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BANC

BANC OF CALIFORNIA, INC.

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Tapewire entity
4259
SEC CIK
0001169770
Parsed reports
455

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
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202618
Mar 202600
Apr 202602
May 202601
Jun 202600
Jul 202600
Aug 202601
Sep 202601
Oct 202600

Latest available

Insider transactions

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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
June 15, 2020 Filed Jun 17, 2020 16:37 UTC PurchaseCommon Stock 6,000 $10.56 $63,360.00
Disclosure

SEC source: 0001415889-20-001626 · form4-06172020_010617.xml · nonDerivative · entry 1

SZNEWAJS ROBERT D · CIK 0001117647 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Robert D. Sznewajs Revocable Trust

Disclosed balance after: 39,784

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.5672 to $10.59 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

F2 · balance_after: Amount reported includes shares previously transferred by the Reporting Person into the Robert D. Sznewajs Revocable Trust.

Read SEC document
June 12, 2020 Filed Jun 12, 2020 22:59 UTC
Sullivan Lynn ACHIEF RISK OFFICER
Tax withholdingCommon Stock 4,976 $10.50 $52,248.00
Disclosure

SEC source: 0001415889-20-001607 · form4-06122020_030634.xml · nonDerivative · entry 1

Sullivan Lynn A · CIK 0001778167 · CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,848

F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award.

Read SEC document
May 14, 2020 Filed May 18, 2020 21:45 UTC GrantCommon Stock 8,676 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-001243 · form4-05182020_050515.xml · nonDerivative · entry 1

WYCOFF W KIRK · CIK 0000949197 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,547

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

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May 14, 2020 Filed May 18, 2020 17:45 UTC GrantCommon Stock 9,019 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-001240 · form4-05182020_050501.xml · nonDerivative · entry 1

HILL BONNIE GUITON · CIK 0001049367 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,165

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

Read SEC document
May 14, 2020 Filed May 18, 2020 17:45 UTC GrantCommon Stock 13,100 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-001244 · form4-05182020_050521.xml · nonDerivative · entry 1

SZNEWAJS ROBERT D · CIK 0001117647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,607

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

F2 · balance_after: Reflects the automatic cash out of fractional shares previously held by the Reporting Person.

Read SEC document
May 14, 2020 Filed May 18, 2020 21:45 UTC GrantCommon Stock 9,161 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-001248 · form4-05182020_050542.xml · nonDerivative · entry 1

Curran Mary A · CIK 0001709408 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,438.66

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

F2 · balance_after: Amount of securities beneficially owned following the transaction reported herein includes shares of the Issuer's common stock acquired by the Reporting Person pursuant to a broker-administered dividend reinvestment plan.

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May 14, 2020 Filed May 18, 2020 21:45 UTC GrantCommon Stock 8,676 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-001247 · form4-05182020_050536.xml · nonDerivative · entry 1

Fallon-Walsh Barbara · CIK 0001703984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,416.69

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

F2 · balance_after: Amount of securities beneficially owned following the transaction reported herein includes shares of the Issuer's common stock acquired by the Reporting Person pursuant to a broker-administered dividend reinvestment plan.

Read SEC document
May 14, 2020 Filed May 18, 2020 21:45 UTC
Schnel JonahDirector
GrantCommon Stock 8,676 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-001246 · form4-05182020_050531.xml · nonDerivative · entry 1

Schnel Jonah · CIK 0001390121 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,582

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

F2 · balance_after: Reflects the automatic cash out of fractional shares previously held by the Reporting Person.

Read SEC document
May 14, 2020 Filed May 18, 2020 21:45 UTC GrantCommon Stock 9,304 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-001245 · form4-05182020_050527.xml · nonDerivative · entry 1

LASHLEY RICHARD J · CIK 0001204241 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,827

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

Read SEC document
May 14, 2020 Filed May 18, 2020 21:45 UTC
Thau AndrewDirector
GrantCommon Stock 8,676 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-001242 · form4-05182020_050510.xml · nonDerivative · entry 1

Thau Andrew · CIK 0001792999 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,030

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

Read SEC document
May 14, 2020 Filed May 18, 2020 21:45 UTC GrantCommon Stock 8,819 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-001241 · form4-05182020_050506.xml · nonDerivative · entry 1

Barker James Andrew · CIK 0001792776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,224

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

Read SEC document
March 18, 2020 Filed Mar 20, 2020 13:16 UTC
WOLFF JARED MDirector · PRESIDENT AND CEO
Tax withholdingCommon Stock 13,179 $10.38 $136,798.02
Disclosure

SEC source: 0001415889-20-000829 · form4-03202020_060320.xml · nonDerivative · entry 1

WOLFF JARED M · CIK 0001200277 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,475

F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award.

