Tapewire

NYSE · USD

CNO

CNO Financial Group, Inc.

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Tapewire entity
576
SEC CIK
0001224608
Parsed reports
565

Last 12 months

Inside the activity.

0 purchase rows · 34 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202503
Dec 202502
Jan 202601
Feb 202608
Mar 202602
Apr 202600
May 202600
Jun 202605
Jul 202601
Aug 202604
Sep 202608
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
August 20, 2021 Filed Feb 9, 2022 16:09 UTC GiftCommon Stock 1,275 $0.00 $0.00
Disclosure

SEC source: 0001062993-22-003313 · form5.xml · nonDerivative · entry 1

Sievert Frederick James · CIK 0001483074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,021

Read SEC document
August 16, 2021 Filed Aug 18, 2021 20:08 UTC GrantCommon Stock 3,500 $23.69 $82,914.65
Disclosure

SEC source: 0001757201-21-000083 · edgar.xml · nonDerivative · entry 1

Shebik Steven E · CIK 0001544064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,222

Read SEC document
August 16, 2021 Filed Aug 18, 2021 20:40 UTC Amendment PurchaseCommon Stock 3,500 $23.69 $82,914.65
Disclosure

SEC source: 0001757201-21-000085 · edgar.xml · nonDerivative · entry 1

Shebik Steven E · CIK 0001544064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,222

F1 · kind: This amendment corrects the transaction code.

Read SEC document
June 18, 2021 Filed Jun 22, 2021 21:22 UTC
KLINE JOHN RSVP & Chief Acctg Officer
Tax withholdingRestricted Stock Units 63 $22.59 $1,423.17
Disclosure

SEC source: 0001104659-21-084211 · tm2120414-1_4seq1.xml · nonDerivative · entry 1

KLINE JOHN R · CIK 0001256029 · SVP & Chief Acctg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,414

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on restricted stock units.

Read SEC document
May 18, 2021 Filed May 19, 2021 20:31 UTC SaleCommon Stock 10,868 $27.68 $300,826.24
Disclosure

SEC source: 0001757201-21-000081 · edgar.xml · nonDerivative · entry 2

GREVING ROBERT C · CIK 0001200297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,224

Read SEC document
May 17, 2021 Filed May 19, 2021 20:31 UTC SaleCommon Stock 10,000 $27.56 $275,618.00
Disclosure

SEC source: 0001757201-21-000081 · edgar.xml · nonDerivative · entry 1

GREVING ROBERT C · CIK 0001200297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,092

F1 · price: Sale at prices ranging from $27.56 per share to $27.605 per share. Reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer, or any security holder of the issuer.

Read SEC document
May 12, 2021 Filed May 13, 2021 21:47 UTC
Bhojwani Gary C.Director · Chief Executive Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 35,433 $0.00 Strike: $18.43 $0.00
Disclosure

SEC source: 0001757201-21-000079 · edgar.xml · derivative · entry 9

Bhojwani Gary C · CIK 0001614708 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,433 shares

Expires 2026-05-05

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.

F2 · derivative.exercise_date: One-half of these options vested on May 5, 2018 and one-half vested on May 5, 2019.

Read SEC document
May 12, 2021 Filed May 13, 2021 21:47 UTC
Bhojwani Gary C.Director · Chief Executive Officer
SaleCommon Stock 35,433 $26.89 $952,690.61
Disclosure

SEC source: 0001757201-21-000079 · edgar.xml · nonDerivative · entry 4

Bhojwani Gary C · CIK 0001614708 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,104

F3 · price: Sales at prices ranging from $26.75 per share to $27.12 per share. Reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer, or any security holder of the issuer.

Read SEC document
May 12, 2021 Filed May 13, 2021 21:47 UTC
Bhojwani Gary C.Director · Chief Executive Officer
Exercise / conversionCommon Stock 35,433 $18.43 $653,030.19
Disclosure

SEC source: 0001757201-21-000079 · edgar.xml · nonDerivative · entry 3

Bhojwani Gary C · CIK 0001614708 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,537

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
May 11, 2021 Filed May 12, 2021 16:09 UTC GiftCommon Stock 2,000 $0.00 $0.00
Disclosure

SEC source: 0001757201-21-000061 · edgar.xml · nonDerivative · entry 2

Sievert Frederick James · CIK 0001483074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,296

Read SEC document
May 11, 2021 Filed May 13, 2021 21:47 UTC
Bhojwani Gary C.Director · Chief Executive Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 55,167 $0.00 Strike: $18.43 $0.00
Disclosure

SEC source: 0001757201-21-000079 · edgar.xml · derivative · entry 8

Bhojwani Gary C · CIK 0001614708 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,433

Underlying: Common Stock · 55,167 shares

Expires 2026-05-05

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.

