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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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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 16, 2019 Filed Mar 13, 2019 01:06 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 127 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-019038 · doc4.xml · derivative · entry 9

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384

Underlying: Common Stock · 127 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.

F8 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning February 16, 2018.

F8 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning February 16, 2018.

Read SEC document
February 16, 2019 Filed Mar 13, 2019 01:06 UTC
Schwarz Kurt HenryChief Accounting Officer
Tax withholdingCommon Stock 43 $39.56 $1,701.08
Disclosure

SEC source: 0001209191-19-019038 · 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: 2,814

F4 · 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 19, 2019.

F3 · 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, 2019 Filed Mar 13, 2019 01:06 UTC
Schwarz Kurt HenryChief Accounting Officer
Exercise / conversionCommon Stock 127 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-019038 · 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: 2,857

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 · balance_after: Includes 183 shares purchased on May 15, 2018 and 150 shares purchased on November 18, 2018 pursuant to the Company's Employee Stock Purchase Plan.

F3 · 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 13, 2019 Filed Feb 15, 2019 17:31 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionRestricted Stock Units · Derivative 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-010732 · doc4.xml · derivative · entry 4

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 10,000 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.

F4 · derivative.exercise_date: The restricted stock units vest in five equal annual installments beginning March 31, 2017. On February 13, 2019, the Compensation Committee approved the acceleration of the vesting of 10,000 restricted stock units.

F4 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning March 31, 2017. On February 13, 2019, the Compensation Committee approved the acceleration of the vesting of 10,000 restricted stock units.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 17:31 UTC
LaBar Mitchell RExecutive VP and COO
GrantRestricted Stock Units · Derivative 6,337 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-010732 · doc4.xml · derivative · entry 3

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,337

Underlying: Common Stock · 6,337 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.

F3 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning February 13, 2020.

F3 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning February 13, 2020.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 17:31 UTC
LaBar Mitchell RExecutive VP and COO
Tax withholdingCommon Stock 4,958 $39.45 $195,593.10
Disclosure

SEC source: 0001209191-19-010732 · doc4.xml · nonDerivative · entry 2

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,461

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 of the date of settlement.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 17:31 UTC
LaBar Mitchell RExecutive VP and COO
Exercise / conversionCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-010732 · doc4.xml · nonDerivative · entry 1

LaBar Mitchell R · CIK 0001669426 · Executive VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,419

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 13, 2019 Filed Feb 15, 2019 22:09 UTC
Nadji HessamDirector · Chief Executive Officer
GrantRestricted Stock Units · Derivative 92,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-010688 · 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 February 13, 2020.

F2 · derivative.expiration_date: The restricted stock units vest in five equal annual installments beginning February 13, 2020.

Read SEC document
February 13, 2019 Filed Mar 13, 2019 01:06 UTC
Schwarz Kurt HenryChief Accounting Officer
GrantRestricted Stock Units · Derivative 2,026 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-019038 · doc4.xml · derivative · entry 8

Schwarz Kurt Henry · CIK 0001606972 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,026

Underlying: Common Stock · 2,026 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.

F7 · derivative.exercise_date: Twenty percent will vest on each of the first five anniversaries commencing on the tenth (10th) day of the month following the Grant Date, subject to the recipient remaining a Service Provider through each such vesting date.

F7 · derivative.expiration_date: Twenty percent will vest on each of the first five anniversaries commencing on the tenth (10th) day of the month following the Grant Date, subject to the recipient remaining a Service Provider through each such vesting date.

Read SEC document
January 05, 2019 Filed Jan 8, 2020 00:36 UTC
Louie Martin E.Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 4,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-002406 · doc4.xml · derivative · entry 5

Louie Martin E. · CIK 0001588207 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 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 vested in five equal annual installments beginning January 5, 2016.

F3 · derivative.expiration_date: The restricted stock units vested in five equal annual installments beginning January 5, 2016.

Read SEC document
January 05, 2019 Filed Jan 8, 2020 00:36 UTC
Louie Martin E.Chief Financial Officer
Tax withholdingCommon Stock 1,619 $34.74 $56,244.06
Disclosure

SEC source: 0001209191-20-002406 · doc4.xml · nonDerivative · entry 2

Louie Martin E. · CIK 0001588207 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,345

F2 · shares: 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 sales price on the date of settlement.

Read SEC document
January 05, 2019 Filed Jan 8, 2020 00:36 UTC
Louie Martin E.Chief Financial Officer
Exercise / conversionCommon Stock 4,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-002406 · doc4.xml · nonDerivative · entry 1

Louie Martin E. · CIK 0001588207 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,964

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
January 05, 2019 Filed Jan 8, 2020 00:34 UTC
Nadji HessamDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 8,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-002405 · doc4.xml · derivative · entry 5

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 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 vested in five equal annual installments beginning January 5, 2016.

