001208 · form4-07182017_020700.xml · nonDerivative · entry 1 Curran Mary A · CIK 0001709408 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,798 F1 · kind: Represents restricted stock units issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. The awards will automatically vest in full on July 1, 2018, subject to earlier vesting if certain conditions are met. F1 · price: Represents restricted stock units issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. The awards will automatically vest in full on July 1, 2018, subject to earlier vesting if certain conditions are met. Read SEC document |
| July 14, 2017 Filed Sep 12, 2017 01:00 UTC Amendment |
LASHLEY RICHARD JDirector
|
GrantCommon Stock | 5,049 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-001478 · form4a-09112017_090901.xml · nonDerivative · entry 1 LASHLEY RICHARD J · CIK 0001204241 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,049 F1 · kind: Represents restricted stock units issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. The awards will automatically vest in full on July 1, 2018, subject to earlier vesting if certain conditions are met. F1 · price: Represents restricted stock units issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. The awards will automatically vest in full on July 1, 2018, subject to earlier vesting if certain conditions are met. Read SEC document |
| July 03, 2017 Filed Feb 13, 2018 06:30 UTC |
SZNEWAJS ROBERT DDirector
|
GrantCommon Stock | 35.9866 | $20.86 | $750.68 |
DisclosureSEC source: 0001415889-18-000215 · form5-02132018_060211.xml · nonDerivative · entry 1 SZNEWAJS ROBERT D · CIK 0001117647 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,562.3838 F1 · kind: Shares were acquired pursuant to the Issuer's Dividend Reinvestment Plan. Read SEC document |
| July 03, 2017 Filed Feb 13, 2018 11:30 UTC |
Karish JeffDirector
|
GrantCommon Stock | 132.7816 | $20.86 | $2,769.82 |
DisclosureSEC source: 0001415889-18-000217 · form5-02132018_060220.xml · nonDerivative · entry 1 Karish Jeff · CIK 0001533944 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,312.5618 F1 · kind: Shares were acquired pursuant to the Issuer's Dividend Reinvestment Plan. Read SEC document |
| July 03, 2017 Filed Feb 13, 2018 11:30 UTC |
Benett Halle J.Director
|
GrantCommon Stock | 0.0024 | $20.86 | $0.05 |
DisclosureSEC source: 0001415889-18-000216 · form5-02132018_060216.xml · nonDerivative · entry 1 Benett Halle J. · CIK 0001608090 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,510.3548 F1 · kind: Shares were acquired pursuant to the Issuer's Dividend Reinvestment Plan. Read SEC document |
| July 03, 2017 Filed Feb 13, 2018 11:30 UTC |
Boyle Hugh FCHIEF RISK OFFICER
|
GrantCommon Stock | 258.328 | $20.86 | $5,388.72 |
DisclosureSEC source: 0001415889-18-000214 · form5-02132018_060207.xml · nonDerivative · entry 1 Boyle Hugh F · CIK 0001568582 · CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,332.4034 F1 · kind: Shares were acquired pursuant to the Issuer's Dividend Reinvestment Plan. Read SEC document |
| July 03, 2017 Filed Feb 13, 2018 11:30 UTC |
Grosvenor John C.EVP AND GENERAL COUNSEL
|
GrantCommon Stock | 149.2342 | $20.86 | $3,113.03 |
DisclosureSEC source: 0001415889-18-000213 · form5-02132018_060202.xml · nonDerivative · entry 1 Grosvenor John C. · CIK 0001556991 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,898.4273 F1 · kind: Shares were acquired pursuant to the Issuer's Dividend Reinvestment Plan. Read SEC document |
| June 28, 2017 Filed Feb 12, 2019 23:56 UTC |
Curran Mary ADirector
|
OtherCommon Stock | 0.305 | $21.31 | $6.50 |
DisclosureSEC source: 0001415889-19-000154 · form5-02122019_030223.xml · nonDerivative · entry 1 Curran Mary A · CIK 0001709408 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,838.329 F1 · kind: Shares were acquired pursuant to a broker-sponsored dividend reinvestment plan. Read SEC document |
| June 12, 2017 Filed Jun 15, 2017 01:42 UTC |
Turner J. Francisco A.FORMER INTERIM CFO AND CSO
|