F2 · derivative.exercise_date: One-half of these options vested on May 5, 2018 and one-half vested on May 5, 2019.

Read SEC document
May 11, 2021 Filed May 13, 2021 21:47 UTC
Bhojwani Gary C.Director · Chief Executive Officer
SaleCommon Stock 55,167 $27.02 $1,490,606.82
Disclosure

SEC source: 0001757201-21-000079 · edgar.xml · nonDerivative · entry 2

Bhojwani Gary C · CIK 0001614708 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,104

F1 · price: Sales at prices ranging from $27.00 per share to $27.17 per share. Reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer, or any security holder of the issuer.

Read SEC document
May 11, 2021 Filed May 13, 2021 21:47 UTC
Bhojwani Gary C.Director · Chief Executive Officer
Exercise / conversionCommon Stock 55,167 $18.43 $1,016,727.81
Disclosure

SEC source: 0001757201-21-000079 · edgar.xml · nonDerivative · entry 1

Bhojwani Gary C · CIK 0001614708 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,271

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
May 10, 2021 Filed May 12, 2021 16:58 UTC GrantCommon Stock 5,291 $27.22 $144,021.02
Disclosure

SEC source: 0001757201-21-000073 · edgar.xml · nonDerivative · entry 1

DAVID STEPHEN N · CIK 0001180779 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,217

F1 · shares: Award of immediately vesting restricted stock units under the CNO Financial Group, Inc. Amended and Restated Long-Term Incentive Plan.

Read SEC document
May 10, 2021 Filed May 12, 2021 16:09 UTC GrantCommon Stock 5,291 $27.22 $144,021.02
Disclosure

SEC source: 0001757201-21-000061 · edgar.xml · nonDerivative · entry 1

Sievert Frederick James · CIK 0001483074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,296

F1 · shares: Award of immediately vesting restricted stock units under the CNO Financial Group, Inc. Amended and Restated Long-Term Incentive Plan.

Read SEC document
May 10, 2021 Filed May 12, 2021 20:31 UTC GrantCommon Stock 8,818 $27.22 $240,025.96
Disclosure

SEC source: 0001757201-21-000065 · edgar.xml · nonDerivative · entry 1

Maurer Dan · CIK 0001357401 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,314

F1 · shares: Award of immediately vesting restricted stock units under the CNO Financial Group, Inc. Amended and Restated Long-Term Incentive Plan.

Read SEC document
May 10, 2021 Filed May 12, 2021 17:00 UTC GrantCommon Stock 5,291 $27.22 $144,021.02
Disclosure

SEC source: 0001757201-21-000075 · edgar.xml · nonDerivative · entry 1

Brown Ellyn L · CIK 0001354531 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,059

F1 · shares: Award of immediately vesting restricted stock units under the CNO Financial Group, Inc. Amended and Restated Long-Term Incentive Plan.

Read SEC document
May 10, 2021 Filed May 12, 2021 16:36 UTC GrantCommon Stock 5,291 $27.22 $144,021.02
Disclosure

SEC source: 0001757201-21-000067 · edgar.xml · nonDerivative · entry 1

HENDERSON MARY R · CIK 0001243116 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,180

F1 · shares: Award of immediately vesting restricted stock units under the CNO Financial Group, Inc. Amended and Restated Long-Term Incentive Plan.

Read SEC document
May 10, 2021 Filed May 12, 2021 21:16 UTC GrantCommon Stock 5,291 $27.22 $144,021.02
Disclosure

SEC source: 0001757201-21-000077 · edgar.xml · nonDerivative · entry 1

Ragavan Chetlur S · CIK 0001596066 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,291

F1 · shares: Award of immediately vesting restricted stock units under the CNO Financial Group, Inc. Amended and Restated Long-Term Incentive Plan.

Read SEC document
May 10, 2021 Filed May 12, 2021 20:55 UTC
Foss David BDirector
GrantCommon Stock 5,291 $27.22 $144,021.02
Disclosure

SEC source: 0001757201-21-000071 · edgar.xml · nonDerivative · entry 1

Foss David B · CIK 0001610501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,691

F1 · shares: Award of immediately vesting restricted stock units under the CNO Financial Group, Inc. Amended and Restated Long-Term Incentive Plan.

