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Nasdaq · USD

NMIH

NMI Holdings, Inc.

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Tapewire entity
4161
SEC CIK
0001547903
Parsed reports
409

Last 12 months

Inside the activity.

0 purchase rows · 13 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202600
Feb 202604
Mar 202604
Apr 202600
May 202601
Jun 202600
Jul 202600
Aug 202602
Sep 202601
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 13, 2019 Filed Feb 15, 2019 22:16 UTC
Merkle Claudia JDirector · CEO
GrantRestricted Stock Unit (right to receive) 48,991 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000027 · wf-form4_155026899257784.xml · nonDerivative · entry 1

Merkle Claudia J · CIK 0001591053 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,156

F1 · shares: Represents restricted stock units granted pursuant to the NMIH Amended and Restated 2014 Omnibus Incentive Plan on February 13, 2019. The restricted stock units vest in three equal annual installments beginning on February 13, 2020.

F2 · balance_after: Represents 32,401 class A common shares and 77,755 unvested restricted stock units.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 22:11 UTC
Mathis Patrick LEVP, Chief Operating Officer
GrantStock Option (right to buy) · Derivative 17,822 $0.00 Strike: $22.19 $0.00
Disclosure

SEC source: 0001547903-19-000021 · wf-form4_155026870133955.xml · derivative · entry 2

Mathis Patrick L · CIK 0001591042 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,822

Underlying: Class A Common Shares, $0.01 par value per share · 17,822 shares

Expires 2029-02-13

F3 · derivative.exercise_date: Granted pursuant to the NMIH 2012 Stock Incentive Plan. The option vests in three equal annual installments beginning on February 13, 2020.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 22:11 UTC
Mathis Patrick LEVP, Chief Operating Officer
GrantRestricted Stock Unit (right to receive) 21,318 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000021 · wf-form4_155026870133955.xml · nonDerivative · entry 1

Mathis Patrick L · CIK 0001591042 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,950

F1 · shares: Represents restricted stock units granted pursuant to the NMIH Amended and Restated 2014 Omnibus Incentive Plan on February 13, 2019. The restricted stock units vest in three equal annual installments beginning on February 13, 2020.

F2 · balance_after: Represents 18,374 class A common shares and 42,576 unvested restricted stock units.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 22:10 UTC
Smith Robert OwenEVP, Chief Risk Officer
GrantStock Option (right to buy) · Derivative 14,114 $0.00 Strike: $22.19 $0.00
Disclosure

SEC source: 0001547903-19-000019 · wf-form4_155026860311741.xml · derivative · entry 2

Smith Robert Owen · CIK 0001739814 · EVP, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,114

Underlying: Class A Common Shares, $0.01 par value per share · 14,114 shares

Expires 2029-02-13

F2 · derivative.exercise_date: Granted pursuant to the NMIH 2012 Stock Incentive Plan. The option vests in three equal annual installments beginning on February 13, 2020.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 22:10 UTC
Smith Robert OwenEVP, Chief Risk Officer
GrantRestricted Stock Unit (right to receive) 16,882 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000019 · wf-form4_155026860311741.xml · nonDerivative · entry 1

Smith Robert Owen · CIK 0001739814 · EVP, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,453

F1 · shares: Represents restricted stock units granted pursuant to the NMIH Amended and Restated 2014 Omnibus Incentive Plan on February 13, 2019. The restricted stock units vest in three equal annual installments beginning on February 13, 2020.

Read SEC document
February 10, 2019 Filed Feb 11, 2019 18:25 UTC
SHUSTER BRADLEY MDirector · Executive Chairman
Tax withholdingClass A Common Shares, $0.01 par value per share 35,266 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000012 · wf-form4_154992754101264.xml · nonDerivative · entry 2

SHUSTER BRADLEY M · CIK 0001052831 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 448,895

F2 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on February 10, 2016, at a net settlement price equal to the closing stock price on February 8, 2019. Such restricted stock units vested in three equal annual installments beginning on February 10, 2017.

F3 · balance_after: Represents 433,743 class A common shares and 15,152 unvested restricted stock units.