Disposition to issuerCommon Stock | 81,631 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-000997 · form4-06142017_060631.xml · nonDerivative · entry 2 Turner J. Francisco A. · CIK 0001660949 · FORMER INTERIM CFO AND CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,117.763 F2 · kind: Represents awards forfeited and returned to the Issuer as a result of the Reporting Person's resignation on June 12, 2017. Read SEC document |
| June 12, 2017 Filed Jun 15, 2017 01:42 UTC |
Turner J. Francisco A.FORMER INTERIM CFO AND CSO
|
Tax withholdingCommon Stock | 1,128 | $22.60 | $25,492.80 |
DisclosureSEC source: 0001415889-17-000997 · form4-06142017_060631.xml · nonDerivative · entry 1 Turner J. Francisco A. · CIK 0001660949 · FORMER INTERIM CFO AND CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,748.763 F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of previously granted awards. Read SEC document |
| June 12, 2017 Filed Jun 15, 2017 01:39 UTC |
Boyle Hugh FCHIEF RISK OFFICER
|
Tax withholdingCommon Stock | 1,879 | $22.60 | $42,465.40 |
DisclosureSEC source: 0001415889-17-000995 · form4-06142017_060634.xml · nonDerivative · entry 1 Boyle Hugh F · CIK 0001568582 · CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,684.7419 F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of previously granted awards. Read SEC document |
| June 08, 2017 Filed Jun 12, 2017 23:39 UTC |
Bowers Douglas HCEO AND PRESIDENT
|
GrantCommon Stock | 35,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-000967 · form4-06122017_040658.xml · nonDerivative · entry 1 Bowers Douglas H · CIK 0001604024 · CEO AND PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 F1 · kind: Represents grant of restricted stock units. Shares will be issued upon vesting and will vest annually, in substantially equal installments, over a three-year period beginning on May 7, 2018. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:48 UTC |
Grosvenor John C.EVP AND GENERAL COUNSEL
|
GrantStock Option · Derivative | 12,000 | $0.00 Strike: $13.29 | $0.00 |
DisclosureSEC source: 0001415889-17-000605 · form4-04052017_050442.xml · derivative · entry 3 Grosvenor John C. · CIK 0001556991 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 Underlying: Common Stock · 12,000 shares Expires 2025-05-15 F3 · shares: On May 15, 2015, the Reporting Person was granted an option to purchase 60,000 shares of common stock. The option vests in five substantially equal annual installments, based on satisfaction of certain performance-based criteria for each of the fiscal years ending December 31, 2015, 2016, 2017, 2018, and 2019. The performance criteria for 2016 were met, resulting in vesting of the option as to 12,000 shares. F3 · balance_after: On May 15, 2015, the Reporting Person was granted an option to purchase 60,000 shares of common stock. The option vests in five substantially equal annual installments, based on satisfaction of certain performance-based criteria for each of the fiscal years ending December 31, 2015, 2016, 2017, 2018, and 2019. The performance criteria for 2016 were met, resulting in vesting of the option as to 12,000 shares. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:48 UTC |
Grosvenor John C.EVP AND GENERAL COUNSEL
|
Tax withholdingCommon Srock | 4,585 | $20.70 | $94,909.50 |
DisclosureSEC source: 0001415889-17-000605 · form4-04052017_050442.xml · nonDerivative · entry 2 Grosvenor John C. · CIK 0001556991 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,753.601 F2 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of previously granted awards. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:48 UTC |
Grosvenor John C.EVP AND GENERAL COUNSEL
|
GrantCommon Stock | 3,624 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-000605 · form4-04052017_050442.xml · nonDerivative · entry 1 Grosvenor John C. · CIK 0001556991 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,338.601 F1 · shares: This award is currently restricted and will vest in full on April 3, 2018. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:53 UTC |