Read SEC document
March 17, 2020 Filed Mar 18, 2020 20:27 UTC PurchaseCommon Stock 25,325 $9.88 $250,211.00
Disclosure

SEC source: 0001415889-20-000807 · form4-03182020_010329.xml · nonDerivative · entry 1

Barker James Andrew · CIK 0001792776 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the James A. Barker Living Trust

Disclosed balance after: 36,145

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.859 to $9.919 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

Read SEC document
March 02, 2020 Filed Mar 5, 2020 02:16 UTC
Sullivan Lynn ACHIEF RISK OFFICER
GrantCommon Stock 13,047 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-000681 · form4-03042020_060305.xml · nonDerivative · entry 1

Sullivan Lynn A · CIK 0001778167 · CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,824

F1 · kind: Represents grant of RSUs. Shares will be issued upon vesting and will vest annually, in substantially equal installments, over a four-year period beginning on March 2, 2021.

Read SEC document
March 02, 2020 Filed Mar 5, 2020 02:15 UTC
Smith Michael AlanSVP, CHIEF ACCOUNTING OFFICER
GrantCommon Stock 3,588 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-000680 · form4-03042020_060307.xml · nonDerivative · entry 1

Smith Michael Alan · CIK 0001543844 · SVP, CHIEF ACCOUNTING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,186

F1 · kind: Represents grant of RSUs. Shares will be issued upon vesting and will vest annually, in substantially equal installments, over a four-year period beginning on March 2, 2021.

Read SEC document
March 02, 2020 Filed Mar 5, 2020 02:14 UTC
Dotan IdoGENERAL COUNSEL, CORP SECRTY
GrantCommon Stock 6,442 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-000679 · form4-03042020_060305.xml · nonDerivative · entry 2

Dotan Ido · CIK 0001778395 · GENERAL COUNSEL, CORP SECRTY

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,187

F2 · kind: Represents grant of RSUs. Shares will be issued upon vesting and will vest annually, in substantially equal installments, over a four-year period beginning on March 2, 2021.

Read SEC document
March 02, 2020 Filed Mar 5, 2020 02:14 UTC
Dotan IdoGENERAL COUNSEL, CORP SECRTY
GrantCommon Stock 1,349 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-000679 · form4-03042020_060305.xml · nonDerivative · entry 1

Dotan Ido · CIK 0001778395 · GENERAL COUNSEL, CORP SECRTY

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,745

F1 · kind: On June 12, 2019, the Reporting Person was granted performance stock units ("PSUs"). Vesting of the PSUs was conditioned on the achievement of certain performance goals and an employment condition. On March 2, 2020, the Joint Compensation, Nominating and Corporate Governance Committee of the Issuer's Board of Directors determined that the performance goals had been satisfied resulting in the reported PSUs being subject only to the employment condition. The reported PSUs will vest at the expiration of a three-year period beginning on June 12, 2019 subject to the Reporting Person's satisfaction of the employment condition.

Read SEC document
March 02, 2020 Filed Mar 5, 2020 02:13 UTC
DYCK ROBERT GCHIEF CREDIT OFFICER
GrantCommon Stock 5,871 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-000678 · form4-03042020_060303.xml · nonDerivative · entry 2

DYCK ROBERT G · CIK 0001270563 · CHIEF CREDIT OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,973

F2 · kind: Represents grant of RSUs. Shares will be issued upon vesting and will vest annually, in substantially equal installments, over a four-year period beginning on March 2, 2021.