Read SEC document
February 10, 2019 Filed Feb 11, 2019 18:22 UTC
Leatherberry William JEVP, General Counsel
Tax withholdingClass A Common Shares, $0.01 par value per share 12,447 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000008 · wf-form4_154992733154937.xml · nonDerivative · entry 3

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,870

F3 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on February 10, 2016, at a net settlement price equal to the closing stock price on February 8, 2019. Such restricted stock units vested in three equal annual installments beginning on February 10, 2017.

F4 · balance_after: Represents 106,251 class A common shares and 21,619 unvested restricted stock units.

Read SEC document
February 10, 2019 Filed Feb 11, 2019 23:19 UTC
Mathis Patrick LEVP, Chief Operating Officer
Tax withholdingRestricted Stock Unit (right to receive) 8,017 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000004 · wf-form4_154992716580265.xml · nonDerivative · entry 3

Mathis Patrick L · CIK 0001591042 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,632

F3 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on February 10, 2016, at a net settlement price equal to the closing stock price on February 8, 2019. Such restricted stock units vested in three equal annual installments beginning on February 10, 2017.

F4 · balance_after: Represents 18,374 class A common shares and 21,258 unvested restricted stock units.

Read SEC document
February 10, 2019 Filed Feb 11, 2019 23:24 UTC
Merkle Claudia JDirector · CEO
Tax withholdingClass A Common Shares, $0.01 par value per share 15,559 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000010 · wf-form4_154992744826466.xml · nonDerivative · entry 3

Merkle Claudia J · CIK 0001591053 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,165

F3 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on February 10, 2016, at a net settlement price equal to the closing stock price on February 8, 2019. Such restricted stock units vested in three equal annual installments beginning on February 10, 2017.

F4 · balance_after: Represents 32,401 class A common shares and 28,764 unvested restricted stock units.

Read SEC document
February 09, 2019 Filed Feb 11, 2019 18:22 UTC
Leatherberry William JEVP, General Counsel
Tax withholdingClass A Common Shares, $0.01 par value per share 2,933 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000008 · wf-form4_154992733154937.xml · nonDerivative · entry 2

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,317

F2 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on February 9, 2017, at a net settlement price equal to the closing stock price on February 8, 2019. Such restricted stock units vest in three equal annual installments beginning on February 9, 2018.

Read SEC document
February 09, 2019 Filed Feb 11, 2019 23:19 UTC
Mathis Patrick LEVP, Chief Operating Officer
Tax withholdingRestricted Stock Unit (right to receive) 2,519 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000004 · wf-form4_154992716580265.xml · nonDerivative · entry 2

Mathis Patrick L · CIK 0001591042 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,649

F2 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on February 9, 2017, at a net settlement price equal to the closing stock price on February 8, 2019. Such restricted stock units vest in three equal annual installments beginning on February 9, 2018.

Read SEC document
February 09, 2019 Filed Feb 11, 2019 23:24 UTC
Merkle Claudia JDirector · CEO
Tax withholdingClass A Common Shares, $0.01 par value per share 4,318 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000010 · wf-form4_154992744826466.xml · nonDerivative · entry 2

Merkle Claudia J · CIK 0001591053 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,724

F2 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on February 9, 2017, at a net settlement price equal to the closing stock price on February 8, 2019. Such restricted stock units vest in three equal annual installments beginning on February 9, 2018.

Read SEC document
February 07, 2019 Filed Feb 11, 2019 18:25 UTC
SHUSTER BRADLEY MDirector · Executive Chairman
Tax withholdingClass A Common Shares, $0.01 par value per share 3,937 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000012 · wf-form4_154992754101264.xml · nonDerivative · entry 1

SHUSTER BRADLEY M · CIK 0001052831 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 484,161

F1 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on February 7, 2018, at a net settlement price equal to the closing stock price on February 7, 2019. Such restricted stock units vest in three equal annual installments beginning on February 7, 2019.

Read SEC document
February 07, 2019 Filed Feb 11, 2019 18:21 UTC
Pollitzer AdamEVP, Chief Financial Officer
Tax withholdingClass A Common Shares, $0.01 par value per share 4,445 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000006 · wf-form4_154992725720200.xml · nonDerivative · entry 1

Pollitzer Adam · CIK 0001706001 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,691

F1 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on February 7, 2018, at a net settlement price equal to the closing stock price on February 7, 2019. Such restricted stock units vest in three equal annual installments beginning on February 7, 2019.

