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MMI

Marcus & Millichap, Inc.

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4846
SEC CIK
0001578732
Parsed reports
448

Last 12 months

Inside the activity.

0 purchase rows · 2 sale rows

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

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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
February 23, 2022 Filed Feb 26, 2022 00:49 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 10,366 $47.91 $496,599.82
Disclosure

SEC source: 0001209191-22-013401 · doc4.xml · nonDerivative · entry 3

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,175

F3 · kind: Shares sold through sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended.

F4 · price: The range of prices for the shares of Common Stock is from $47.53 to $48.50. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 22:31 UTC
Parker John DavidEVP & COO - Eastern Division
Exercise / conversionRestricted Stock Units · Derivative 2,364 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-011381 · doc4.xml · derivative · entry 3

Parker John David · CIK 0001862126 · EVP & COO - Eastern Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,364 shares

Expires 2027-02-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: The restricted stock units vested in five equal annual installments beginning February 16, 2020.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 22:31 UTC
Parker John DavidEVP & COO - Eastern Division
Tax withholdingCommon Stock 966 $48.12 $46,483.92
Disclosure

SEC source: 0001209191-22-011381 · doc4.xml · nonDerivative · entry 2

Parker John David · CIK 0001862126 · EVP & COO - Eastern Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,788

F2 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on February 16, 2022.

F3 · balance_after: Includes 240 shares purchased on 11/15/2021 under the issuer's ESPP and 150 shares held in the Reporting Person's SEP/IRA account.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 22:31 UTC
Parker John DavidEVP & COO - Eastern Division
Exercise / conversionCommon Stock 2,364 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-011381 · doc4.xml · nonDerivative · entry 1

Parker John David · CIK 0001862126 · EVP & COO - Eastern Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,514

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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 17:38 UTC
Matricaria Richard D.EVP & COO - Western Division
Exercise / conversionRestricted Stock Units · Derivative 997 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-011384 · doc4.xml · derivative · entry 3

Matricaria Richard D. · CIK 0001861750 · EVP & COO - Western Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 997 shares

Expires 2027-02-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units vested in five equal annual installments beginning February 16, 2018.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 17:38 UTC
Matricaria Richard D.EVP & COO - Western Division
Tax withholdingCommon Stock 410 $48.12 $19,729.20
Disclosure

SEC source: 0001209191-22-011384 · doc4.xml · nonDerivative · entry 2

Matricaria Richard D. · CIK 0001861750 · EVP & COO - Western Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700

F2 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on February 16, 2022.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 17:38 UTC
Matricaria Richard D.EVP & COO - Western Division
Exercise / conversionCommon Stock 997 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-011384 · doc4.xml · nonDerivative · entry 1

Matricaria Richard D. · CIK 0001861750 · EVP & COO - Western Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,110

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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 22:35 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 130 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-011382 · doc4.xml · derivative · entry 3

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 130 shares

Expires 2027-02-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The restricted stock units vested in five equal annual installments beginning February 16, 2020.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 22:35 UTC
Schwarz Kurt HenryChief Accounting Officer
Tax withholdingCommon Stock 54 $48.12 $2,598.48
Disclosure

SEC source: 0001209191-22-011382 · doc4.xml · nonDerivative · entry 2

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 5,842

F3 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on February 16, 2022.

F4 · balance_after: Includes 295 shares purchased under the issuer's ESPP.