Read SEC document
March 02, 2020 Filed Mar 5, 2020 02:13 UTC
DYCK ROBERT GCHIEF CREDIT OFFICER
GrantCommon Stock 821 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-000678 · form4-03042020_060303.xml · nonDerivative · entry 1

DYCK ROBERT G · CIK 0001270563 · CHIEF CREDIT OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,102

F1 · kind: On September 10, 2019, the Reporting Person was granted performance stock units ("PSUs"). Vesting of the PSUs was conditioned on the achievement of certain performance goals and an employment condition. On March 2, 2020, the Joint Compensation, Nominating and Corporate Governance Committee of the Issuer's Board of Directors determined that the performance goals had been satisfied resulting in the reported PSUs being subject only to the employment condition. The reported PSUs will vest at the expiration of a three-year period beginning on September 10, 2019 subject to the Reporting Person's satisfaction of the employment condition.

Read SEC document
March 02, 2020 Filed Mar 5, 2020 02:12 UTC
WOLFF JARED MDirector · PRESIDENT AND CEO
GrantCommon Stock 24,462 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-000677 · form4-03042020_060313.xml · nonDerivative · entry 2

WOLFF JARED M · CIK 0001200277 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,654

F2 · kind: Represents grant of RSUs. Shares will be issued upon vesting and will vest annually, in substantially equal installments, over a four-year period beginning on March 2, 2021.

Read SEC document
March 02, 2020 Filed Mar 5, 2020 02:12 UTC
WOLFF JARED MDirector · PRESIDENT AND CEO
GrantCommon Stock 4,320 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-000677 · form4-03042020_060313.xml · nonDerivative · entry 1

WOLFF JARED M · CIK 0001200277 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,192

F1 · kind: On April 29, 2019, the Reporting Person was granted performance stock units ("PSUs"). Vesting of the PSUs was conditioned on the achievement of certain performance goals and an employment condition. On March 2, 2020, the Joint Compensation, Nominating and Corporate Governance Committee of the Issuer's Board of Directors determined that the performance goals had been satisfied resulting in the reported PSUs being subject only to the employment condition. The reported PSUs will vest at the expiration of a three-year period beginning on April 29, 2019 subject to the Reporting Person's satisfaction of the employment condition.

Read SEC document
March 02, 2020 Filed Mar 5, 2020 02:10 UTC
HOPKINS LYNN MCHIEF FINANCIAL OFFICER
GrantCommon Stock 13,862 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-000676 · form4-03042020_060335.xml · nonDerivative · entry 1

HOPKINS LYNN M · CIK 0001179851 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,323

F1 · kind: Represents grant of RSUs. Shares will be issued upon vesting and will vest annually, in substantially equal installments, over a three-year period beginning on March 2, 2021.

Read SEC document
December 17, 2019 Filed Dec 18, 2019 23:30 UTC PurchaseCommon Stock 10,820 $16.39 $177,339.80
Disclosure

SEC source: 0001415889-19-001538 · form4-12182019_031200.xml · nonDerivative · entry 1

Barker James Andrew · CIK 0001792776 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the James A. Barker Living Trust

Disclosed balance after: 10,820

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.27 to $16.50 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

Read SEC document
December 09, 2019 Filed Dec 10, 2019 21:20 UTC
HOPKINS LYNN MCHIEF FINANCIAL OFFICER
GrantCommon Stock 15,461 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-001477 · form4-12102019_011206.xml · nonDerivative · entry 1

HOPKINS LYNN M · CIK 0001179851 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,461

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 the one-year anniversary of the grant date.

Read SEC document
December 03, 2019 Filed Dec 4, 2019 00:06 UTC
WOLFF JARED MDirector · PRESIDENT AND CEO
PurchaseCommon Stock 16,500 $15.18 $250,507.95
Disclosure

SEC source: 0001415889-19-001420 · form4-12032019_041230.xml · nonDerivative · entry 1

WOLFF JARED M · CIK 0001200277 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Wolff Family Trust

Disclosed balance after: 29,500

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.08 to $15.25 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

Read SEC document
November 05, 2019 Filed Nov 7, 2019 23:08 UTC
Thau AndrewDirector
GrantCommon Stock 70 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-001276 · form4-11072019_031102.xml · nonDerivative · entry 2

Thau Andrew · CIK 0001792999 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,354

Read SEC document
November 05, 2019 Filed Nov 7, 2019 23:08 UTC
Thau AndrewDirector
GrantCommon Stock 3,284 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-001276 · form4-11072019_031102.xml · nonDerivative · entry 1

Thau Andrew · CIK 0001792999 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,284

F1 · kind: Represents restricted stock units issued to the Reporting Person in connection with his appointment to the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on June 12, 2020.

