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NNI

NELNET INC

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3982
SEC CIK
0001258602
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308

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0 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private 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
March 10, 2020 Filed Mar 12, 2020 16:23 UTC
HEIMES TERRY JChief Operating Officer
GrantClass A Common Stock 9,143 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-004944 · rdgdoc.xml · nonDerivative · entry 1

HEIMES TERRY J · CIK 0001269804 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,580

F1 · shares: Issued pursuant to the issuer's Restricted Stock Plan, as the annual personal performance-based incentive bonus compensation for 2019 paid in stock, which the reporting person became entitled to receive on March 10, 2020.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 16:19 UTC
NOORDHOEK JEFFREY RChief Executive Officer
Tax withholdingClass A Common Stock 2,684 $52.20 $140,104.80
Disclosure

SEC source: 0001437749-20-004941 · rdgdoc.xml · nonDerivative · entry 2

NOORDHOEK JEFFREY R · CIK 0001269813 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,819

F3 · shares: These shares were tax-withheld by the issuer to satisfy the reporting person's tax obligation resulting from the March 10, 2020 award by the issuer of 9,143 shares of bonus compensation stock.

F4 · price: Per share value assigned by the issuer to the tax withholding shares under the tax withholding arrangement, and based on the average market closing price of the shares for February 28, 2020 through March 5, 2020.

F2 · balance_after: Includes 5,044 shares issued pursuant to the issuer's Employee Share Purchase Plan, which number of shares reflects the acquisition of a total of 25 shares under the issuer's Employee Share Purchase Plan since March 19, 2019. Also includes 816 shares distributed to the reporting person by The Noordhoek Charitable Remainder Unitrust I on December 31, 2019 as discussed in footnote (7) below.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 16:19 UTC
NOORDHOEK JEFFREY RChief Executive Officer
GrantClass A Common Stock 9,143 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-004941 · rdgdoc.xml · nonDerivative · entry 1

NOORDHOEK JEFFREY R · CIK 0001269813 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,503

F1 · shares: These shares were issued to the reporting person pursuant to the issuer's Restricted Stock Plan, as the annual personal performance-based incentive bonus compensation for 2019 paid in stock, which the reporting person became entitled to receive on March 10, 2020.

F2 · balance_after: Includes 5,044 shares issued pursuant to the issuer's Employee Share Purchase Plan, which number of shares reflects the acquisition of a total of 25 shares under the issuer's Employee Share Purchase Plan since March 19, 2019. Also includes 816 shares distributed to the reporting person by The Noordhoek Charitable Remainder Unitrust I on December 31, 2019 as discussed in footnote (7) below.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 20:25 UTC
Kruger James DChief Financial Officer
Tax withholdingClass A Common Stock 2,367 $52.20 $123,557.40
Disclosure

SEC source: 0001437749-20-004946 · rdgdoc.xml · nonDerivative · entry 3

Kruger James D · CIK 0001593432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,561

F5 · shares: Shares that were tax-withheld by the issuer to satisfy the reporting person's tax obligation resulting from the March 10, 2020 award by the issuer of 8,064 shares of bonus compensation stock.

F6 · price: Per share value assigned by the issuer to the tax withholding shares under the tax withholding arrangement, and based on the average market closing price of the shares for February 28, 2020 through March 5, 2020.

F3 · balance_after: Includes 2,672 shares issued pursuant to the issuer's Employee Share Purchase Plan, which number of shares reflects the acquisition of a total of 442 shares under the issuer's Employee Share Purchase Plan since March 12, 2019.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 20:25 UTC
Kruger James DChief Financial Officer
GrantClass A Common Stock 8,064 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-004946 · rdgdoc.xml · nonDerivative · entry 2

Kruger James D · CIK 0001593432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,928

F4 · shares: Issued pursuant to the issuer's Restricted Stock Plan, as the annual personal performance-based incentive bonus compensation for 2019 paid in stock, which the reporting person became entitled to receive on March 10, 2020.

F3 · balance_after: Includes 2,672 shares issued pursuant to the issuer's Employee Share Purchase Plan, which number of shares reflects the acquisition of a total of 442 shares under the issuer's Employee Share Purchase Plan since March 12, 2019.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 20:25 UTC
Kruger James DChief Financial Officer
Tax withholdingClass A Common Stock 250 $50.33 $12,582.50
Disclosure

SEC source: 0001437749-20-004946 · rdgdoc.xml · nonDerivative · entry 1

Kruger James D · CIK 0001593432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,864

F1 · shares: These shares were tax-withheld by the issuer to satisfy the reporting person's tax obligation resulting from the vesting of a previously reported grant of shares pursuant to Rule 16b-3(d).