F2 · ownership.nature: Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 22:35 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionCommon Stock 130 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-011382 · doc4.xml · nonDerivative · entry 1

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 5,601

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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · ownership.nature: Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 22:29 UTC
LaBerge Gregory A.Chief Administrative Officer
Exercise / conversionRestricted Stock Units · Derivative 437 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-011380 · doc4.xml · derivative · entry 3

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 437 shares

Expires 2027-02-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units vested in five equal annual installments beginning February 16, 2020.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 22:29 UTC
LaBerge Gregory A.Chief Administrative Officer
Tax withholdingCommon Stock 180 $48.12 $8,661.60
Disclosure

SEC source: 0001209191-22-011380 · doc4.xml · nonDerivative · entry 2

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,407

F2 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on February 16, 2022.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 22:29 UTC
LaBerge Gregory A.Chief Administrative Officer
Exercise / conversionCommon Stock 437 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-011380 · doc4.xml · nonDerivative · entry 1

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,587

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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
February 10, 2022 Filed Jan 23, 2023 22:19 UTC
Parker John DavidEVP & COO - Eastern Division
GrantRestricted Stock Units · Derivative 58,788 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-004462 · doc4.xml · derivative · entry 1

Parker John David · CIK 0001862126 · EVP & COO - Eastern Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,788

Underlying: Common Stock · 58,788 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning March 10, 2023.

F2 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning March 10, 2023.

Read SEC document
February 10, 2022 Filed Jan 23, 2023 17:21 UTC
Matricaria Richard D.EVP & COO - Western Division
GrantRestricted Stock Units · Derivative 58,788 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-004465 · doc4.xml · derivative · entry 1

Matricaria Richard D. · CIK 0001861750 · EVP & COO - Western Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,788

Underlying: Common Stock · 58,788 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning March 10, 2023.

F2 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning March 10, 2023.

Read SEC document
February 10, 2022 Filed Jan 23, 2023 22:25 UTC GrantRestricted Stock Units · Derivative 44,272 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-004467 · doc4.xml · derivative · entry 1

DeGennaro Steven F. · CIK 0001821552 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,272

Underlying: Common Stock · 44,272 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning March 10, 2023.

F2 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning March 10, 2023.

Read SEC document
February 10, 2022 Filed Jan 23, 2023 22:29 UTC
Nadji HessamDirector · Chief Executive Officer
GrantRestricted Stock Units · Derivative 92,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-004470 · doc4.xml · derivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,000

Underlying: Common Stock · 92,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning March 10, 2023.

F2 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning March 10, 2023.

Read SEC document
February 10, 2022 Filed Jan 23, 2023 22:27 UTC
Schwarz Kurt HenryChief Accounting Officer
GrantRestricted Stock Units · Derivative 951 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-004469 · doc4.xml · derivative · entry 1

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 951

Underlying: Common Stock · 951 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning March 10, 2023.

F2 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning March 10, 2023.

Read SEC document
February 10, 2022 Filed Jan 23, 2023 22:22 UTC
LaBerge Gregory A.Chief Administrative Officer
GrantRestricted Stock Units · Derivative 26,766 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-004466 · doc4.xml · derivative · entry 1

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,766

Underlying: Common Stock · 26,766 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning March 10, 2023.

F2 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning March 10, 2023.

Read SEC document
November 10, 2021 Filed Nov 12, 2021 17:38 UTC
Matricaria Richard D.EVP & COO - Western Division
Exercise / conversionRestricted Stock Units · Derivative 174 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-064292 · doc4.xml · derivative · entry 3

Matricaria Richard D. · CIK 0001861750 · EVP & COO - Western Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175

Underlying: Common Stock · 174 shares

Expires 2027-11-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning November 10, 2018.

Read SEC document
November 10, 2021 Filed Nov 12, 2021 17:38 UTC
Matricaria Richard D.EVP & COO - Western Division
Tax withholdingCommon Stock 61 $47.52 $2,898.72
Disclosure

SEC source: 0001209191-21-064292 · doc4.xml · nonDerivative · entry 2

Matricaria Richard D. · CIK 0001861750 · EVP & COO - Western Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113

F2 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on November 10, 2021.