Seabold Jeffrey TEXECUTIVE VICE PRESIDENT
|
Tax withholdingCommon Stock | 10,737 | $20.70 | $222,255.90 |
DisclosureSEC source: 0001415889-17-000610 · form4-04052017_050420.xml · nonDerivative · entry 1 Seabold Jeffrey T · CIK 0001514243 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,720 F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of previously granted awards. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:52 UTC |
Kuelbs BrianEVP, CHIEF INVESTMENT OFFICER
|
GrantStock Option · Derivative | 24,000 | $0.00 Strike: $17.50 | $0.00 |
DisclosureSEC source: 0001415889-17-000609 · form4-04052017_050410.xml · derivative · entry 2 Kuelbs Brian · CIK 0001521999 · EVP, CHIEF INVESTMENT OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 Underlying: Common Stock · 24,000 shares Expires 2026-04-01 F1 · shares: On April 1, 2016, the Reporting Person was granted an option to purchase 120,000 shares of common stock. The option vests in substantially five equal annual installments, based on satisfaction of certain performance-based criteria for each of the fiscal years ending December 31, 2016, 2017, 2018, 2019, and 2020. The performance criteria for 2016 were met, resulting in vesting of the option as to 24,000 shares. F1 · balance_after: On April 1, 2016, the Reporting Person was granted an option to purchase 120,000 shares of common stock. The option vests in substantially five equal annual installments, based on satisfaction of certain performance-based criteria for each of the fiscal years ending December 31, 2016, 2017, 2018, 2019, and 2020. The performance criteria for 2016 were met, resulting in vesting of the option as to 24,000 shares. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:51 UTC |
Boyle Hugh FINTERIM CEO, CHF. RISK OFFICER
|
GrantStock Option · Derivative | 16,000 | $0.00 Strike: $13.29 | $0.00 |
DisclosureSEC source: 0001415889-17-000608 · form4-04052017_050412.xml · derivative · entry 2 Boyle Hugh F · CIK 0001568582 · INTERIM CEO, CHF. RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common Stock · 16,000 shares Expires 2025-05-15 F2 · shares: On May 15, 2015, the Reporting Person was granted an option to purchase 80,000 shares of common stock. The option vests in five substantially equal annual installments, based on satisfaction of certain performance-based criteria for each of the fiscal years ending December 31, 2015, 2016, 2017, 2018, and 2019. The performance criteria for 2016 were met, resulting in vesting of the option as to 16,000 shares. F2 · balance_after: On May 15, 2015, the Reporting Person was granted an option to purchase 80,000 shares of common stock. The option vests in five substantially equal annual installments, based on satisfaction of certain performance-based criteria for each of the fiscal years ending December 31, 2015, 2016, 2017, 2018, and 2019. The performance criteria for 2016 were met, resulting in vesting of the option as to 16,000 shares. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:51 UTC |
Boyle Hugh FINTERIM CEO, CHF. RISK OFFICER
|
Tax withholdingCommon Stock | 3,303 | $20.70 | $68,372.10 |
DisclosureSEC source: 0001415889-17-000608 · form4-04052017_050412.xml · nonDerivative · entry 1 Boyle Hugh F · CIK 0001568582 · INTERIM CEO, CHF. RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,563.7419 F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of previously granted awards. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:50 UTC |
Wang Albert Jen-WenEVP, CHIEF ACCOUNTING OFFICER
|
GrantCommon Stock | 2,277 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-000607 · form4-04052017_050426.xml · nonDerivative · entry 3 Wang Albert Jen-Wen · CIK 0001683293 · EVP, CHIEF ACCOUNTING OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,906 F3 · shares: This award is currently restricted and will vest in full on April 3, 2018. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:50 UTC |
Wang Albert Jen-WenEVP, CHIEF ACCOUNTING OFFICER
|