F2 · price: Per share value assigned by the issuer to the tax withholding shares under the tax withholding arrangement, and based on the market closing price of the shares on March 10, 2020.

F3 · balance_after: Includes 2,672 shares issued pursuant to the issuer's Employee Share Purchase Plan, which number of shares reflects the acquisition of a total of 442 shares under the issuer's Employee Share Purchase Plan since March 12, 2019.

Read SEC document
December 31, 2019 Filed Mar 31, 2020 21:10 UTC GiftClass B Common Stock 8,032 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-006701 · rdgdoc.xml · nonDerivative · entry 17

Butterfield Shelby J · CIK 0001808121 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By CLAT

Disclosed balance after: 44,963

F19 · balance_after: Shares held by a CLAT established by Stephen F. Butterfield, of which CLAT the descendants of the reporting person are included as remainder beneficiaries, which reflects the charitable distribution of 8,032 shares from the CLAT on December 31, 2019 pursuant to the terms of the CLAT. The reporting person continues to report beneficial ownership of all the shares held by the trust, but disclaims beneficial ownership of the shares held by the trust except to the extent of her pecuniary interest therein.

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November 13, 2019 Filed Nov 15, 2019 21:22 UTC
Munn William JSecy/Chief Legal Off/Gen Coun
SaleClass A Common Stock 1,500 $61.72 $92,580.00
Disclosure

SEC source: 0001437749-19-023060 · rdgdoc.xml · nonDerivative · entry 1

Munn William J · CIK 0001294176 · Secy/Chief Legal Off/Gen Coun

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,345

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan (the "Plan") entered into by the reporting person on August 14, 2019. The Plan provides for the sale of shares of the issuer's Class A Common Stock, subject to limit price provisions and an expiration date. To the extent any future sales occur pursuant to the Plan, such sales will be publicly disclosed in Form 4 filings with the Securities and Exchange Commission.

F2 · kind: Rule 10b5-1, promulgated under the Securities Exchange Act of 1934, allows executives of a company who are not in possession of material non-public information to establish pre-arranged plans to buy or sell a specified number of shares of such company's stock. Once a plan is established, the executive does not retain or exercise any discretion over sales of stock under the plan and the pre-planned trades may be executed at later dates as set forth in the plan, without regard to any subsequent material non-public information related to the company that the executive may receive.

F3 · balance_after: Includes 500 shares held jointly with spouse.

Read SEC document
November 12, 2019 Filed Nov 15, 2019 21:25 UTC GiftClass A Common Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-023063 · rdgdoc.xml · nonDerivative · entry 1

HENNING THOMAS EDWARD · CIK 0001269806 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,199

F1 · kind: This gift was effected pursuant to a Rule 10b5-1 Stock Gift Plan entered into by the reporting person on August 13, 2019.

F2 · kind: Rule 10b5-1, promulgated under the Securities Exchange Act of 1934, allows directors of a company who are not in possession of material non-public information to establish pre-arranged plans to buy, sell, or otherwise transfer a specified number of shares of such company's stock. Once a plan is established, the director does not retain or exercise any discretion over transfers of stock under the plan and the pre-planned transfers may be executed at later dates as set forth in the plan, without regard to any subsequent material non-public information related to the company that the director may receive.

Read SEC document
September 30, 2019 Filed Dec 20, 2019 16:22 UTC
DUNLAP MICHAEL SDirector · Executive Chairman of Board · 10% owner
GiftClass A Common Stock 40,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-024725 · rdgdoc.xml · nonDerivative · entry 1

DUNLAP MICHAEL S · CIK 0001269797 · Director · Executive Chairman of Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,009,574

F1 · kind: This gift was effected pursuant to a Rule 10b5-1 plan that was entered into by the reporting person on August 29, 2019.

F2 · kind: Rule 10b5-1, promulgated under the Securities Exchange Act of 1934, allows executives of a company who are not in possession of material non-public information to establish pre-arranged plans to buy, sell, or otherwise transfer a specified number of shares of such company's stock. Once a plan is established, the executive does not retain or exercise any discretion over transfers of stock under the plan and the pre-planned transfers may be executed at later dates as set forth in the plan, without regard to any subsequent material non-public information related to the company that the executive may receive.

