Last 12 months
Inside the activity.
0 purchase rows · 163 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 | 87 |
| Feb 2026 | 0 | 46 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 4 |
| May 2026 | 0 | 20 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 2 |
| Aug 2026 | 0 | 4 |
| Sep 2026 | 0 | 0 |
| 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 |
|---|---|---|---|---|---|---|
| January 26, 2016 Filed Jan 28, 2016 19:59 UTC |
Schwartz MarkVice Chairman
|
Exercise / conversionRestricted Stock Units · Derivative | 55,874 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001149 · ownershipdoc01252016063410.xml · derivative · entry 5 Schwartz Mark · CIK 0001362576 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 55,874 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.exercise_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.expiration_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 19:59 UTC |
Schwartz MarkVice Chairman
|
Tax withholdingCommon Stock, par value $0.01 per share | 24,579 | $151.12 | $3,714,378.48 |
DisclosureSEC source: 0000769993-16-001149 · ownershipdoc01252016063410.xml · nonDerivative · entry 2 Schwartz Mark · CIK 0001362576 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,008,056 F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 19:59 UTC |
Schwartz MarkVice Chairman
|
Exercise / conversionCommon Stock, par value $0.01 per share | 55,874 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001149 · ownershipdoc01252016063410.xml · nonDerivative · entry 1 Schwartz Mark · CIK 0001362576 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,032,635 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:00 UTC |
SHERWOOD MICHAEL SVice Chairman
|
Exercise / conversionRestricted Stock Units · Derivative | 77,276 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001151 · ownershipdoc01252016063410.xml · derivative · entry 4 SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 77,276 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.exercise_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.expiration_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:00 UTC |
SHERWOOD MICHAEL SVice Chairman
|
Tax withholdingCommon Stock, par value $0.01 per share | 36,322 | $151.12 | $5,488,980.64 |
DisclosureSEC source: 0000769993-16-001151 · ownershipdoc01252016063410.xml · nonDerivative · entry 2 SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,358 F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:00 UTC |
SHERWOOD MICHAEL SVice Chairman
|
Exercise / conversionCommon Stock, par value $0.01 per share | 77,276 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001151 · ownershipdoc01252016063410.xml · nonDerivative · entry 1 SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,680 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:02 UTC |
COOPER EDITH WEVP, Global Head of HCM
|
Exercise / conversionRestricted Stock Units · Derivative | 23,598 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001153 · ownershipdoc01252016063410.xml · derivative · entry 4 COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 23,598 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.exercise_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.expiration_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:02 UTC |
COOPER EDITH WEVP, Global Head of HCM
|
Tax withholdingCommon Stock, par value $0.01 per share | 11,617 | $151.12 | $1,755,561.04 |
DisclosureSEC source: 0000769993-16-001153 · ownershipdoc01252016063410.xml · nonDerivative · entry 2 COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,984 F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:02 UTC |
COOPER EDITH WEVP, Global Head of HCM
|
Exercise / conversionCommon Stock, par value $0.01 per share | 23,598 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001153 · ownershipdoc01252016063410.xml · nonDerivative · entry 1 COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,601 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:03 UTC |
PALM GREGORY KExecutive VP - General Counsel
|
Exercise / conversionRestricted Stock Units · Derivative | 27,965 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001155 · ownershipdoc01252016063410.xml · derivative · entry 5 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 27,965 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.exercise_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.expiration_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:03 UTC |
PALM GREGORY KExecutive VP - General Counsel
|
Tax withholdingCommon Stock, par value $0.01 per share | 14,954 | $151.12 | $2,259,848.48 |
DisclosureSEC source: 0000769993-16-001155 · ownershipdoc01252016063410.xml · nonDerivative · entry 2 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 921,505 F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:03 UTC |
PALM GREGORY KExecutive VP - General Counsel
|
Exercise / conversionCommon Stock, par value $0.01 per share | 27,965 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001155 · ownershipdoc01252016063410.xml · nonDerivative · entry 1 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 936,459 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:04 UTC |