GrantCommon Stock | 3,624 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-000607 · form4-04052017_050426.xml · nonDerivative · entry 2 Wang Albert Jen-Wen · CIK 0001683293 · EVP, CHIEF ACCOUNTING OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,629 F2 · shares: This award is currently restricted and will vest in substantially equal installments on each of April 3, 2018, 2019, 2020, 2021 and 2022. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:50 UTC |
Wang Albert Jen-WenEVP, CHIEF ACCOUNTING OFFICER
|
GrantCommon Stock | 7,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-000607 · form4-04052017_050426.xml · nonDerivative · entry 1 Wang Albert Jen-Wen · CIK 0001683293 · EVP, CHIEF ACCOUNTING OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,005 F1 · shares: This award is currently restricted and will vest in substantially equal installments on each of April 3, 2018, 2019 and 2020. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:49 UTC |
Turner J. Francisco A.INTERIM PRESIDENT, CFO AND CSO
|
GrantStock Option · Derivative | 24,000 | $0.00 Strike: $17.50 | $0.00 |
DisclosureSEC source: 0001415889-17-000606 · form4-04052017_050437.xml · derivative · entry 3 Turner J. Francisco A. · CIK 0001660949 · INTERIM PRESIDENT, CFO AND CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 Underlying: Common Stock · 24,000 shares Expires 2026-04-01 F3 · shares: On April 1, 2016, the Reporting Person was granted an option to purchase 120,000 shares of common stock. The option vests in five substantially equal annual installments, based on satisfaction of certain performance-based criteria for each of the fiscal years ending December 31, 2016, 2017, 2018, 2019, and 2020. The performance criteria for 2016 were met, resulting in vesting of the option as to 24,000 shares. F3 · balance_after: On April 1, 2016, the Reporting Person was granted an option to purchase 120,000 shares of common stock. The option vests in five substantially equal annual installments, based on satisfaction of certain performance-based criteria for each of the fiscal years ending December 31, 2016, 2017, 2018, 2019, and 2020. The performance criteria for 2016 were met, resulting in vesting of the option as to 24,000 shares. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:49 UTC |
Turner J. Francisco A.INTERIM PRESIDENT, CFO AND CSO
|
Tax withholdingCommon Stock | 6,792 | $20.70 | $140,594.40 |
DisclosureSEC source: 0001415889-17-000606 · form4-04052017_050437.xml · nonDerivative · entry 2 Turner J. Francisco A. · CIK 0001660949 · INTERIM PRESIDENT, CFO AND CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,876.763 F2 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of previously granted awards. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 00:49 UTC |
Turner J. Francisco A.INTERIM PRESIDENT, CFO AND CSO
|
GrantCommon Stock | 7,247 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-000606 · form4-04052017_050437.xml · nonDerivative · entry 1 Turner J. Francisco A. · CIK 0001660949 · INTERIM PRESIDENT, CFO AND CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,668.763 F1 · shares: This award is currently restricted and will vest in full on April 3, 2018. Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 21:00 UTC |
Grosvenor John C.EVP AND GENERAL COUNSEL
|
SaleCommon Stock | 14,979.1278 | $20.50 | $307,072.12 |
DisclosureSEC source: 0001415889-17-000474 · form4-03222017_020324.xml · nonDerivative · entry 1 Grosvenor John C. · CIK 0001556991 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,714.601 Read SEC document |
| March 09, 2017 Filed Mar 13, 2017 21:00 UTC |
Seabold Jeffrey TEXECUTIVE VICE PRESIDENT
|
SaleCommon Stock | 9,100 | $20.65 | $187,915.00 |
DisclosureSEC source: 0001415889-17-000413 · form4-03132017_050301.xml · nonDerivative · entry 1 Seabold Jeffrey T · CIK 0001514243 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,457 Read SEC document |
| March 07, 2017 Filed Mar 8, 2017 23:11 UTC |
Seabold Jeffrey TEXECUTIVE VICE PRESIDENT
|
SaleCommon Stock | 10,000 | $20.00 | $200,000.00 |