F3 · derivative.expiration_date: The restricted stock units vested in five equal annual installments beginning January 5, 2016.

Read SEC document
January 05, 2019 Filed Jan 8, 2020 00:34 UTC
Nadji HessamDirector · Chief Executive Officer
Tax withholdingCommon Stock 2,986 $34.74 $103,733.64
Disclosure

SEC source: 0001209191-20-002405 · doc4.xml · nonDerivative · entry 2

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,806

F2 · shares: 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 sales price on the date of settlement.

Read SEC document
January 05, 2019 Filed Jan 8, 2020 00:34 UTC
Nadji HessamDirector · Chief Executive Officer
Exercise / conversionCommon Stock 8,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-002405 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,792

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 28, 2018 Filed Nov 29, 2018 01:14 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 20,202 $37.01 $747,696.22
Disclosure

SEC source: 0001209191-18-060176 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 14,887,348

F5 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.06. 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.

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 98.4% 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
November 28, 2018 Filed Nov 29, 2018 01:13 UTC SaleCommon Stock 20,202 $37.01 $747,696.22
Disclosure

SEC source: 0001209191-18-060175 · doc4.xml · nonDerivative · entry 3

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,887,348

F4 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.06. 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.

Read SEC document
November 27, 2018 Filed Nov 29, 2018 01:14 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 26,681 $37.01 $987,562.53
Disclosure

SEC source: 0001209191-18-060176 · 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: 14,907,550

F4 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.095. 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.

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 98.4% 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
November 27, 2018 Filed Nov 29, 2018 01:13 UTC SaleCommon Stock 26,681 $37.01 $987,562.53
Disclosure

SEC source: 0001209191-18-060175 · doc4.xml · nonDerivative · entry 2

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,907,550

F3 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.095. 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.

Read SEC document
November 26, 2018 Filed Nov 28, 2018 01:28 UTC
Nadji HessamDirector · Chief Executive Officer
SaleCommon Stock 5,900 $36.81 $217,169.56
Disclosure

SEC source: 0001209191-18-060075 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,280

F1 · price: The range of prices for the shares of Common Stock is from $36.61 to $37.00. 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
November 26, 2018 Filed Nov 29, 2018 01:14 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 50,000 $37.04 $1,851,885.00
Disclosure

SEC source: 0001209191-18-060176 · 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: 14,934,231

F1 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.1225. 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.

F2 · balance_after: Amount reflects the correction of an arithmetic error in the last Form 4 filed November 19, 2018. The prior ending balance in Column 5 should have been 14,984,231.

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 98.4% 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
November 26, 2018 Filed Nov 29, 2018 01:13 UTC SaleCommon Stock 50,000 $37.04 $1,851,885.00
Disclosure

SEC source: 0001209191-18-060175 · doc4.xml · nonDerivative · entry 1

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,934,231

F1 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.1225. 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.

F2 · balance_after: Amount reflects the correction of an arithmetic error in the last Form 4 filed November 19, 2018. The prior ending balance in Column 5 should have been 14,984,231.

Read SEC document
November 19, 2018 Filed Nov 20, 2018 01:15 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 2,500 $37.00 $92,505.25
Disclosure

SEC source: 0001209191-18-059361 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 14,999,489

F4 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.06. 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 · 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 98.4% 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
November 19, 2018 Filed Nov 20, 2018 01:14 UTC SaleCommon Stock 2,500 $37.00 $92,505.25
Disclosure

SEC source: 0001209191-18-059360 · doc4.xml · nonDerivative · entry 3

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,999,489

F3 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.06. 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.

Read SEC document
November 16, 2018 Filed Nov 20, 2018 01:15 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 15,258 $37.01 $564,632.97
Disclosure

SEC source: 0001209191-18-059361 · 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: 14,986,731

F3 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.03. 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 · 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 98.4% 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
November 16, 2018 Filed Nov 20, 2018 01:14 UTC SaleCommon Stock 15,258 $37.01 $564,632.97
Disclosure

SEC source: 0001209191-18-059360 · doc4.xml · nonDerivative · entry 2

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,986,731

F2 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.03. 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.

Read SEC document
November 15, 2018 Filed Nov 20, 2018 01:15 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 17,025 $37.00 $630,008.42
Disclosure

SEC source: 0001209191-18-059361 · 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: 15,001,989

F1 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.02. 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 · 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 98.4% 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
November 15, 2018 Filed Nov 20, 2018 01:14 UTC SaleCommon Stock 17,025 $37.00 $630,008.42
Disclosure

SEC source: 0001209191-18-059360 · doc4.xml · nonDerivative · entry 1

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,001,989

F1 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.02. 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.