ROGERS JOHN F.W.EVP-Chief of Staff & Secretary
|
Exercise / conversionRestricted Stock Units · Derivative | 27,151 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001157 · ownershipdoc01252016063410.xml · derivative · entry 4 ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 27,151 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.exercise_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.expiration_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:04 UTC |
ROGERS JOHN F.W.EVP-Chief of Staff & Secretary
|
Tax withholdingCommon Stock, par value $0.01 per share | 13,365 | $151.12 | $2,019,718.80 |
DisclosureSEC source: 0000769993-16-001157 · ownershipdoc01252016063410.xml · nonDerivative · entry 2 ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,358 F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:04 UTC |
ROGERS JOHN F.W.EVP-Chief of Staff & Secretary
|
Exercise / conversionCommon Stock, par value $0.01 per share | 27,151 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001157 · ownershipdoc01252016063410.xml · nonDerivative · entry 1 ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,723 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:05 UTC |
SMITH SARAH GPrincipal Accounting Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 32,961 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001159 · ownershipdoc01252016063410.xml · derivative · entry 4 SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 32,961 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.exercise_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.expiration_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:05 UTC |
SMITH SARAH GPrincipal Accounting Officer
|
Tax withholdingCommon Stock, par value $0.01 per share | 17,626 | $151.12 | $2,663,641.12 |
DisclosureSEC source: 0000769993-16-001159 · ownershipdoc01252016063410.xml · nonDerivative · entry 2 SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,287 F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:05 UTC |
SMITH SARAH GPrincipal Accounting Officer
|
Exercise / conversionCommon Stock, par value $0.01 per share | 32,961 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001159 · ownershipdoc01252016063410.xml · nonDerivative · entry 1 SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,913 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:23 UTC |
VINIAR DAVID ADirector
|
Exercise / conversionRestricted Stock Units · Derivative | 28,379 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001162 · ownershipdoc01252016063410.xml · derivative · entry 5 VINIAR DAVID A · CIK 0001090352 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 28,379 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs"), which were awarded in connection with compensation for years prior to 2015 in connection with Mr. Viniar's former service as CFO of the Issuer, were delivered to the Reporting Person without the payment of any consideration. These shares are not related to Mr. Viniar's compensation for service as a non-employee director of the Issuer. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs"), which were awarded in connection with compensation for years prior to 2015 in connection with Mr. Viniar's former service as CFO of the Issuer, were delivered to the Reporting Person without the payment of any consideration. These shares are not related to Mr. Viniar's compensation for service as a non-employee director of the Issuer. F1 · derivative.exercise_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs"), which were awarded in connection with compensation for years prior to 2015 in connection with Mr. Viniar's former service as CFO of the Issuer, were delivered to the Reporting Person without the payment of any consideration. These shares are not related to Mr. Viniar's compensation for service as a non-employee director of the Issuer. F1 · derivative.expiration_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs"), which were awarded in connection with compensation for years prior to 2015 in connection with Mr. Viniar's former service as CFO of the Issuer, were delivered to the Reporting Person without the payment of any consideration. These shares are not related to Mr. Viniar's compensation for service as a non-employee director of the Issuer. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:23 UTC |
VINIAR DAVID ADirector
|
Tax withholdingCommon Stock, par value $0.01 per share | 15,012 | $151.12 | $2,268,613.44 |
DisclosureSEC source: 0000769993-16-001162 · ownershipdoc01252016063410.xml · nonDerivative · entry 2 VINIAR DAVID A · CIK 0001090352 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 764,925 F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 20:23 UTC |
VINIAR DAVID ADirector
|