Read SEC document
September 06, 2019 Filed Sep 13, 2019 16:05 UTC
DUNLAP MICHAEL SDirector · Executive Chairman of Board · 10% owner
GiftClass B Common Stock 252,480 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-018391 · rdgdoc.xml · nonDerivative · entry 10

DUNLAP MICHAEL S · CIK 0001269797 · Director · Executive Chairman of Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Dunlap Holdings, LLC

Disclosed balance after: 1,600,000

F6 · kind: All of the shares of the issuer underlying this transaction are and continue to be owned, without any change in the number thereof, by Dunlap Holdings, LLC, a family limited liability company which is controlled by the reporting person. This transaction reports gifts by the reporting person and his spouse of, in the aggregate, a 15.78% interest, subject to possible future adjustment based on the final valuation of the interest, in Dunlap Holdings, LLC to the 2019 Dynasty Trusts referred to in footnotes (4) and (5) above. The reporting person continues to report beneficial ownership of all the shares of the issuer held by Dunlap Holdings, LLC, but disclaims beneficial ownership of the shares of the issuer held by Dunlap Holdings, LLC except to the extent of his pecuniary interest therein.

Read SEC document
September 06, 2019 Filed Sep 13, 2019 16:05 UTC
DUNLAP MICHAEL SDirector · Executive Chairman of Board · 10% owner
GiftClass B Common Stock 252,480 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-018391 · rdgdoc.xml · nonDerivative · entry 9

DUNLAP MICHAEL S · CIK 0001269797 · Director · Executive Chairman of Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Dunlap Holdings, LLC

Disclosed balance after: 1,600,000

F6 · kind: All of the shares of the issuer underlying this transaction are and continue to be owned, without any change in the number thereof, by Dunlap Holdings, LLC, a family limited liability company which is controlled by the reporting person. This transaction reports gifts by the reporting person and his spouse of, in the aggregate, a 15.78% interest, subject to possible future adjustment based on the final valuation of the interest, in Dunlap Holdings, LLC to the 2019 Dynasty Trusts referred to in footnotes (4) and (5) above. The reporting person continues to report beneficial ownership of all the shares of the issuer held by Dunlap Holdings, LLC, but disclaims beneficial ownership of the shares of the issuer held by Dunlap Holdings, LLC except to the extent of his pecuniary interest therein.

Read SEC document
September 06, 2019 Filed Sep 13, 2019 16:05 UTC
DUNLAP MICHAEL SDirector · Executive Chairman of Board · 10% owner
GiftClass B Common Stock 100 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-018391 · rdgdoc.xml · nonDerivative · entry 8

DUNLAP MICHAEL S · CIK 0001269797 · Director · Executive Chairman of Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By 2019 Dynasty Trust

Disclosed balance after: 100

F5 · kind: The shares involved in this transaction were gifted by the reporting person's spouse to a Dynasty Trust established by the reporting person's spouse in 2019, of which the adult sons of the reporting person and his spouse are the initial beneficiaries. The reporting person continues to report beneficial ownership of all the shares held by the trust, but disclaims beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein.

Read SEC document
September 06, 2019 Filed Sep 13, 2019 16:05 UTC
DUNLAP MICHAEL SDirector · Executive Chairman of Board · 10% owner
GiftClass B Common Stock 100 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-018391 · rdgdoc.xml · nonDerivative · entry 7

DUNLAP MICHAEL S · CIK 0001269797 · Director · Executive Chairman of Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 54,860

F5 · kind: The shares involved in this transaction were gifted by the reporting person's spouse to a Dynasty Trust established by the reporting person's spouse in 2019, of which the adult sons of the reporting person and his spouse are the initial beneficiaries. The reporting person continues to report beneficial ownership of all the shares held by the trust, but disclaims beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein.

Read SEC document
September 06, 2019 Filed Sep 13, 2019 16:05 UTC
DUNLAP MICHAEL SDirector · Executive Chairman of Board · 10% owner
GiftClass B Common Stock 100 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-018391 · rdgdoc.xml · nonDerivative · entry 6

DUNLAP MICHAEL S · CIK 0001269797 · Director · Executive Chairman of Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By 2019 Dynasty Trust

Disclosed balance after: 100

F4 · kind: The shares involved in this transaction were gifted by the reporting person to a Dynasty Trust established by the reporting person in 2019, of which the adult sons of the reporting person and his spouse are the initial beneficiaries. The reporting person continues to report beneficial ownership of all the shares held by the trust, but disclaims beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein.