DisclosureSEC source: 0001415889-17-000385 · form4-03082017_030301.xml · nonDerivative · entry 5 Seabold Jeffrey T · CIK 0001514243 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,557 Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 23:11 UTC |
Seabold Jeffrey TEXECUTIVE VICE PRESIDENT
|
SaleCommon Stock | 3,000 | $20.03 | $60,075.00 |
DisclosureSEC source: 0001415889-17-000385 · form4-03082017_030301.xml · nonDerivative · entry 4 Seabold Jeffrey T · CIK 0001514243 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,557 Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 23:11 UTC |
Seabold Jeffrey TEXECUTIVE VICE PRESIDENT
|
SaleCommon Stock | 2,000 | $20.02 | $40,040.00 |
DisclosureSEC source: 0001415889-17-000385 · form4-03082017_030301.xml · nonDerivative · entry 3 Seabold Jeffrey T · CIK 0001514243 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,557 Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 23:11 UTC |
Seabold Jeffrey TEXECUTIVE VICE PRESIDENT
|
SaleCommon Stock | 5,000 | $20.00 | $100,000.00 |
DisclosureSEC source: 0001415889-17-000385 · form4-03082017_030301.xml · nonDerivative · entry 2 Seabold Jeffrey T · CIK 0001514243 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,557 Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 23:11 UTC |
Seabold Jeffrey TEXECUTIVE VICE PRESIDENT
|
SaleCommon Stock | 5,000 | $20.05 | $100,251.50 |
DisclosureSEC source: 0001415889-17-000385 · form4-03082017_030301.xml · nonDerivative · entry 1 Seabold Jeffrey T · CIK 0001514243 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,557 Read SEC document |
| March 01, 2017 Filed Mar 4, 2017 01:00 UTC |
Nickel Thedora A.FORMER CHIEF ADMIN. OFFICER
|
Disposition to issuerCommon Stock | 28,777 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-000356 · form4-03032017_080302.xml · nonDerivative · entry 1 Nickel Thedora A. · CIK 0001670416 · FORMER CHIEF ADMIN. OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,971.3275 F1 · kind: Represents awards forfeited and returned to the Issuer as a result of the Reporting Person's resignation on March 1, 2017. Read SEC document |
| January 23, 2017 Filed Jan 26, 2017 01:26 UTC |
Sugarman StevenDirector · FORMER CEO AND BOARD CHAIRMAN
|
Tax withholdingCommon Stock | 121,935 | $16.15 | $1,969,250.25 |
DisclosureSEC source: 0001415889-17-000134 · form4-01252017_050158.xml · nonDerivative · entry 1 Sugarman Steven · CIK 0001504590 · Director · FORMER CEO AND BOARD CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,567 F1 · kind: Shares disposed to satisfy Mr. Sugarman's tax liability incurred by the accelerated vesting of 251,005 shares previously granted to him as an award on April 26, 2016. This award was previously scheduled to vest in full on April 1, 2017, but was subject to certain restrictions on transfer until April 1, 2021. Pursuant to the terms and conditions of the Separation Agreement entered into by the Issuer and Mr. Sugarman on January 23, 2017 (the "Separation Agreement"), the shares not otherwise withheld to satisfy Mr. Sugarman's tax liability are now fully vested, and are no longer subject to the former transfer restrictions. Read SEC document |
| January 06, 2017 Filed Jan 11, 2017 00:33 UTC |
Turner J. Francisco A.EVP, CHIEF STRATEGY OFFICER · CO-PRINCIPAL FINANCIAL OFFICER
|
Tax withholdingCommon Stock | 438 | $17.35 | $7,599.30 |
DisclosureSEC source: 0001415889-17-000060 · form4-01102017_040101.xml · nonDerivative · entry 1 Turner J. Francisco A. · CIK 0001660949 · EVP, CHIEF STRATEGY OFFICER · CO-PRINCIPAL FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,360.0958 F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 23:24 UTC |
Nickel Thedora A.CHIEF ADMINISTRATIVE OFFICER
|
Tax withholdingCommon Stock | 38 | $16.40 | $623.20 |
DisclosureSEC source: 0001415889-16-007579 · form4-12142016_031252.xml · nonDerivative · entry 1 Nickel Thedora A. · CIK 0001670416 · CHIEF ADMINISTRATIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,657.6606 F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award. Read SEC document |