Exercise / conversionCommon Stock, par value $0.01 per share | 28,379 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001162 · ownershipdoc01252016063410.xml · nonDerivative · entry 1 VINIAR DAVID A · CIK 0001090352 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 779,937 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs"), which were awarded in connection with compensation for years prior to 2015 in connection with Mr. Viniar's former service as CFO of the Issuer, were delivered to the Reporting Person without the payment of any consideration. These shares are not related to Mr. Viniar's compensation for service as a non-employee director of the Issuer. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 19:10 UTC |
BLANKFEIN LLOYD CDirector · Chairman of the Board and CEO
|
GrantYear-End Restricted Stock Units · Derivative | 48,467 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001104 · ownershipdoc01182016044150.xml · derivative · entry 1 BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,467 Underlying: Common Stock, par value $0.01 per share · 48,467 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2015; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2015; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2015; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 19:11 UTC |
COHN GARY DDirector · President and COO
|
GrantYear-End Restricted Stock Units · Derivative | 44,198 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001105 · ownershipdoc01182016044150.xml · derivative · entry 1 COHN GARY D · CIK 0001366945 · Director · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,198 Underlying: Common Stock, par value $0.01 per share · 44,198 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2015; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2015; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2015; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 19:11 UTC |
SCHWARTZ HARVEY MExecutive Vice President - CFO
|
GrantYear-End Restricted Stock Units · Derivative | 44,198 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001106 · ownershipdoc01182016044150.xml · derivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,198 Underlying: Common Stock, par value $0.01 per share · 44,198 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2015; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2015; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2015; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 19:12 UTC |
Schwartz MarkVice Chairman
|
GrantYear-End Restricted Stock Units · Derivative | 74,547 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001107 · ownershipdoc01182016044150.xml · derivative · entry 1 Schwartz Mark · CIK 0001362576 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,547 Underlying: Common Stock, par value $0.01 per share · 74,547 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 19:13 UTC |
SHERWOOD MICHAEL SVice Chairman
|
GrantFixed Allowance Restricted Stock Units · Derivative | 35,642 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001108 · ownershipdoc01182016044150.xml · derivative · entry 2 SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,396 Underlying: Common Stock, par value $0.01 per share · 35,642 shares Expires not disclosed F2 · derivative.exercise_price: These RSUs represent approximately 48% of the Reporting Person's fixed allowance for 2015, with the remainder being paid in cash. The shares of common stock underlying these RSUs will be delivered on the same schedule and have the same transfer restrictions as the equity described in footnote (1). F2 · derivative.exercise_date: These RSUs represent approximately 48% of the Reporting Person's fixed allowance for 2015, with the remainder being paid in cash. The shares of common stock underlying these RSUs will be delivered on the same schedule and have the same transfer restrictions as the equity described in footnote (1). F2 · derivative.expiration_date: These RSUs represent approximately 48% of the Reporting Person's fixed allowance for 2015, with the remainder being paid in cash. The shares of common stock underlying these RSUs will be delivered on the same schedule and have the same transfer restrictions as the equity described in footnote (1). Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 19:13 UTC |
SHERWOOD MICHAEL SVice Chairman
|
GrantYear-End Restricted Stock Units · Derivative | 52,754 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001108 · ownershipdoc01182016044150.xml · derivative · entry 1 SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,754 Underlying: Common Stock, par value $0.01 per share · 52,754 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2015 year-end Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2015 year-end Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2015 year-end Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 19:13 UTC |
COHEN ALAN MEVP, Global Head of Compliance
|
GrantYear-End Restricted Stock Units · Derivative | 24,531 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001109 · ownershipdoc01182016044150.xml · derivative · entry 1 COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,531 Underlying: Common Stock, par value $0.01 per share · 24,531 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 19:14 UTC |
COOPER EDITH WEVP, Global Head of HCM