F2 · balance_after: Represents 4,073 class A common shares and 180,618 unvested restricted stock units.

Read SEC document
February 07, 2019 Filed Feb 11, 2019 18:22 UTC
Leatherberry William JEVP, General Counsel
Tax withholdingClass A Common Shares, $0.01 par value per share 4,124 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000008 · wf-form4_154992733154937.xml · nonDerivative · entry 1

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,250

F1 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on February 7, 2018, at a net settlement price equal to the closing stock price on February 7, 2019. Such restricted stock units vest in three equal annual installments beginning on February 7, 2019.

Read SEC document
February 07, 2019 Filed Feb 11, 2019 23:19 UTC
Mathis Patrick LEVP, Chief Operating Officer
Tax withholdingRestricted Stock Unit (right to receive) 3,503 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000004 · wf-form4_154992716580265.xml · nonDerivative · entry 1

Mathis Patrick L · CIK 0001591042 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,168

F1 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on February 7, 2018, at a net settlement price equal to the closing stock price on February 7, 2019. Such restricted stock units vest in three equal annual installments beginning on February 7, 2019.

Read SEC document
February 07, 2019 Filed Feb 11, 2019 23:24 UTC
Merkle Claudia JDirector · CEO
Tax withholdingClass A Common Shares, $0.01 par value per share 5,153 $0.00 $0.00
Disclosure

SEC source: 0001547903-19-000010 · wf-form4_154992744826466.xml · nonDerivative · entry 1

Merkle Claudia J · CIK 0001591053 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,042

F1 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on February 7, 2018, at a net settlement price equal to the closing stock price on February 7, 2019. Such restricted stock units vest in three equal annual installments beginning on February 7, 2019.

Read SEC document
December 23, 2018 Filed Dec 26, 2018 17:40 UTC
SHUSTER BRADLEY MDirector · CEO
Tax withholdingClass A Common Shares, $0.01 par value per share 4,958 $0.00 $0.00
Disclosure

SEC source: 0001547903-18-000135 · wf-form4_154586403242818.xml · nonDerivative · entry 1

SHUSTER BRADLEY M · CIK 0001052831 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 488,098

F1 · shares: Represents shares withheld by NMIH to satisfy withholding taxes due in connection with the vesting of certain restricted stock units granted to the reporting person on December 23, 2015 at a net settlement price equal to the closing stock price on December 21, 2018.

F2 · balance_after: Represents 394,243 class A common shares and 93,855 unvested restricted stock units.

Read SEC document
September 18, 2018 Filed Sep 19, 2018 19:49 UTC
SHUSTER BRADLEY MDirector · CEO
SaleClass A Common Shares, $0.01 par value per share 83,184 $22.23 $1,848,972.36
Disclosure

SEC source: 0001547903-18-000123 · wf-form4_153740096063754.xml · nonDerivative · entry 3

SHUSTER BRADLEY M · CIK 0001052831 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 493,056

F1 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date with a volume weighted average sale price of $22.2275. The range of sale prices on the transaction date was $22.05 to $22.40. The reporting person undertakes to provide, upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each price.

F2 · balance_after: Represents 389,201 class A common shares and 103,855 unvested restricted stock units.

Read SEC document
September 17, 2018 Filed Sep 19, 2018 19:49 UTC
SHUSTER BRADLEY MDirector · CEO
Exercise / conversionStock Option (right to buy) · Derivative 150,000 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001547903-18-000123 · wf-form4_153740096063754.xml · derivative · entry 5

SHUSTER BRADLEY M · CIK 0001052831 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 607,500

Underlying: Class A Common Shares, $0.01 par value per share · 150,000 shares

Expires 2022-04-24

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

F3 · derivative.exercise_date: The option award vested in full on April 24, 2015.