| October 31, 2016 Filed Nov 3, 2016 00:36 UTC |
Seabold Jeffrey TEXECUTIVE VICE PRESIDENT
|
OtherCommon Stock | 28,547 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-16-007329 · form4-11022016_051105.xml · nonDerivative · entry 1 Seabold Jeffrey T · CIK 0001514243 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,557 F1 · kind: The shares reported herein were not issued under the Issuer's 2013 Omnibus Plan, but, instead, were issued as unregistered securities pursuant to the terms of an acquisition agreement between the Issuer and CS Financial (the "Agreement"), dated October 31, 2013. At the time the Agreement was executed, the Reporting Person was a majority owner in CS Financial. Under the terms of the Agreement, the Reporting Person is entitled to receive certain performance shares (totaling 85,637 shares) in three equal annual installments, so long as certain performance targets are met. The 28,547 shares reported herein represent the third (and final) installment issued and, to date, the Reporting Person has been issued 85,637 of these performance shares. Read SEC document |
| October 15, 2016 Filed Oct 18, 2016 01:21 UTC |
Grosvenor John C.EVP AND GENERAL COUNSEL
|
Tax withholdingCommon Stock | 522 | $16.50 | $8,613.00 |
DisclosureSEC source: 0001415889-16-007292 · form4-10172016_061033.xml · nonDerivative · entry 2 Grosvenor John C. · CIK 0001556991 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,989.4414 F2 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of previously granted awards. Read SEC document |
| October 13, 2016 Filed Oct 18, 2016 01:21 UTC |
Grosvenor John C.EVP AND GENERAL COUNSEL
|
GrantCommon Stock | 7,168 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-16-007292 · form4-10172016_061033.xml · nonDerivative · entry 1 Grosvenor John C. · CIK 0001556991 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,511.4414 F1 · kind: This award was granted upon attainment of certain performance objectives under a performance unit agreement previously granted to the Reporting Person. Read SEC document |
| October 13, 2016 Filed Oct 18, 2016 00:51 UTC |
Turner J. Francisco A.EVP, CHIEF STRATEGY OFFICER · CO-PRINCIPAL FINANCIAL OFFICER
|
GrantCommon Stock | 14,335 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-16-007290 · form4-10172016_051022.xml · nonDerivative · entry 1 Turner J. Francisco A. · CIK 0001660949 · EVP, CHIEF STRATEGY OFFICER · CO-PRINCIPAL FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,798.0958 F1 · kind: This award was granted upon attainment of certain performance objectives under a performance unit agreement previously granted to the Reporting Person. Read SEC document |
| October 13, 2016 Filed Oct 18, 2016 00:36 UTC |
Seabold Jeffrey TEXECUTIVE VICE PRESIDENT
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GrantCommon Stock | 8,601 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-16-007288 · form4-10172016_051046.xml · nonDerivative · entry 1 Seabold Jeffrey T · CIK 0001514243 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,010 F1 · kind: This award was granted upon attainment of certain performance objectives under a performance unit agreement previously granted to the Reporting Person. Read SEC document |
| October 13, 2016 Filed Oct 18, 2016 00:33 UTC |
Boyle Hugh FCHIEF RISK OFFICER
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GrantCommon Stock | 17,202 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-16-007286 · form4-10172016_051022.xml · nonDerivative · entry 1 Boyle Hugh F · CIK 0001568582 · CHIEF RISK OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,264.8043 F1 · kind: This award was granted upon attainment of certain performance objectives under a performance unit agreement previously granted to the Reporting Person. Read SEC document |
| October 13, 2016 Filed Oct 18, 2016 00:29 UTC |
Nickel Thedora A.CHIEF ADMINISTRATIVE OFFICER