Read SEC document
September 06, 2019 Filed Sep 13, 2019 16:05 UTC
DUNLAP MICHAEL SDirector · Executive Chairman of Board · 10% owner
GiftClass B Common Stock 100 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-018391 · rdgdoc.xml · nonDerivative · entry 5

DUNLAP MICHAEL S · CIK 0001269797 · Director · Executive Chairman of Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,169

F4 · kind: The shares involved in this transaction were gifted by the reporting person to a Dynasty Trust established by the reporting person in 2019, of which the adult sons of the reporting person and his spouse are the initial beneficiaries. The reporting person continues to report beneficial ownership of all the shares held by the trust, but disclaims beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein.

Read SEC document
September 05, 2019 Filed Sep 13, 2019 16:05 UTC
DUNLAP MICHAEL SDirector · Executive Chairman of Board · 10% owner
GiftClass B Common Stock 500,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-018391 · rdgdoc.xml · nonDerivative · entry 4

DUNLAP MICHAEL S · CIK 0001269797 · Director · Executive Chairman of Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Dunlap Holdings, LLC

Disclosed balance after: 1,600,000

F3 · kind: The reporting person's spouse gifted the shares in this transaction to Dunlap Holdings, LLC, a family limited liability company which is controlled by the reporting person.

Read SEC document
September 05, 2019 Filed Sep 13, 2019 16:05 UTC
DUNLAP MICHAEL SDirector · Executive Chairman of Board · 10% owner
GiftClass B Common Stock 500,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-018391 · rdgdoc.xml · nonDerivative · entry 3

DUNLAP MICHAEL S · CIK 0001269797 · Director · Executive Chairman of Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 54,960

F3 · kind: The reporting person's spouse gifted the shares in this transaction to Dunlap Holdings, LLC, a family limited liability company which is controlled by the reporting person.

Read SEC document
September 05, 2019 Filed Sep 13, 2019 16:05 UTC
DUNLAP MICHAEL SDirector · Executive Chairman of Board · 10% owner
GiftClass B Common Stock 1,100,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-018391 · rdgdoc.xml · nonDerivative · entry 2

DUNLAP MICHAEL S · CIK 0001269797 · Director · Executive Chairman of Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Dunlap Holdings, LLC

Disclosed balance after: 1,100,000

F1 · kind: The reporting person gifted the shares in this transaction to Dunlap Holdings, LLC, a family limited liability company which is controlled by the reporting person.

Read SEC document
September 05, 2019 Filed Sep 13, 2019 16:05 UTC
DUNLAP MICHAEL SDirector · Executive Chairman of Board · 10% owner
GiftClass B Common Stock 1,100,000 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-018391 · rdgdoc.xml · nonDerivative · entry 1

DUNLAP MICHAEL S · CIK 0001269797 · Director · Executive Chairman of Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,269

F1 · kind: The reporting person gifted the shares in this transaction to Dunlap Holdings, LLC, a family limited liability company which is controlled by the reporting person.

F2 · balance_after: Includes shares distributed to the reporting person in an annuity distribution by a grantor retained annuity trust as discussed in footnote (7) below.

Read SEC document
June 21, 2019 Filed Jun 25, 2019 20:28 UTC GrantPhantom Stock · Derivative 1,421 $49.29 $70,041.09
Disclosure

SEC source: 0001437749-19-012689 · rdgdoc.xml · derivative · entry 2

Farrell Kathleen Anne · CIK 0001417962 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,138

Underlying: Class A Common Stock · 1,421 shares

Expires not disclosed

F2 · derivative.exercise_price: 1-for-1.

F3 · derivative.exercise_date: The shares of phantom stock were granted pursuant to the issuer's Directors Stock Compensation Plan. They will become payable in shares of Class A Common Stock at the time of termination of the reporting person's service as a member of the issuer's Board of Directors. The shares will be payable in a lump sum at the time of termination of the reporting person's service as a member of the issuer's Board, or in up to five annual installments, commencing at the time of termination of the reporting person's service on the issuer's Board, as elected by the reporting person.

F3 · derivative.expiration_date: The shares of phantom stock were granted pursuant to the issuer's Directors Stock Compensation Plan. They will become payable in shares of Class A Common Stock at the time of termination of the reporting person's service as a member of the issuer's Board of Directors. The shares will be payable in a lump sum at the time of termination of the reporting person's service as a member of the issuer's Board, or in up to five annual installments, commencing at the time of termination of the reporting person's service on the issuer's Board, as elected by the reporting person.

F4 · balance_after: Includes a total of 347 shares acquired since June 26, 2018 pursuant to the dividend reinvestment feature of the issuer's Directors Stock Compensation Plan.