Read SEC document
November 14, 2018 Filed Nov 15, 2018 01:22 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 50,000 $37.04 $1,852,170.00
Disclosure

SEC source: 0001209191-18-058646 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 15,019,014

F4 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.26. 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 · 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 98.4% 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
November 14, 2018 Filed Nov 15, 2018 01:21 UTC SaleCommon Stock 50,000 $37.04 $1,852,170.00
Disclosure

SEC source: 0001209191-18-058645 · doc4.xml · nonDerivative · entry 3

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,019,014

F3 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.26. 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.

Read SEC document
November 13, 2018 Filed Nov 15, 2018 01:22 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 50,000 $37.05 $1,852,740.00
Disclosure

SEC source: 0001209191-18-058646 · 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: 15,069,014

F3 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.30. 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 · 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 98.4% 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
November 13, 2018 Filed Nov 15, 2018 01:21 UTC SaleCommon Stock 50,000 $37.05 $1,852,740.00
Disclosure

SEC source: 0001209191-18-058645 · doc4.xml · nonDerivative · entry 2

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,069,014

F2 · price: The range of prices for the shares of Common Stock is from $37.00 to $37.30. 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.

Read SEC document
November 12, 2018 Filed Nov 15, 2018 01:22 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 50,000 $37.31 $1,865,490.00
Disclosure

SEC source: 0001209191-18-058646 · 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: 15,119,014

F1 · price: The range of prices for the shares of Common Stock is from $37.02 to $37.57. 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 · 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 98.4% 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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November 12, 2018 Filed Nov 15, 2018 01:21 UTC SaleCommon Stock 50,000 $37.31 $1,865,490.00
Disclosure

SEC source: 0001209191-18-058645 · doc4.xml · nonDerivative · entry 1

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,119,014

F1 · price: The range of prices for the shares of Common Stock is from $37.02 to $37.57. 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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November 07, 2018 Filed Nov 10, 2018 00:14 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 17,007 $36.42 $619,420.45
Disclosure

SEC source: 0001209191-18-058036 · 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: 15,169,014

F1 · kind: SALE EFFECTED UNDER 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 $36.105 to $36.92. 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.

F4 · 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 98.4% 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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November 07, 2018 Filed Nov 10, 2018 00:14 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 7,641 $35.72 $272,954.09
Disclosure

SEC source: 0001209191-18-058036 · 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: 15,186,021

F1 · kind: SALE EFFECTED UNDER 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 $35.10 to $36.10. 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.

F3 · price: The range of prices for the shares of Common Stock is from $36.105 to $36.92. 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.

F4 · 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 98.4% 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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November 07, 2018 Filed Nov 10, 2018 00:13 UTC SaleCommon Stock 17,007 $36.42 $619,420.45
Disclosure

SEC source: 0001209191-18-058035 · doc4.xml · nonDerivative · entry 2

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,169,014

F1 · kind: SALE EFFECTED UNDER 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 $36.105 to $36.92. 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.

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November 07, 2018 Filed Nov 10, 2018 00:13 UTC SaleCommon Stock 7,641 $35.72 $272,954.09
Disclosure

SEC source: 0001209191-18-058035 · doc4.xml · nonDerivative · entry 1

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,186,021

F1 · kind: SALE EFFECTED UNDER 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 $35.10 to $36.10. 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.

F3 · price: The range of prices for the shares of Common Stock is from $36.105 to $36.92. 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.

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November 06, 2018 Filed Nov 7, 2018 01:16 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 50,000 $34.86 $1,743,060.00
Disclosure

SEC source: 0001209191-18-057484 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 15,193,662

F1 · kind: SALE EFFECTED UNDER SALES PLAN PURSUANT TO RULE 10B5-1(C)(1) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED.

F5 · price: The range of prices for the shares of Common Stock is from $34.58 to $35.11. 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 98.4% 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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November 06, 2018 Filed Nov 7, 2018 01:15 UTC SaleCommon Stock 50,000 $34.86 $1,743,060.00
Disclosure

SEC source: 0001209191-18-057483 · doc4.xml · nonDerivative · entry 3

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,193,662

F1 · kind: SALE EFFECTED UNDER 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 $34.58 to $35.11. 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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November 05, 2018 Filed Nov 7, 2018 01:16 UTC
MARCUS GEORGE MDirector · 10% owner
SaleCommon Stock 50,000 $34.82 $1,741,000.00
Disclosure

SEC source: 0001209191-18-057484 · 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: 15,243,662

F1 · kind: SALE EFFECTED UNDER 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 $34.6125 to $35.02. 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.