Read SEC document
November 05, 2019 Filed Nov 7, 2019 23:09 UTC GrantCommon Stock 70 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-001278 · form4-11072019_031143.xml · nonDerivative · entry 2

Barker James Andrew · CIK 0001792776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,405

Read SEC document
November 05, 2019 Filed Nov 7, 2019 23:09 UTC GrantCommon Stock 3,335 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-001278 · form4-11072019_031143.xml · nonDerivative · entry 1

Barker James Andrew · CIK 0001792776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,335

F1 · kind: Represents restricted stock units issued to the Reporting Person in connection with his appointment to the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on June 12, 2020.

Read SEC document
June 12, 2019 Filed Jun 14, 2019 23:38 UTC GrantCommon Stock 5,828 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000700 · form4-06142019_040635.xml · nonDerivative · entry 1

WYCOFF W KIRK · CIK 0000949197 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,871

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

Read SEC document
June 12, 2019 Filed Jun 14, 2019 19:37 UTC GrantCommon Stock 8,616 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000698 · form4-06142019_040657.xml · nonDerivative · entry 1

SZNEWAJS ROBERT D · CIK 0001117647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,507.8103

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

Read SEC document
June 12, 2019 Filed Jun 15, 2019 00:02 UTC
Sullivan Lynn ACHIEF RISK OFFICER
GrantCommon Stock 28,777 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000710 · form4-06142019_050616.xml · nonDerivative · entry 1

Sullivan Lynn A · CIK 0001778167 · CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,777

F1 · kind: Represents grant of restricted stock units. Shares will be issued upon vesting and will vest annually, in substantially equal installments, over a two-year period beginning on the one-year anniversary of the grant date.

Read SEC document
June 12, 2019 Filed Jun 15, 2019 00:00 UTC
Dotan IdoGENERAL COUNSEL, CORP SECRTY
GrantCommon Stock 5,396 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000708 · form4-06142019_050645.xml · nonDerivative · entry 1

Dotan Ido · CIK 0001778395 · GENERAL COUNSEL, CORP SECRTY

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,396

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 the one-year anniversary of the grant date.

Read SEC document
June 12, 2019 Filed Jun 14, 2019 23:47 UTC GrantCommon Stock 6,134 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000705 · form4-06142019_040640.xml · nonDerivative · entry 1

Curran Mary A · CIK 0001709408 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,972.329

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

Read SEC document
June 12, 2019 Filed Jun 14, 2019 23:41 UTC GrantCommon Stock 6,224 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000702 · form4-06142019_040634.xml · nonDerivative · entry 1

LASHLEY RICHARD J · CIK 0001204241 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,523

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

Read SEC document
June 12, 2019 Filed Jun 14, 2019 23:35 UTC
Schnel JonahDirector
GrantCommon Stock 5,828 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000696 · form4-06142019_040601.xml · nonDerivative · entry 1

Schnel Jonah · CIK 0001390121 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,906.2259

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

Read SEC document
June 12, 2019 Filed Jun 14, 2019 23:33 UTC GrantCommon Stock 5,918 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000694 · form4-06142019_040630.xml · nonDerivative · entry 1

Benett Halle J. · CIK 0001608090 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,616.3653

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

Read SEC document
June 12, 2019 Filed Jun 17, 2019 20:05 UTC GrantCommon Stock 5,828 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000735 · form4-06172019_050607.xml · nonDerivative · entry 1

HILL BONNIE GUITON · CIK 0001049367 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,146

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

Read SEC document
June 12, 2019 Filed Jun 17, 2019 13:18 UTC GrantCommon Stock 6,044 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000716 · form4-06172019_060653.xml · nonDerivative · entry 1

Fallon-Walsh Barbara · CIK 0001703984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,707

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

Read SEC document
April 29, 2019 Filed May 2, 2019 00:35 UTC
Bogler John A.CHIEF FINANCIAL OFFICER
GrantCommon Stock 25,916 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000494 · form4-05012019_050508.xml · nonDerivative · entry 1

Bogler John A. · CIK 0001508557 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,075

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 April 29, 2020.