Read SEC document
November 10, 2021 Filed Nov 12, 2021 17:38 UTC
Matricaria Richard D.EVP & COO - Western Division
Exercise / conversionCommon Stock 174 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-064292 · doc4.xml · nonDerivative · entry 1

Matricaria Richard D. · CIK 0001861750 · EVP & COO - Western Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174

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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
November 02, 2021 Filed Nov 4, 2021 20:52 UTC GrantCommon Stock 831 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-062947 · doc4.xml · nonDerivative · entry 1

English Dixon Collete · CIK 0001891613 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 831

F1 · shares: The shares will vest on the date of the next Annual Meeting of the Stockholders in May 2022.

Read SEC document
September 22, 2021 Filed Feb 26, 2022 00:49 UTC
Nadji HessamDirector · Chief Executive Officer
GiftCommon Stock 644 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-013401 · doc4.xml · nonDerivative · entry 2

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,541

Read SEC document
September 13, 2021 Filed Sep 15, 2021 23:06 UTC
Parker John DavidEVP & COO - Eastern Division
SaleCommon Stock 6,358 $39.82 $253,192.73
Disclosure

SEC source: 0001209191-21-056252 · doc4.xml · nonDerivative · entry 1

Parker John David · CIK 0001862126 · EVP & COO - Eastern Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150

F1 · price: The range of prices for the shares of Common Stock is from $39.75 to $39.92. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

F2 · balance_after: Shares held in the Reporting Person's SEP/IRA Account.

Read SEC document
August 16, 2021 Filed Aug 17, 2021 17:17 UTC
Matricaria Richard D.EVP & COO - Western Division
SaleCommon Stock 2,739 $39.74 $108,838.27
Disclosure

SEC source: 0001209191-21-051944 · doc4.xml · nonDerivative · entry 1

Matricaria Richard D. · CIK 0001861750 · EVP & COO - Western Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The range of prices for the shares of Common Stock is from $39.59 to $39.98. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
August 13, 2021 Filed Aug 17, 2021 21:10 UTC
Parker John DavidEVP & COO - Eastern Division
SaleCommon Stock 2,498 $40.00 $99,924.25
Disclosure

SEC source: 0001209191-21-051934 · doc4.xml · nonDerivative · entry 1

Parker John David · CIK 0001862126 · EVP & COO - Eastern Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,508

F1 · price: The range of prices for the shares of Common Stock is from $40.00 to $40.02. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

F2 · balance_after: Includes 794 shares held in the Reporting Person's ESPP account and 150 shares held in the Reporting Person's SEP/IRA Account.

Read SEC document
August 10, 2021 Filed Aug 12, 2021 22:15 UTC Exercise / conversionRestricted Stock Units · Derivative 1,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-051253 · doc4.xml · derivative · entry 3

DeGennaro Steven F. · CIK 0001821552 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 1,500 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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning August 10, 2021.

F3 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning August 10, 2021.

Read SEC document
August 10, 2021 Filed Aug 12, 2021 22:15 UTC Tax withholdingCommon Stock 519 $39.92 $20,718.48
Disclosure

SEC source: 0001209191-21-051253 · doc4.xml · nonDerivative · entry 2

DeGennaro Steven F. · CIK 0001821552 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 981

F2 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on August 10, 2021.

Read SEC document
August 10, 2021 Filed Aug 12, 2021 22:15 UTC Exercise / conversionCommon Stock 1,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-051253 · doc4.xml · nonDerivative · entry 1

DeGennaro Steven F. · CIK 0001821552 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
August 03, 2021 Filed Aug 5, 2021 21:34 UTC GrantRestricted Stock Units · Derivative 7,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-050021 · doc4.xml · derivative · entry 1

DeGennaro Steven F. · CIK 0001821552 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning August 10, 2022.

F2 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning August 10, 2022.

Read SEC document
July 16, 2021 Filed Jul 20, 2021 20:53 UTC
MARCUS GEORGE MDirector · 10% owner
OtherCommon Stock 157,212 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-047398 · doc4.xml · nonDerivative · entry 1

MARCUS GEORGE M · CIK 0000939706 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 14,128,075

F1 · kind: Distribution by Phoenix Investments Holdings LLC ("Phoenix") to a unitholder to redeem the unitholder's membership interest in Phoenix.