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 98.4% 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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November 05, 2018 Filed Nov 6, 2018 20:17 UTC Exercise / conversionDeferred Stock Units · Derivative 16,666 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-057485 · doc4.xml · derivative · entry 2

MILLICHAP WILLIAM A · CIK 0001194685 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,666 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 deferred stock unit represents a contingent right to receive one share of the Issuer common stock.

F2 · derivative.exercise_date: The deferred stock units vest immediately. The deferred stock units settled in the Issuer stock at a rate of 20% per year beginning one year from the date of the grant.

F2 · derivative.expiration_date: The deferred stock units vest immediately. The deferred stock units settled in the Issuer stock at a rate of 20% per year beginning one year from the date of the grant.

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November 05, 2018 Filed Nov 6, 2018 20:17 UTC Exercise / conversionCommon Stock 16,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-057485 · doc4.xml · nonDerivative · entry 1

MILLICHAP WILLIAM A · CIK 0001194685 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,355

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 deferred stock unit represents a contingent right to receive one share of the Issuer common stock.

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November 05, 2018 Filed Nov 7, 2018 01:20 UTC
Louie Martin E.Chief Financial Officer
Exercise / conversionDeferred Stock Units · Derivative 51,917 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-057487 · doc4.xml · derivative · entry 3

Louie Martin E. · CIK 0001588207 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 51,917 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 deferred stock unit represents a contingent right to receive one share of the Issuer common stock.

F3 · derivative.exercise_date: The deferred stock units vest immediately. The deferred stock units settled in the Issuer stock at a rate of 20% per year beginning one year from the date of the grant.

F3 · derivative.expiration_date: The deferred stock units vest immediately. The deferred stock units settled in the Issuer stock at a rate of 20% per year beginning one year from the date of the grant.

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November 05, 2018 Filed Nov 7, 2018 01:20 UTC
Louie Martin E.Chief Financial Officer
Tax withholdingCommon Stock 22,919 $34.83 $798,268.77
Disclosure

SEC source: 0001209191-18-057487 · doc4.xml · nonDerivative · entry 2

Louie Martin E. · CIK 0001588207 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,964

F2 · shares: Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of DSUs. The amount of shares withheld is based on the closing sales prices on the date of settlement.

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November 05, 2018 Filed Nov 7, 2018 01:20 UTC
Louie Martin E.Chief Financial Officer
Exercise / conversionCommon Stock 51,917 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-057487 · doc4.xml · nonDerivative · entry 1

Louie Martin E. · CIK 0001588207 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,883

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 deferred stock unit represents a contingent right to receive one share of the Issuer common stock.

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November 05, 2018 Filed Nov 7, 2018 01:19 UTC
Nadji HessamDirector · Chief Executive Officer
Exercise / conversionDeferred Stock Units · Derivative 34,410 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-057486 · doc4.xml · derivative · entry 3

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 34,410 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 deferred stock unit represents a contingent right to receive one share of the Issuer common stock.

F3 · derivative.exercise_date: The deferred stock units vest immediately. The deferred stock units settled in the Issuer stock at a rate of 20% per year beginning one year from the date of the grant.

F3 · derivative.expiration_date: The deferred stock units vest immediately. The deferred stock units settled in the Issuer stock at a rate of 20% per year beginning one year from the date of the grant.

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November 05, 2018 Filed Nov 7, 2018 01:19 UTC
Nadji HessamDirector · Chief Executive Officer
Tax withholdingCommon Stock 16,252 $34.83 $566,057.16
Disclosure

SEC source: 0001209191-18-057486 · doc4.xml · nonDerivative · entry 2

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,180

F2 · shares: 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 sales price on the date of settlement.

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November 05, 2018 Filed Nov 7, 2018 01:19 UTC
Nadji HessamDirector · Chief Executive Officer
Exercise / conversionCommon Stock 34,410 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-057486 · doc4.xml · nonDerivative · entry 1

Nadji Hessam · CIK 0001588276 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,432

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 deferred stock unit represents a contingent right to receive one share of the Issuer common stock.

Read SEC document
November 05, 2018 Filed Nov 7, 2018 01:15 UTC SaleCommon Stock 50,000 $34.82 $1,741,000.00
Disclosure

SEC source: 0001209191-18-057483 · doc4.xml · nonDerivative · entry 2

Phoenix Investments Holdings LLC · CIK 0001589464 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,243,662

F1 · kind: SALE EFFECTED UNDER 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 $34.6125 to $35.02. 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.

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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.