|
GrantYear-End Restricted Stock Units · Derivative | 24,531 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001110 · ownershipdoc01182016044150.xml · derivative · entry 1 COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,531 Underlying: Common Stock, par value $0.01 per share · 24,531 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 19:14 UTC |
PALM GREGORY KExecutive VP - General Counsel
|
GrantYear-End Restricted Stock Units · Derivative | 31,850 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001111 · ownershipdoc01182016044150.xml · derivative · entry 1 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,850 Underlying: Common Stock, par value $0.01 per share · 31,850 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 19:15 UTC |
ROGERS JOHN F.W.EVP-Chief of Staff & Secretary
|
GrantYear-End Restricted Stock Units · Derivative | 35,807 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001112 · ownershipdoc01182016044150.xml · derivative · entry 1 ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,807 Underlying: Common Stock, par value $0.01 per share · 35,807 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 19:16 UTC |
SMITH SARAH GPrincipal Accounting Officer
|
GrantYear-End Restricted Stock Units · Derivative | 33,828 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001113 · ownershipdoc01182016044150.xml · derivative · entry 1 SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,828 Underlying: Common Stock, par value $0.01 per share · 33,828 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 21:32 UTC |
BURNS M MICHELEDirector
|
GrantRestricted Stock Units · Derivative | 3,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001127 · ownershipdoc01182016044150.xml · derivative · entry 1 BURNS M MICHELE · CIK 0001197664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,587 Underlying: Common Stock, par value $0.01 per share · 3,298 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 21:32 UTC |
Flaherty Mark A.Director
|
GrantRestricted Stock Units · Derivative | 3,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001128 · ownershipdoc01182016044150.xml · derivative · entry 1 Flaherty Mark A. · CIK 0001520700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,536 Underlying: Common Stock, par value $0.01 per share · 3,298 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 21:33 UTC |
GEORGE WILLIAM WDirector
|
GrantRestricted Stock Units · Derivative | 3,793 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001129 · ownershipdoc01182016044150.xml · derivative · entry 1 GEORGE WILLIAM W · CIK 0001145149 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,388 Underlying: Common Stock, par value $0.01 per share · 3,793 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 21:33 UTC |
JOHNSON JAMES A /DC/Director
|
GrantRestricted Stock Units · Derivative | 3,958 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001130 · ownershipdoc01182016044150.xml · derivative · entry 1 JOHNSON JAMES A /DC/ · CIK 0001126949 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,717 Underlying: Common Stock, par value $0.01 per share · 3,958 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 21:33 UTC |
MITTAL LAKSHMI NDirector
|
GrantRestricted Stock Units · Derivative | 3,793 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001131 · ownershipdoc01182016044150.xml · derivative · entry 1 MITTAL LAKSHMI N · CIK 0001438783 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,593 Underlying: Common Stock, par value $0.01 per share · 3,793 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 21:34 UTC |
Ogunlesi Adebayo O.Director
|
GrantRestricted Stock Units · Derivative | 3,958 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001132 · ownershipdoc01182016044150.xml · derivative · entry 1 Ogunlesi Adebayo O. · CIK 0001481450 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,812 Underlying: Common Stock, par value $0.01 per share · 3,958 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 21:34 UTC |
OPPENHEIMER PETERDirector
|
GrantRestricted Stock Units · Derivative | 3,958 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001133 · ownershipdoc01182016044150.xml · derivative · entry 1 OPPENHEIMER PETER · CIK 0001214107 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,759 Underlying: Common Stock, par value $0.01 per share · 3,958 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 21:34 UTC |
Spar Debora LDirector
|
GrantRestricted Stock Units · Derivative | 3,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001134 · ownershipdoc01182016044150.xml · derivative · entry 1 Spar Debora L · CIK 0001523191 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,990 Underlying: Common Stock, par value $0.01 per share · 3,298 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 21:35 UTC |
Tucker MarkDirector
|
GrantRestricted Stock Units · Derivative | 3,793 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001135 · ownershipdoc01182016044150.xml · derivative · entry 1 Tucker Mark · CIK 0001498305 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,109 Underlying: Common Stock, par value $0.01 per share · 3,793 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 21:35 UTC |