Read SEC document
September 17, 2018 Filed Sep 19, 2018 19:49 UTC
SHUSTER BRADLEY MDirector · CEO
Tax withholdingClass A Common Shares, $0.01 par value per share 66,816 $22.45 $1,500,019.20
Disclosure

SEC source: 0001547903-18-000123 · wf-form4_153740096063754.xml · nonDerivative · entry 2

SHUSTER BRADLEY M · CIK 0001052831 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 576,240

Read SEC document
September 17, 2018 Filed Sep 19, 2018 19:49 UTC
SHUSTER BRADLEY MDirector · CEO
Exercise / conversionClass A Common Shares, $0.01 par value per share 150,000 $10.00 $1,500,000.00
Disclosure

SEC source: 0001547903-18-000123 · wf-form4_153740096063754.xml · nonDerivative · entry 1

SHUSTER BRADLEY M · CIK 0001052831 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 643,056

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
September 06, 2018 Filed Sep 6, 2018 19:29 UTC
SHUSTER BRADLEY MDirector · CEO
SaleClass A Common Shares, $0.01 par value per share 11,374 $21.05 $239,424.97
Disclosure

SEC source: 0001547903-18-000119 · wf-form4_153627657210705.xml · nonDerivative · entry 4

SHUSTER BRADLEY M · CIK 0001052831 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 493,056

F2 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date with a volume weighted average sale price of $21.0502. The range of sale prices on the transaction date was $21.05 to $21.075. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F3 · balance_after: Represents 389,201 class A common shares and 103,855 unvested restricted stock units.

Read SEC document
September 05, 2018 Filed Sep 6, 2018 19:29 UTC
SHUSTER BRADLEY MDirector · CEO
SaleClass A Common Shares, $0.01 par value per share 70,598 $21.28 $1,501,986.57
Disclosure

SEC source: 0001547903-18-000119 · wf-form4_153627657210705.xml · nonDerivative · entry 3

SHUSTER BRADLEY M · CIK 0001052831 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,430

F1 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date, with a volume weighted average sale price of $21.2752. The range of sale prices on the transaction date was $20.75 to $22.15 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

Read SEC document
September 05, 2018 Filed Sep 6, 2018 23:27 UTC Exercise / conversionStock Option (right to buy) · Derivative 76,000 $0.00 Strike: $12.32 $0.00
Disclosure

SEC source: 0001547903-18-000117 · wf-form4_153627646051402.xml · derivative · entry 3

Merkle Claudia J · CIK 0001591053 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Shares, $0.01 par value per share · 76,000 shares

Expires 2024-02-12

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

F3 · derivative.exercise_date: The option award vested in full on February 12, 2017.

Read SEC document
September 05, 2018 Filed Sep 6, 2018 23:27 UTC SaleClass A Common Shares, $0.01 par value per share 76,000 $21.26 $1,615,782.80
Disclosure

SEC source: 0001547903-18-000117 · wf-form4_153627646051402.xml · nonDerivative · entry 2

Merkle Claudia J · CIK 0001591053 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,195

F1 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date, with a volume weighted average sales price of $21.2603. The range of sale prices on the transaction date was $20.75 to $22.20 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F2 · balance_after: Represents 7,317 class A common shares and 78,878 unvested restricted stock units.

Read SEC document
September 05, 2018 Filed Sep 6, 2018 23:27 UTC Exercise / conversionClass A Common Shares, $0.01 par value per share 76,000 $12.32 $936,320.00
Disclosure

SEC source: 0001547903-18-000117 · wf-form4_153627646051402.xml · nonDerivative · entry 1

Merkle Claudia J · CIK 0001591053 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,195

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
September 04, 2018 Filed Sep 6, 2018 19:29 UTC
SHUSTER BRADLEY MDirector · CEO
Exercise / conversionStock Option (right to buy) · Derivative 150,000 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001547903-18-000119 · wf-form4_153627657210705.xml · derivative · entry 6

SHUSTER BRADLEY M · CIK 0001052831 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 757,500

Underlying: Class A Common Shares, $0.01 par value per share · 150,000 shares

Expires 2022-04-24

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

F4 · derivative.exercise_date: The option award vested in full on April 24, 2015.