Read SEC document
May 10, 2021 Filed May 12, 2021 20:50 UTC GrantCommon Stock 5,291 $27.22 $144,021.02
Disclosure

SEC source: 0001757201-21-000069 · edgar.xml · nonDerivative · entry 1

GREVING ROBERT C · CIK 0001200297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,092

F1 · shares: Award of immediately vesting restricted stock units under the CNO Financial Group, Inc. Amended and Restated Long-Term Incentive Plan.

Read SEC document
May 10, 2021 Filed May 12, 2021 20:24 UTC GrantCommon Stock 5,291 $27.22 $144,021.02
Disclosure

SEC source: 0001757201-21-000063 · edgar.xml · nonDerivative · entry 1

Shebik Steven E · CIK 0001544064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,722

F1 · shares: Award of immediately vesting restricted stock units under the CNO Financial Group, Inc. Amended and Restated Long-Term Incentive Plan.

Read SEC document
April 01, 2021 Filed Apr 5, 2021 20:49 UTC
Tarasi Rocco F. IIIChief Marketing Officer
Tax withholdingCommon Stock 349 $24.89 $8,686.61
Disclosure

SEC source: 0001757201-21-000057 · edgar.xml · nonDerivative · entry 1

TARASI ROCCO F III · CIK 0001571578 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,648

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on vesting of restricted stock units.

Read SEC document
April 01, 2021 Filed Apr 5, 2021 20:46 UTC
McDonough Paul H.Chief Financial Officer
Tax withholdingCommon Stock 1,897 $24.89 $47,216.33
Disclosure

SEC source: 0001757201-21-000056 · edgar.xml · nonDerivative · entry 1

McDonough Paul H. · CIK 0001328599 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,860.077

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on restricted stock units.

Read SEC document
March 25, 2021 Filed Mar 29, 2021 18:57 UTC
Zimpfer Matthew J.EVP and General Counsel
Tax withholdingCommon Stock 9,924 $24.78 $245,916.72
Disclosure

SEC source: 0001757201-21-000049 · edgar.xml · nonDerivative · entry 1

Zimpfer Matthew J. · CIK 0001438233 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,235

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on vesting of restricted stock units.

Read SEC document
March 25, 2021 Filed Mar 29, 2021 18:38 UTC
Johnson Eric R.EVP, Chief Investment Officer
Tax withholdingCommon Stock 3,714 $24.78 $92,032.92
Disclosure

SEC source: 0001757201-21-000040 · edgar.xml · nonDerivative · entry 1

JOHNSON ERIC R · CIK 0001263874 · EVP, Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,789

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on vesting of restricted stock units.

Read SEC document
March 25, 2021 Filed Mar 29, 2021 22:56 UTC
Tarasi Rocco F. IIIChief Marketing Officer
Tax withholdingCommon Stock 1,386 $24.78 $34,345.08
Disclosure

SEC source: 0001757201-21-000048 · edgar.xml · nonDerivative · entry 1

TARASI ROCCO F III · CIK 0001571578 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,997

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on vesting of restricted stock units.

Read SEC document
March 25, 2021 Filed Mar 29, 2021 22:55 UTC
KLINE JOHN RSVP & Chief Acctg Officer
Tax withholdingCommon Stock 874 $24.78 $21,657.72
Disclosure

SEC source: 0001757201-21-000047 · edgar.xml · nonDerivative · entry 1

KLINE JOHN R · CIK 0001256029 · SVP & Chief Acctg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,477

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on vesting of restricted stock units.

Read SEC document
March 25, 2021 Filed Mar 29, 2021 22:46 UTC
Heard Michael D.Co-President, Worksite
Tax withholdingCommon Stock 2,018 $24.78 $50,006.04
Disclosure

SEC source: 0001757201-21-000046 · edgar.xml · nonDerivative · entry 1

Heard Michael D. · CIK 0001740580 · Co-President, Worksite

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,007

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on vesting of restricted stock units.

Read SEC document
March 25, 2021 Filed Mar 29, 2021 22:43 UTC
DeToro Karen J.Chief Actuary
Tax withholdingCommon Stock 977 $24.78 $24,210.06
Disclosure

SEC source: 0001757201-21-000044 · edgar.xml · nonDerivative · entry 1

DeToro Karen · CIK 0001789577 · Chief Actuary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,435

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on vesting of restricted stock units.

Read SEC document
March 25, 2021 Filed Mar 29, 2021 22:45 UTC
Franzese Yvonne K.EVP and Chief HR Officer
Tax withholdingCommon Stock 2,506 $24.78 $62,098.68
Disclosure

SEC source: 0001757201-21-000045 · edgar.xml · nonDerivative · entry 1

Franzese Yvonne K · CIK 0001709782 · EVP and Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,822

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on vesting of restricted stock units.