Read SEC document
June 21, 2019 Filed Jun 25, 2019 20:28 UTC GrantClass A Common Stock 1,420 $49.29 $69,991.80
Disclosure

SEC source: 0001437749-19-012689 · rdgdoc.xml · nonDerivative · entry 1

Farrell Kathleen Anne · CIK 0001417962 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,496

F1 · shares: The shares were granted pursuant to the issuer's Directors Stock Compensation Plan.

Read SEC document
June 21, 2019 Filed Jun 25, 2019 20:38 UTC GrantPhantom Stock · Derivative 2,435 $49.29 $120,021.15
Disclosure

SEC source: 0001437749-19-012699 · rdgdoc.xml · derivative · entry 1

Rath Kimberly Kay · CIK 0001417993 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,577

Underlying: Class A Common Stock · 2,435 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F2 · derivative.exercise_date: The shares of phantom stock were granted pursuant to the issuer's Directors Stock Compensation Plan. They will become payable in shares of Class A Common Stock at the time of termination of the reporting person's service as a member of the issuer's Board of Directors. The shares will be payable in a lump sum at the time of termination of the reporting person's service as a member of the issuer's Board, or in up to five annual installments, commencing at the time of termination of the reporting person's service on the issuer's Board, as elected by the reporting person.

F2 · derivative.expiration_date: The shares of phantom stock were granted pursuant to the issuer's Directors Stock Compensation Plan. They will become payable in shares of Class A Common Stock at the time of termination of the reporting person's service as a member of the issuer's Board of Directors. The shares will be payable in a lump sum at the time of termination of the reporting person's service as a member of the issuer's Board, or in up to five annual installments, commencing at the time of termination of the reporting person's service on the issuer's Board, as elected by the reporting person.

F3 · balance_after: Includes a total of 539 shares acquired since June 26, 2018 pursuant to the dividend reinvestment feature of the issuer's Directors Stock Compensation Plan.

Read SEC document
June 21, 2019 Filed Jun 25, 2019 16:20 UTC
ABEL JAMES PDirector
GrantPhantom Stock · Derivative 2,638 $49.29 $130,027.02
Disclosure

SEC source: 0001437749-19-012680 · rdgdoc.xml · derivative · entry 3

ABEL JAMES P · CIK 0001269787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,479

Underlying: Class A Common Stock · 2,638 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F2 · derivative.exercise_date: The shares of phantom stock were granted pursuant to the issuer's Directors Stock Compensation Plan. They will become payable in shares of Class A Common Stock at the time of termination of the reporting person's service as a member of the issuer's Board of Directors. The shares will be payable in a lump sum at the time of termination of the reporting person's service as a member of the issuer's Board, or in up to five annual installments, commencing at the time of termination of the reporting person's service on the issuer's Board, as elected by the reporting person.

F2 · derivative.expiration_date: The shares of phantom stock were granted pursuant to the issuer's Directors Stock Compensation Plan. They will become payable in shares of Class A Common Stock at the time of termination of the reporting person's service as a member of the issuer's Board of Directors. The shares will be payable in a lump sum at the time of termination of the reporting person's service as a member of the issuer's Board, or in up to five annual installments, commencing at the time of termination of the reporting person's service on the issuer's Board, as elected by the reporting person.

F3 · balance_after: Includes a total of 673 shares acquired since June 26, 2018 pursuant to the dividend reinvestment feature of the issuer's Directors Stock Compensation Plan.

Read SEC document
June 21, 2019 Filed Jun 25, 2019 20:35 UTC GrantClass A Common Stock 2,892 $49.29 $142,546.68
Disclosure

SEC source: 0001437749-19-012695 · rdgdoc.xml · nonDerivative · entry 1

HENNING THOMAS EDWARD · CIK 0001269806 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,199

F1 · shares: The shares were granted pursuant to the issuer's Directors Stock Compensation Plan.

Read SEC document
June 21, 2019 Filed Jun 25, 2019 20:32 UTC GrantClass A Common Stock 2,638 $49.29 $130,027.02
Disclosure

SEC source: 0001437749-19-012692 · rdgdoc.xml · nonDerivative · entry 1

Graff David S · CIK 0001604854 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,213

F1 · shares: The shares were granted pursuant to the issuer's Directors Stock Compensation Plan.

Read SEC document
June 21, 2019 Filed Jun 25, 2019 20:26 UTC GrantPhantom Stock · Derivative 2,435 $49.29 $120,021.15
Disclosure

SEC source: 0001437749-19-012686 · rdgdoc.xml · derivative · entry 2

Cintani William Robert · CIK 0001550909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,263

Underlying: Class A Common Stock · 2,435 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F2 · derivative.exercise_date: The shares of phantom stock were granted pursuant to the issuer's Directors Stock Compensation Plan. They will become payable in shares of Class A Common Stock at the time of termination of the reporting person's service as a member of the issuer's Board of Directors. The shares will be payable in a lump sum at the time of termination of the reporting person's service as a member of the issuer's Board, or in up to five annual installments, commencing at the time of termination of the reporting person's service on the issuer's Board, as elected by the reporting person.