F2 · ownership.nature: Mr. Marcus is the sole member and manager of Ionian Investments Manager LLC, which is the member manager of Phoenix, and prior to the reported distribution, beneficially owned 98.9% of its membership interests. Mr. Marcus has voting and investment power with respect to the shares held by Phoenix. Mr. Marcus disclaims beneficial ownership of shares held by Phoenix except to the extent of his pecuniary interest therein.

Read SEC document
July 16, 2021 Filed Jul 20, 2021 20:51 UTC OtherCommon Stock 157,212 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-047395 · doc4.xml · nonDerivative · entry 1

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,128,075

F1 · kind: Distribution by Phoenix Investments Holdings LLC ("Phoenix") to a unitholder to redeem the unitholder's membership interest in Phoenix.

Read SEC document
June 25, 2021 Filed Aug 12, 2021 00:39 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 9,184 $40.22 $369,359.36
Disclosure

SEC source: 0001209191-21-051006 · doc4.xml · nonDerivative · entry 2

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,198

F1 · kind: Shares sold through sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended, pursuant to which the broker did not provide a notice of sale until August 10, 2021.

F3 · price: The range of prices for the shares of Common Stock is from $40.04 to $40.43. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
June 24, 2021 Filed Aug 12, 2021 00:39 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 10,816 $40.11 $433,829.76
Disclosure

SEC source: 0001209191-21-051006 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,382

F1 · kind: Shares sold through sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended, pursuant to which the broker did not provide a notice of sale until August 10, 2021.

F2 · price: The range of prices for the shares of Common Stock is from $40.00 to $40.23. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Read SEC document
June 02, 2021 Filed Jun 4, 2021 17:44 UTC
Matricaria Richard D.EVP & COO - Western Division
SaleCommon Stock 3,812 $39.75 $151,524.33
Disclosure

SEC source: 0001209191-21-038337 · doc4.xml · nonDerivative · entry 1

Matricaria Richard D. · CIK 0001861750 · EVP & COO - Western Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,739

Read SEC document
June 01, 2021 Filed Jun 3, 2021 23:24 UTC SaleCommon Stock 1,402 $39.91 $55,948.21
Disclosure

SEC source: 0001209191-21-037933 · doc4.xml · nonDerivative · entry 1

Lawrence Norma J. · CIK 0001588559 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 19,893

F1 · price: The range of prices for the shares of Common Stock is from $39.90 to $39.93. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

F2 · ownership.nature: The Lawrence Family Trust dated 4/18/01 and restated 9/30/10 holds the shares and Ms. Lawrence, as trustee, may be deemed to have beneficial ownership over these shares.

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May 21, 2021 Filed May 24, 2021 21:22 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 6,096 $38.17 $232,657.50
Disclosure

SEC source: 0001209191-21-035442 · doc4.xml · nonDerivative · entry 2

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,198

F1 · kind: Shares sold through sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended.

F3 · price: The range of prices for the shares of Common Stock is from $38.00 to $38.52. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

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May 20, 2021 Filed May 24, 2021 21:22 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 5,404 $38.04 $205,566.54
Disclosure

SEC source: 0001209191-21-035442 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,294

F1 · kind: Shares sold through sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended.

F2 · price: The range of prices for the shares of Common Stock is from $38.00 to $38.17. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

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May 10, 2021 Filed May 11, 2021 23:34 UTC
LaBerge Gregory A.Chief Administrative Officer
Exercise / conversionRestricted Stock Units · Derivative 1,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-031881 · doc4.xml · derivative · entry 3

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 1,000 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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning May 10, 2021.

F3 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning May 10, 2021.