Read SEC document
March 25, 2021 Filed Mar 29, 2021 22:42 UTC
Baude Bruce K.EVP, Chief Ops & Tech Officer
Tax withholdingCommon Stock 5,544 $24.78 $137,380.32
Disclosure

SEC source: 0001757201-21-000043 · edgar.xml · nonDerivative · entry 1

Baude Bruce K. · CIK 0001555051 · EVP, Chief Ops & Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,217

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on vesting of restricted stock units.

Read SEC document
March 25, 2021 Filed Mar 29, 2021 22:40 UTC
Bhojwani Gary C.Director · Chief Executive Officer
Tax withholdingCommon Stock 50,839 $24.78 $1,259,790.42
Disclosure

SEC source: 0001757201-21-000042 · edgar.xml · nonDerivative · entry 1

Bhojwani Gary C · CIK 0001614708 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,473

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on vesting of restricted stock units.

Read SEC document
March 25, 2021 Filed Mar 29, 2021 22:36 UTC
Goldberg Scott L.President, Consumer Division
Tax withholdingCommon Stock 6,248 $24.78 $154,825.44
Disclosure

SEC source: 0001757201-21-000039 · edgar.xml · nonDerivative · entry 1

Goldberg Scott L. · CIK 0001740471 · President, Consumer Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,854

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on vesting of restricted stock units.

Read SEC document
March 25, 2021 Filed Mar 29, 2021 22:33 UTC
McDonough Paul H.Chief Financial Officer
Tax withholdingCommon Stock 2,439 $24.78 $60,438.42
Disclosure

SEC source: 0001757201-21-000037 · edgar.xml · nonDerivative · entry 1

McDonough Paul H. · CIK 0001328599 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,757.077

F1 · shares: Shares were surrendered to CNO Financial Group, Inc. to cover required tax withholding on restricted stock units.

Read SEC document
March 17, 2021 Filed Mar 18, 2021 16:13 UTC SaleCommon Stock 7,474 $25.91 $193,626.68
Disclosure

SEC source: 0001757201-21-000035 · edgar.xml · nonDerivative · entry 2

Jacklin Charles J. · CIK 0001640231 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Jacklin Family Trust

Disclosed balance after: 26,220

F1 · price: Sales at prices ranging from $25.85 per share to $26.00 per share. The reporting person will provide full information regarding the number of shares sold at each separate price upon request from the SEC staff, the issuer or any security holder of the issuer.

Read SEC document
March 16, 2021 Filed Mar 18, 2021 16:13 UTC SaleCommon Stock 2,700 $25.81 $69,687.00
Disclosure

SEC source: 0001757201-21-000035 · edgar.xml · nonDerivative · entry 1

Jacklin Charles J. · CIK 0001640231 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Jacklin Family Trust

Disclosed balance after: 33,694

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:32 UTC
Heard Michael D.Co-President, Worksite
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 12,710 $0.00 Strike: $19.15 $0.00
Disclosure

SEC source: 0001757201-21-000033 · edgar.xml · derivative · entry 3

Heard Michael D. · CIK 0001740580 · Co-President, Worksite

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 12,710 shares

Expires 2021-03-20

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.

F2 · derivative.exercise_date: One-half of these options vested on March 20, 2016 and the other one-half vested on March 20, 2017.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:32 UTC
Heard Michael D.Co-President, Worksite
SaleCommon Stock 12,710 $25.38 $322,625.56
Disclosure

SEC source: 0001757201-21-000033 · edgar.xml · nonDerivative · entry 2

Heard Michael D. · CIK 0001740580 · Co-President, Worksite

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,025

F1 · price: Sales at prices ranging from $25.37 per share to $25.41 per share. The reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer or any security holder of the issuer.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:32 UTC
Heard Michael D.Co-President, Worksite
Exercise / conversionCommon Stock 12,710 $19.15 $243,396.50
Disclosure

SEC source: 0001757201-21-000033 · edgar.xml · nonDerivative · entry 1

Heard Michael D. · CIK 0001740580 · Co-President, Worksite

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,735

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 25, 2021 Filed Mar 1, 2021 19:11 UTC
Zimpfer Matthew J.EVP and General Counsel
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 51,290 $0.00 Strike: $16.42 $0.00
Disclosure

SEC source: 0001757201-21-000025 · edgar.xml · derivative · entry 4

Zimpfer Matthew J. · CIK 0001438233 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 51,290 shares

Expires 2025-02-25

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.