VINIAR DAVID ADirector
|
GrantRestricted Stock Units · Derivative | 3,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001136 · ownershipdoc01182016044150.xml · derivative · entry 1 VINIAR DAVID A · CIK 0001090352 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,895 Underlying: Common Stock, par value $0.01 per share · 3,298 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units, which are being granted in connection with service on the Issuer's Board of Directors, will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units, which are being granted in connection with service on the Issuer's Board of Directors, will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units, which are being granted in connection with service on the Issuer's Board of Directors, will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. Read SEC document |
| January 21, 2016 Filed Jan 22, 2016 21:35 UTC |
Winkelman Marius ODirector
|
GrantRestricted Stock Units · Derivative | 3,793 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001137 · ownershipdoc01182016044150.xml · derivative · entry 1 Winkelman Marius O · CIK 0001627431 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,031 Underlying: Common Stock, par value $0.01 per share · 3,793 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors. Read SEC document |
| December 30, 2015 Filed Feb 12, 2016 19:00 UTC |
Flaherty Mark A.Director
|
PurchaseCommon Stock, par value $0.01 per share | 3.593 | $183.28 | $658.54 |
DisclosureSEC source: 0000899243-16-013181 · doc5.xml · nonDerivative · entry 5 Flaherty Mark A. · CIK 0001520700 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,016.732 F1 · shares: These shares were acquired under a discontinued broker dividend reinvestment program, and are being reported on this Form 5 pursuant to Rule 16a-6. Read SEC document |
| November 25, 2015 Filed Nov 25, 2015 23:43 UTC |
BLANKFEIN LLOYD CDirector · Chairman of the Board and CEO
|
Exercise / conversionNonqualified Stock Options (right to buy) · Derivative | 1,750 | $0.00 Strike: $131.64 | $0.00 |
DisclosureSEC source: 0000769993-15-001029 · ownershipdoc11242015120902.xml · derivative · entry 16 BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 1,750 shares Expires 2015-11-27 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 |
| November 25, 2015 Filed Nov 25, 2015 23:43 UTC |
BLANKFEIN LLOYD CDirector · Chairman of the Board and CEO
|
SaleCommon Stock, par value $0.01 per share | 896 | $189.38 | $169,685.82 |
DisclosureSEC source: 0000769993-15-001029 · ownershipdoc11242015120902.xml · nonDerivative · entry 11 BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,393,354 F9 · price: Reflects a weighted average sale price of $189.3815 per share, at prices ranging from $189.15 to $189.74 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| November 25, 2015 Filed Nov 25, 2015 23:43 UTC |
BLANKFEIN LLOYD CDirector · Chairman of the Board and CEO
|
SaleCommon Stock, par value $0.01 per share | 854 | $188.85 | $161,273.89 |
DisclosureSEC source: 0000769993-15-001029 · ownershipdoc11242015120902.xml · nonDerivative · entry 10 BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,394,250 F8 · price: Reflects a weighted average sale price of $188.8453 per share, at prices ranging from $188.1512 to $189.14 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| November 25, 2015 Filed Nov 25, 2015 23:43 UTC |
BLANKFEIN LLOYD CDirector · Chairman of the Board and CEO
|
Exercise / conversionCommon Stock, par value $0.01 per share | 1,750 | $131.64 | $230,370.00 |
DisclosureSEC source: 0000769993-15-001029 · ownershipdoc11242015120902.xml · nonDerivative · entry 9 BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,395,104 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2005 and scheduled to expire in November 2015. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person. Read SEC document |
| November 25, 2015 Filed Nov 25, 2015 23:44 UTC |
COHN GARY DDirector · President and COO
|
Exercise / conversionNonqualified Stock Options (right to buy) · Derivative | 13,096 | $0.00 Strike: $131.64 | $0.00 |
DisclosureSEC source: 0000769993-15-001030 · ownershipdoc07202015015846.xml · derivative · entry 17 COHN GARY D · CIK 0001366945 · Director · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 13,096 shares Expires 2015-11-27 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 |
| November 25, 2015 Filed Nov 25, 2015 23:44 UTC |
COHN GARY DDirector · President and COO
|
SaleCommon Stock, par value $0.01 per share | 6,708 | $189.38 | $1,270,371.10 |
DisclosureSEC source: 0000769993-15-001030 · ownershipdoc07202015015846.xml · nonDerivative · entry 11 COHN GARY D · CIK 0001366945 · Director · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 615,854 F9 · price: Reflects a weighted average sale price of $189.3815 per share, at prices ranging from $189.15 to $189.74 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. 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.