F2 · derivative.expiration_date: The shares of phantom stock were granted pursuant to the issuer's Directors Stock Compensation Plan. They will become payable in shares of Class A Common Stock at the time of termination of the reporting person's service as a member of the issuer's Board of Directors. The shares will be payable in a lump sum at the time of termination of the reporting person's service as a member of the issuer's Board, or in up to five annual installments, commencing at the time of termination of the reporting person's service on the issuer's Board, as elected by the reporting person.

F3 · balance_after: Includes a total of 225 shares acquired since June 26, 2018 pursuant to the dividend reinvestment feature of the issuer's Directors Stock Compensation Plan.

Read SEC document
June 21, 2019 Filed Jun 25, 2019 20:23 UTC GrantClass A Common Stock 2,638 $49.29 $130,027.02
Disclosure

SEC source: 0001437749-19-012683 · rdgdoc.xml · nonDerivative · entry 1

Bansal Preeta D · CIK 0001758392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,007

F1 · shares: These shares were granted pursuant to the issuer's Directors Stock Compensation Plan.

Read SEC document
June 21, 2019 Filed Mar 31, 2020 21:10 UTC GiftClass B Common Stock 13,534 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-006701 · rdgdoc.xml · nonDerivative · entry 16

Butterfield Shelby J · CIK 0001808121 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 13,534

F17 · shares: As part of the distribution of shares from the Stephen F. Butterfield Revocable Living Trust on June 21, 2019 as discussed in footnote (14) above, 13,534 shares were distributed to a separate trust established under the restated agreement for the Stephen F. Butterfield Revocable Living Trust for the benefit of the reporting person's son.

F18 · balance_after: Shares held by a trust for the benefit of the reporting person's son established under the restated agreement for the Stephen F. Butterfield Revocable Living Trust.

Read SEC document
June 21, 2019 Filed Mar 31, 2020 21:10 UTC GiftClass B Common Stock 13,533 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-006701 · rdgdoc.xml · nonDerivative · entry 15

Butterfield Shelby J · CIK 0001808121 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 13,533

F15 · shares: As part of the distribution of shares from the Stephen F. Butterfield Revocable Living Trust on June 21, 2019 as discussed in footnote (14) above, 13,533 shares were distributed to a separate trust established under the restated agreement for the Stephen F. Butterfield Revocable Living Trust for the benefit of the reporting person's daughter.

F16 · balance_after: Shares held by a trust for the benefit of the reporting person's daughter established under the restated agreement for the Stephen F. Butterfield Revocable Living Trust.

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June 21, 2019 Filed Mar 31, 2020 21:10 UTC GiftClass B Common Stock 67,666 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-006701 · rdgdoc.xml · nonDerivative · entry 14

Butterfield Shelby J · CIK 0001808121 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 0

F14 · shares: On June 21, 2019, the Stephen F. Butterfield Revocable Living Trust distributed a total of 67,666 shares pursuant to the terms of such trust.

F8 · balance_after: Shares held by the Stephen F. Butterfield Revocable Living Trust, which became irrevocable upon the passing of Mr. Butterfield on April 16, 2018. The reporting person reports beneficial ownership of all the shares held by the trust, but disclaims beneficial ownership of the shares held by the trust except to the extent of her pecuniary interest therein.

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June 17, 2019 Filed Jun 25, 2019 16:42 UTC GiftClass A Common Stock 85,530 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-012702 · rdgdoc.xml · nonDerivative · entry 9

MUHLEISEN ANGIE · CIK 0001269812 · 10% owner

Muhleisen Dan D · CIK 0001754038 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 430,109

F5 · kind: This gift was effected pursuant to a Rule 10b5-1 plan that was entered into by Angela L. Muhleisen on May 14, 2019.

F6 · kind: Rule 10b5-1, promulgated under the Securities Exchange Act of 1934, allows significant shareholders of a company who are not in possession of material non-public information to establish pre-arranged plans to buy, sell, or otherwise transfer a specified number of shares of such company's stock. Once a plan is established, the significant shareholder does not retain or exercise any discretion over sales or other tranfers of stock under the plan and the pre-planned trades or other transfers may be executed at later dates as set forth in the plan, without regard to any subsequent material non-public information related to the company that the significant shareholder may receive.