Read SEC document
September 04, 2018 Filed Sep 6, 2018 19:29 UTC
SHUSTER BRADLEY MDirector · CEO
Tax withholdingClass A Common Shares, $0.01 par value per share 68,028 $22.05 $1,500,017.40
Disclosure

SEC source: 0001547903-18-000119 · wf-form4_153627657210705.xml · nonDerivative · entry 2

SHUSTER BRADLEY M · CIK 0001052831 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 575,028

Read SEC document
September 04, 2018 Filed Sep 6, 2018 19:29 UTC
SHUSTER BRADLEY MDirector · CEO
Exercise / conversionClass A Common Shares, $0.01 par value per share 150,000 $10.00 $1,500,000.00
Disclosure

SEC source: 0001547903-18-000119 · wf-form4_153627657210705.xml · nonDerivative · entry 1

SHUSTER BRADLEY M · CIK 0001052831 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 643,056

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
August 24, 2018 Filed Aug 28, 2018 16:37 UTC
Leatherberry William JEVP, General Counsel
Exercise / conversionStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $8.50 $0.00
Disclosure

SEC source: 0001547903-18-000115 · wf-form4_153548861412934.xml · derivative · entry 3

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,200

Underlying: Class A Common Shares, $0.01 par value per share · 25,000 shares

Expires 2025-02-12

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

F3 · derivative.exercise_date: The stock option award vested in full on February 12, 2018.

Read SEC document
August 24, 2018 Filed Aug 28, 2018 16:37 UTC
Leatherberry William JEVP, General Counsel
SaleClass A Common Shares, $0.01 par value per share 25,000 $22.26 $556,500.00
Disclosure

SEC source: 0001547903-18-000115 · wf-form4_153548861412934.xml · nonDerivative · entry 2

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,374

F1 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date, with a volume weighted average sale price of $22.26. The range of sale prices on the transaction date was $22.25 to $22.35. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F2 · balance_after: Represents 86,886 class A common shares and 60,488 unvested restricted stock units.

Read SEC document
August 24, 2018 Filed Aug 28, 2018 16:37 UTC
Leatherberry William JEVP, General Counsel
Exercise / conversionClass A Common Shares, $0.01 par value per share 25,000 $8.50 $212,500.00
Disclosure

SEC source: 0001547903-18-000115 · wf-form4_153548861412934.xml · nonDerivative · entry 1

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,374

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
August 23, 2018 Filed Aug 24, 2018 17:04 UTC
Pollitzer AdamEVP, Chief Financial Officer
SaleClass A Common Shares, $0.01 par value per share 22,564 $22.12 $499,009.63
Disclosure

SEC source: 0001547903-18-000113 · wf-form4_153514465981328.xml · nonDerivative · entry 1

Pollitzer Adam · CIK 0001706001 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,136

F1 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date with a volume weighted average sale price of $22.1153. The range of sale prices on the transaction date was $22.0250 to $22.25. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F2 · balance_after: Represents 189,136 unvested restricted stock units.

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August 22, 2018 Filed Aug 24, 2018 16:59 UTC SaleClass A Common Shares, $0.01 par value per share 12,886 $22.12 $285,061.51
Disclosure

SEC source: 0001547903-18-000111 · wf-form4_153514433209681.xml · nonDerivative · entry 2

Jones James G · CIK 0001289111 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Jennie K. Jones Irrevocable Living Trust, of which the reporting person is the sole trustee

Disclosed balance after: 2,000

F2 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date with a volume weighted average sale price of $22.1218. The range of sale prices on the transaction date was $22.0757 to $22.15. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

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August 21, 2018 Filed Aug 24, 2018 16:59 UTC SaleClass A Common Shares, $0.01 par value per share 5,114 $22.19 $113,493.98
Disclosure

SEC source: 0001547903-18-000111 · wf-form4_153514433209681.xml · nonDerivative · entry 1

Jones James G · CIK 0001289111 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Jennie K. Jones Irrevocable Living Trust, of which the reporting person is the sole trustee

Disclosed balance after: 14,886

F1 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date with a volume weighted average sale price of $22.1928. The range of sale prices on the transaction date was $22.15 to $22.25. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

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August 16, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
Exercise / conversionStock Option (right to buy) · Derivative 19,300 $0.00 Strike: $8.50 $0.00
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · derivative · entry 18

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,200

Underlying: Class A Common Shares, $0.01 par value per share · 19,300 shares

Expires 2025-02-12

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.