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GrantCommon Stock | 4,301 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-16-007284 · form4-10172016_051059.xml · nonDerivative · entry 1 Nickel Thedora A. · CIK 0001670416 · CHIEF ADMINISTRATIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,695.6606 F1 · kind: This award was granted upon attainment of certain performance objectives under a performance unit agreement previously granted to the Reporting Person. Read SEC document |
| October 13, 2016 Filed Oct 18, 2016 00:25 UTC |
Kuelbs BrianEVP, CHIEF INVESTMENT OFFICER
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GrantCommon Stock | 14,335 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-16-007282 · form4-10172016_051046.xml · nonDerivative · entry 1 Kuelbs Brian · CIK 0001521999 · EVP, CHIEF INVESTMENT OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,011 F1 · kind: This award was granted upon attainment of certain performance objectives under a performance unit agreement previously granted to the Reporting Person. Read SEC document |
| October 03, 2016 Filed Oct 5, 2016 14:52 UTC | Tax withholdingCommon Stock | 1,888 | $17.46 | $32,964.48 |
DisclosureSEC source: 0001415889-16-007246 · form4-10052016_071000.xml · nonDerivative · entry 1 McKinney James J. · CIK 0001654782 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,674 F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award. Read SEC document |
|
| October 03, 2016 Filed Feb 14, 2017 18:07 UTC |
SZNEWAJS ROBERT DDirector
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GrantCommon Stock | 40.6165 | $16.94 | $687.88 |
DisclosureSEC source: 0001415889-17-000249 · form5-02142017_030203.xml · nonDerivative · entry 4 SZNEWAJS ROBERT D · CIK 0001117647 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,728.0699 F1 · kind: Shares were acquired pursuant to the Issuer's Dividend Reinvestment Plan. Read SEC document |
| October 03, 2016 Filed Feb 15, 2017 01:40 UTC |
Grosvenor John C.EVP AND GENERAL COUNSEL
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GrantCommon Stock | 240.9029 | $16.94 | $4,079.93 |
DisclosureSEC source: 0001415889-17-000269 · form5-02142017_050247.xml · nonDerivative · entry 4 Grosvenor John C. · CIK 0001556991 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,693.7288 F1 · kind: Shares were acquired pursuant to the Issuer's 2013 Dividend Reinvestment Plan. F2 · balance_after: This Form 5 is being filed, in part, to correctly report the number of shares held by the Reporting Person as of December 31, 2016. Read SEC document |
| October 03, 2016 Filed Feb 15, 2017 00:29 UTC |
Brownstein Chad T.Director
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GrantCommon Stock | 43.2033 | $16.94 | $731.69 |
DisclosureSEC source: 0001415889-17-000263 · form5-02142017_040210.xml · nonDerivative · entry 4 Brownstein Chad T. · CIK 0001515976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,231.0337 F1 · kind: Shares were acquired pursuant to the Issuer's Dividend Reinvestment Plan. F2 · balance_after: Includes 118.295 shares acquired by the Reporting Person pursuant to a broker-administered dividend reinvestment plan. Read SEC document |
| October 03, 2016 Filed Feb 15, 2017 01:43 UTC |
Turner J. Francisco A.INTERIM PRESIDENT AND CFO
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GrantCommon Stock | 16.9046 | $16.94 | $286.30 |
DisclosureSEC source: 0001415889-17-000273 · form5-02142017_050253.xml · nonDerivative · entry 5 Turner J. Francisco A. · CIK 0001660949 · INTERIM PRESIDENT AND CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,859.763 F1 · kind: Shares were acquired pursuant to the Issuer's Dividend Reinvestment Plan. F2 · balance_after: Amount reports securities beneficially owned by the Reporting Person on December 31, 2016, the last day of the Issuer's fiscal year, and does not reflect transactions that occurred subsequent to December 31, 2016. The aggregate number of securities currently held by the Reporting Person, including those resulting from transactions that occurred subsequent to December 31, 2016, will be included on the Reporting Person's next Form 4 filing. 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.