F1 · balance_after: These shares are held by Angela L. Muhleisen.

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June 17, 2019 Filed Mar 31, 2020 21:10 UTC SaleClass A Common Stock 90,000 $55.83 $5,024,700.00
Disclosure

SEC source: 0001437749-20-006701 · rdgdoc.xml · nonDerivative · entry 13

Butterfield Shelby J · CIK 0001808121 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Butterfield Family Trust

Disclosed balance after: 0

F12 · shares: These shares were acquired by the issuer in a privately negotiated transaction under the issuer's stock repurchase program that was separately approved by the issuer's Board of Directors and separately disclosed by the issuer in a Current Report on Form 8-K filed by the issuer on June 18, 2019..

F13 · price: Pursuant to the terms of the privately negotiated issuer repurchase transaction, this price was based on a discount to the closing market price on June 17, 2019.

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June 17, 2019 Filed Mar 31, 2020 21:10 UTC ConversionClass A Common Stock 90,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-20-006701 · rdgdoc.xml · nonDerivative · entry 12

Butterfield Shelby J · CIK 0001808121 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Butterfield Family Trust

Disclosed balance after: 90,000

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.

F10 · price: Shares of Class B Common Stock are convertible at a fixed one-for-one ratio into an equal number of shares of Class A Common Stock at any time at the holder's option. On June 17, 2019, the reporting person and the Butterfield Family Trust each converted 90,000 shares of Class B Common Stock into 90,000 shares of Class A Common Stock, immediately prior to the issuer repurchase of such shares of Class A Common Stock as discussed in footnote (12) below. Such conversions of convertible common stock at a fixed ratio were exempt from Section 16(b) under Rule 16b-6(b).

F4 · balance_after: Shares held by the Butterfield Family Trust, an estate planning trust for the family of Mr. Butterfield. The reporting person reports beneficial ownership of all the shares held by the trust, but disclaims beneficial ownership of the shares held by the trust except to the extent of her pecuniary interest therein.

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June 17, 2019 Filed Mar 31, 2020 21:10 UTC ConversionClass B Common Stock 90,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-20-006701 · rdgdoc.xml · nonDerivative · entry 11

Butterfield Shelby J · CIK 0001808121 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Butterfield Family Trust

Disclosed balance after: 688,089

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.

F10 · price: Shares of Class B Common Stock are convertible at a fixed one-for-one ratio into an equal number of shares of Class A Common Stock at any time at the holder's option. On June 17, 2019, the reporting person and the Butterfield Family Trust each converted 90,000 shares of Class B Common Stock into 90,000 shares of Class A Common Stock, immediately prior to the issuer repurchase of such shares of Class A Common Stock as discussed in footnote (12) below. Such conversions of convertible common stock at a fixed ratio were exempt from Section 16(b) under Rule 16b-6(b).

F4 · balance_after: Shares held by the Butterfield Family Trust, an estate planning trust for the family of Mr. Butterfield. The reporting person reports beneficial ownership of all the shares held by the trust, but disclaims beneficial ownership of the shares held by the trust except to the extent of her pecuniary interest therein.

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June 17, 2019 Filed Mar 31, 2020 21:10 UTC SaleClass A Common Stock 90,000 $55.83 $5,024,700.00
Disclosure

SEC source: 0001437749-20-006701 · rdgdoc.xml · nonDerivative · entry 10

Butterfield Shelby J · CIK 0001808121 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F12 · shares: These shares were acquired by the issuer in a privately negotiated transaction under the issuer's stock repurchase program that was separately approved by the issuer's Board of Directors and separately disclosed by the issuer in a Current Report on Form 8-K filed by the issuer on June 18, 2019..

F13 · price: Pursuant to the terms of the privately negotiated issuer repurchase transaction, this price was based on a discount to the closing market price on June 17, 2019.

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June 17, 2019 Filed Mar 31, 2020 21:10 UTC ConversionClass A Common Stock 90,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-20-006701 · rdgdoc.xml · nonDerivative · entry 9

Butterfield Shelby J · CIK 0001808121 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

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.

F10 · price: Shares of Class B Common Stock are convertible at a fixed one-for-one ratio into an equal number of shares of Class A Common Stock at any time at the holder's option. On June 17, 2019, the reporting person and the Butterfield Family Trust each converted 90,000 shares of Class B Common Stock into 90,000 shares of Class A Common Stock, immediately prior to the issuer repurchase of such shares of Class A Common Stock as discussed in footnote (12) below. Such conversions of convertible common stock at a fixed ratio were exempt from Section 16(b) under Rule 16b-6(b).