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May 10, 2021 Filed May 11, 2021 23:34 UTC
LaBerge Gregory A.Chief Administrative Officer
Tax withholdingCommon Stock 346 $37.62 $13,016.52
Disclosure

SEC source: 0001209191-21-031881 · doc4.xml · nonDerivative · entry 2

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,150

F2 · price: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on May 10, 2021.

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May 10, 2021 Filed May 11, 2021 23:34 UTC
LaBerge Gregory A.Chief Administrative Officer
Exercise / conversionCommon Stock 1,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-031881 · doc4.xml · nonDerivative · entry 1

LaBerge Gregory A. · CIK 0001776283 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,496

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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

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May 04, 2021 Filed May 6, 2021 21:53 UTC
MARCUS GEORGE MDirector · 10% owner
GrantCommon Stock 2,082 $36.01 $74,972.82
Disclosure

SEC source: 0001209191-21-030692 · doc4.xml · nonDerivative · entry 1

MARCUS GEORGE M · CIK 0000939706 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,648

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

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May 04, 2021 Filed May 6, 2021 21:55 UTC GrantCommon Stock 2,082 $36.01 $74,972.82
Disclosure

SEC source: 0001209191-21-030693 · doc4.xml · nonDerivative · entry 1

MARTIN LAURALEE · CIK 0001164495 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,134

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

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May 04, 2021 Filed May 6, 2021 21:57 UTC GrantCommon Stock 2,082 $36.01 $74,972.82
Disclosure

SEC source: 0001209191-21-030697 · doc4.xml · nonDerivative · entry 1

SHAHEEN GEORGE T · CIK 0001242465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,317

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

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May 04, 2021 Filed May 6, 2021 21:58 UTC GrantCommon Stock 2,082 $36.01 $74,972.82
Disclosure

SEC source: 0001209191-21-030699 · doc4.xml · nonDerivative · entry 1

Watters Don C. · CIK 0001588453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,648

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

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May 04, 2021 Filed May 6, 2021 21:56 UTC GrantCommon Stock 2,082 $36.01 $74,972.82
Disclosure

SEC source: 0001209191-21-030695 · doc4.xml · nonDerivative · entry 1

McClanahan Nicholas F. · CIK 0001588281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,692

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

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May 04, 2021 Filed May 6, 2021 21:52 UTC GrantCommon Stock 2,082 $36.01 $74,972.82
Disclosure

SEC source: 0001209191-21-030691 · doc4.xml · nonDerivative · entry 1

Lawrence Norma J. · CIK 0001588559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,406

F1 · shares: The shares shall vest on the first anniversary of the date of grant.

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April 15, 2021 Filed Apr 16, 2021 21:03 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 7,199 $35.64 $256,604.76
Disclosure

SEC source: 0001209191-21-026983 · doc4.xml · nonDerivative · entry 2

MARCUS GEORGE M · CIK 0000939706 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 14,285,287

F1 · kind: Shares sold through sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended. The shares included in the sales plan have now been fully sold.

F4 · price: The range of prices for the shares of Common Stock is from $35.50 to $35.81. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

F3 · ownership.nature: Mr. Marcus is the sole member and manager of Ionian Investments Manager LLC, which is the non-member manager of Phoenix, and beneficially owns 98.9% of its membership interests. Mr. Marcus has voting and investment power with respect to the shares held by Phoenix. Mr. Marcus disclaims beneficial ownership of shares held by Phoenix except to the extent of his pecuniary interest therein.

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April 15, 2021 Filed Apr 16, 2021 21:02 UTC SaleCommon Stock 7,199 $35.64 $256,604.76
Disclosure

SEC source: 0001209191-21-026982 · doc4.xml · nonDerivative · entry 2

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,285,287

F1 · kind: Shares sold through sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended. The shares included in the sales plan have now been fully sold.

F3 · price: The range of prices for the shares of Common Stock is from $35.50 to $35.81. The reporting person undertakes that it will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

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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.