F3 · derivative.exercise_date: One-half of these options vested on February 25, 2017 and one-half vested on February 25, 2018.

Read SEC document
February 25, 2021 Filed Mar 1, 2021 19:11 UTC
Zimpfer Matthew J.EVP and General Counsel
SaleCommon Stock 2,200 $25.58 $56,272.04
Disclosure

SEC source: 0001757201-21-000025 · edgar.xml · nonDerivative · entry 3

Zimpfer Matthew J. · CIK 0001438233 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,159

F2 · price: Sales at prices ranging from $25.50 per share to $25.62 per share. The reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer or any security holder of the issuer.

Read SEC document
February 25, 2021 Filed Mar 1, 2021 19:11 UTC
Zimpfer Matthew J.EVP and General Counsel
SaleCommon Stock 49,090 $24.84 $1,219,523.23
Disclosure

SEC source: 0001757201-21-000025 · edgar.xml · nonDerivative · entry 2

Zimpfer Matthew J. · CIK 0001438233 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,359

F1 · price: Sales at prices ranging from $24.48 per share to $25.44 per share. The reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer or any security holder of the issuer.

Read SEC document
February 25, 2021 Filed Mar 1, 2021 19:11 UTC
Zimpfer Matthew J.EVP and General Counsel
Exercise / conversionCommon Stock 51,290 $16.42 $842,181.80
Disclosure

SEC source: 0001757201-21-000025 · edgar.xml · nonDerivative · entry 1

Zimpfer Matthew J. · CIK 0001438233 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,449

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 25, 2021 Filed Mar 1, 2021 19:15 UTC
Johnson Eric R.EVP, Chief Investment Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 43,470 $0.00 Strike: $19.15 $0.00
Disclosure

SEC source: 0001757201-21-000029 · edgar.xml · derivative · entry 4

JOHNSON ERIC R · CIK 0001263874 · EVP, Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 43,470 shares

Expires 2021-03-20

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.

F3 · derivative.exercise_date: One-half of these options vested on March 20, 2016 and one-half vested on March 20, 2017.

Read SEC document
February 25, 2021 Filed Mar 1, 2021 19:15 UTC
Johnson Eric R.EVP, Chief Investment Officer
SaleCommon Stock 840 $25.32 $21,265.78
Disclosure

SEC source: 0001757201-21-000029 · edgar.xml · nonDerivative · entry 3

JOHNSON ERIC R · CIK 0001263874 · EVP, Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,503

F2 · price: Sales at prices ranging from $25.29 per share to $25.36 per share. Reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer or any security holder of the issuer.

Read SEC document
February 25, 2021 Filed Mar 1, 2021 19:15 UTC
Johnson Eric R.EVP, Chief Investment Officer
SaleCommon Stock 42,630 $24.63 $1,050,045.11
Disclosure

SEC source: 0001757201-21-000029 · edgar.xml · nonDerivative · entry 2

JOHNSON ERIC R · CIK 0001263874 · EVP, Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 505,343

F1 · price: Sales at prices ranging from $24.29 per share to $25.27 per share. Reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer or any security holder of the issuer.

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February 25, 2021 Filed Mar 1, 2021 19:15 UTC
Johnson Eric R.EVP, Chief Investment Officer
Exercise / conversionCommon Stock 43,470 $19.15 $832,450.50
Disclosure

SEC source: 0001757201-21-000029 · edgar.xml · nonDerivative · entry 1

JOHNSON ERIC R · CIK 0001263874 · EVP, Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 547,973

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.

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February 25, 2021 Filed Mar 2, 2021 00:18 UTC
Baude Bruce K.EVP, Chief Ops & Tech Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 51,290 $0.00 Strike: $16.42 $0.00
Disclosure

SEC source: 0001757201-21-000031 · edgar.xml · derivative · entry 5

Baude Bruce K. · CIK 0001555051 · EVP, Chief Ops & Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 51,290 shares

Expires 2025-02-25

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.

F4 · derivative.exercise_date: One-half of these options vested on February 25, 2017 and one-half vested on February 25, 2018.

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February 25, 2021 Filed Mar 2, 2021 00:18 UTC
Baude Bruce K.EVP, Chief Ops & Tech Officer
SaleCommon Stock 11,201 $25.02 $280,198.62
Disclosure

SEC source: 0001757201-21-000031 · edgar.xml · nonDerivative · entry 4

Baude Bruce K. · CIK 0001555051 · EVP, Chief Ops & Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,761

F3 · price: Sales at prices ranging from $24.62 per share to $25.62 per share. The reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer or any security holder of the issuer.

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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.