F9 · derivative.exercise_date: The stock option award vested in full on February 12, 2018.

Read SEC document
August 16, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
Exercise / conversionStock Option (right to buy) · Derivative 100 $0.00 Strike: $9.45 $0.00
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · derivative · entry 17

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,850

Underlying: Class A Common Shares, $0.01 par value per share · 100 shares

Expires 2024-09-10

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.

F8 · derivative.exercise_date: The stock option award vested in full on September 10, 2017.

Read SEC document
August 16, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
SaleClass A Common Shares, $0.01 par value per share 19,300 $21.90 $422,743.34
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · nonDerivative · entry 12

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,374

F6 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date, each at a sale price of $21.9038. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the transaction.

F7 · balance_after: Represents 86,886 class A common shares and 60,488 unvested restricted stock units.

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August 16, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
Exercise / conversionClass A Common Shares, $0.01 par value per share 19,300 $8.50 $164,050.00
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · nonDerivative · entry 11

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,674

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
August 16, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
SaleClass A Common Shares, $0.01 par value per share 100 $21.90 $2,190.38
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · nonDerivative · entry 10

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,374

F5 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date, each at a sale price of $21.9038. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the transaction.

Read SEC document
August 16, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
Exercise / conversionClass A Common Shares, $0.01 par value per share 100 $9.45 $945.00
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · nonDerivative · entry 9

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,474

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
August 15, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
Exercise / conversionStock Option (right to buy) · Derivative 700 $0.00 Strike: $8.50 $0.00
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · derivative · entry 16

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,500

Underlying: Class A Common Shares, $0.01 par value per share · 700 shares

Expires 2025-02-12

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.

F9 · derivative.exercise_date: The stock option award vested in full on February 12, 2018.

Read SEC document
August 15, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
Exercise / conversionStock Option (right to buy) · Derivative 628 $0.00 Strike: $9.45 $0.00
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · derivative · entry 15

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,950

Underlying: Class A Common Shares, $0.01 par value per share · 628 shares

Expires 2024-09-10

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.

F8 · derivative.exercise_date: The stock option award vested in full on September 10, 2017.

Read SEC document
August 15, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
SaleClass A Common Shares, $0.01 par value per share 700 $22.00 $15,400.00
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · nonDerivative · entry 8

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,374

F4 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date, each at a sale price of $22.00. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the transaction.

Read SEC document
August 15, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
Exercise / conversionClass A Common Shares, $0.01 par value per share 700 $8.50 $5,950.00
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · nonDerivative · entry 7

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,074

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
August 15, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
SaleClass A Common Shares, $0.01 par value per share 628 $21.95 $13,784.60
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · nonDerivative · entry 6

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,374

F3 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date, each at a sale price of $21.95. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the transaction.

Read SEC document
August 15, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
Exercise / conversionClass A Common Shares, $0.01 par value per share 628 $9.45 $5,934.60
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · nonDerivative · entry 5

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,002

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
August 14, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
Exercise / conversionStock Option (right to buy) · Derivative 14,272 $0.00 Strike: $9.45 $0.00
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · derivative · entry 14

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,578

Underlying: Class A Common Shares, $0.01 par value per share · 14,272 shares

Expires 2024-09-10

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.

F8 · derivative.exercise_date: The stock option award vested in full on September 10, 2017.

Read SEC document
August 14, 2018 Filed Aug 16, 2018 19:08 UTC
Leatherberry William JEVP, General Counsel
Exercise / conversionStock Option (right to buy) · Derivative 10,000 $0.00 Strike: $9.45 $0.00
Disclosure

SEC source: 0001547903-18-000109 · wf-form4_153446090031393.xml · derivative · entry 13

Leatherberry William J · CIK 0001422024 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,850

Underlying: Class A Common Shares, $0.01 par value per share · 10,000 shares

Expires 2024-09-10

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.

F8 · derivative.exercise_date: The stock option award vested in full on September 10, 2017.

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.