Read SEC document
April 29, 2019 Filed May 2, 2019 00:37 UTC
Smith Michael AlanSVP, CHIEF ACCOUNTING OFFICER
GrantCommon Stock 8,639 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000496 · form4-05012019_050512.xml · nonDerivative · entry 1

Smith Michael Alan · CIK 0001543844 · SVP, CHIEF ACCOUNTING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,598

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 April 29, 2020.

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April 29, 2019 Filed May 2, 2019 00:32 UTC
WOLFF JARED MDirector · PRESIDENT AND CEO
GrantCommon Stock 17,278 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000492 · form4-05012019_050523.xml · nonDerivative · entry 1

WOLFF JARED M · CIK 0001200277 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,872

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 April 29, 2020.

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April 15, 2019 Filed Apr 16, 2019 22:11 UTC
Boyle Hugh FCHIEF RISK OFFICER
Tax withholdingCommon Stock 616 $15.01 $9,246.16
Disclosure

SEC source: 0001415889-19-000470 · form4-04162019_030456.xml · nonDerivative · entry 1

Boyle Hugh F · CIK 0001568582 · CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,817.6696

F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award.

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April 03, 2019 Filed Apr 5, 2019 20:15 UTC
Harris AngeleeEVP, GENERAL COUNSEL
Tax withholdingCommon Stock 562 $14.12 $7,935.44
Disclosure

SEC source: 0001415889-19-000440 · form4-04052019_040402.xml · nonDerivative · entry 1

Harris Angelee · CIK 0001316204 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,729.3861

F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award.

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April 02, 2019 Filed Apr 4, 2019 00:01 UTC
Harris AngeleeEVP, GENERAL COUNSEL
Tax withholdingCommon Stock 1,128 $14.06 $15,859.68
Disclosure

SEC source: 0001415889-19-000438 · form4-04032019_050429.xml · nonDerivative · entry 3

Harris Angelee · CIK 0001316204 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,291.3861

F2 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award.

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April 02, 2019 Filed Apr 3, 2019 23:53 UTC
Gagnon KrisCHIEF CREDIT OFFICER
Tax withholdingCommon Stock 3,584 $14.06 $50,391.04
Disclosure

SEC source: 0001415889-19-000437 · form4-04032019_040440.xml · nonDerivative · entry 1

Gagnon Kris · CIK 0001731617 · CHIEF CREDIT OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,142

F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award.

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April 02, 2019 Filed Apr 3, 2019 23:51 UTC
Boyle Hugh FCHIEF RISK OFFICER
Tax withholdingCommon Stock 1,213 $14.06 $17,054.78
Disclosure

SEC source: 0001415889-19-000436 · form4-04032019_040433.xml · nonDerivative · entry 2

Boyle Hugh F · CIK 0001568582 · CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,433.6696

F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award.

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April 01, 2019 Filed Apr 4, 2019 00:01 UTC
Harris AngeleeEVP, GENERAL COUNSEL
Tax withholdingCommon Stock 381 $13.84 $5,273.04
Disclosure

SEC source: 0001415889-19-000438 · form4-04032019_050429.xml · nonDerivative · entry 2

Harris Angelee · CIK 0001316204 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,419.3861

F2 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award.

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April 01, 2019 Filed Apr 4, 2019 00:01 UTC
Harris AngeleeEVP, GENERAL COUNSEL
GrantCommon Stock 5,396 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000438 · form4-04032019_050429.xml · nonDerivative · entry 1

Harris Angelee · CIK 0001316204 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,800.3861

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 April 1, 2020.

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April 01, 2019 Filed Apr 3, 2019 23:51 UTC
Boyle Hugh FCHIEF RISK OFFICER
Tax withholdingCommon Stock 868 $13.84 $12,013.12
Disclosure

SEC source: 0001415889-19-000436 · form4-04032019_040433.xml · nonDerivative · entry 1

Boyle Hugh F · CIK 0001568582 · CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,646.6696

F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.