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June 17, 2019 Filed Mar 31, 2020 21:10 UTC ConversionClass B Common Stock 90,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-20-006701 · rdgdoc.xml · nonDerivative · entry 8

Butterfield Shelby J · CIK 0001808121 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,562

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.

F10 · price: Shares of Class B Common Stock are convertible at a fixed one-for-one ratio into an equal number of shares of Class A Common Stock at any time at the holder's option. On June 17, 2019, the reporting person and the Butterfield Family Trust each converted 90,000 shares of Class B Common Stock into 90,000 shares of Class A Common Stock, immediately prior to the issuer repurchase of such shares of Class A Common Stock as discussed in footnote (12) below. Such conversions of convertible common stock at a fixed ratio were exempt from Section 16(b) under Rule 16b-6(b).

F11 · balance_after: Reflects annuity distributions of a total of 35,135 shares to the reporting person on December 18, 2019 from GRATs established by the reporting person as discussed in footnotes (20) through (27) below.

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June 17, 2019 Filed Mar 31, 2020 21:10 UTC GiftClass B Common Stock 67,666 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-006701 · rdgdoc.xml · nonDerivative · entry 7

Butterfield Shelby J · CIK 0001808121 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,427

F7 · kind: On June 17, 2019, the Stephen F. Butterfield Revocable Living Trust distributed 67,666 shares to the reporting person pursuant to the terms of such trust.

F9 · balance_after: Reflects annuity distributions of a total of 38,175 shares to the reporting person on December 18, 2018 from GRATs established by the reporting person as discussed in footnotes (20) through (27) below.

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June 17, 2019 Filed Mar 31, 2020 21:10 UTC GiftClass B Common Stock 67,666 $0.00 $0.00
Disclosure

SEC source: 0001437749-20-006701 · rdgdoc.xml · nonDerivative · entry 6

Butterfield Shelby J · CIK 0001808121 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 67,666

F7 · kind: On June 17, 2019, the Stephen F. Butterfield Revocable Living Trust distributed 67,666 shares to the reporting person pursuant to the terms of such trust.

F8 · balance_after: Shares held by the Stephen F. Butterfield Revocable Living Trust, which became irrevocable upon the passing of Mr. Butterfield on April 16, 2018. The reporting person reports beneficial ownership of all the shares held by the trust, but disclaims beneficial ownership of the shares held by the trust except to the extent of her pecuniary interest therein.

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June 03, 2019 Filed Jun 25, 2019 16:42 UTC GiftClass A Common Stock 50,500 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-012702 · rdgdoc.xml · nonDerivative · entry 8

MUHLEISEN ANGIE · CIK 0001269812 · 10% owner

Muhleisen Dan D · CIK 0001754038 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Dynasty Trust

Disclosed balance after: 276,000

F4 · balance_after: Shares gifted to and held by a Dynasty Trust, of which the adult son of the reporting persons is the initial beneficiary. The reporting persons continue to report beneficial ownership of all the shares held by the trust, but disclaim beneficial ownership of the shares held by the trust except to the extent of each such reporting person's pecuniary interest therein.

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June 03, 2019 Filed Jun 25, 2019 16:42 UTC GiftClass A Common Stock 50,500 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-012702 · rdgdoc.xml · nonDerivative · entry 7

MUHLEISEN ANGIE · CIK 0001269812 · 10% owner

Muhleisen Dan D · CIK 0001754038 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,347,362

F3 · balance_after: These shares are held by Dan D. Muhleisen, who is the spouse of Angela L. Muhleisen.

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June 03, 2019 Filed Jun 25, 2019 16:42 UTC GiftClass A Common Stock 50,500 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-012702 · rdgdoc.xml · nonDerivative · entry 6

MUHLEISEN ANGIE · CIK 0001269812 · 10% owner

Muhleisen Dan D · CIK 0001754038 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Dynasty Trust

Disclosed balance after: 225,500

F4 · balance_after: Shares gifted to and held by a Dynasty Trust, of which the adult son of the reporting persons is the initial beneficiary. The reporting persons continue to report beneficial ownership of all the shares held by the trust, but disclaim beneficial ownership of the shares held by the trust except to the extent of each such reporting person's pecuniary interest therein.

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June 03, 2019 Filed Jun 25, 2019 16:42 UTC GiftClass A Common Stock 50,500 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-012702 · rdgdoc.xml · nonDerivative · entry 5

MUHLEISEN ANGIE · CIK 0001269812 · 10% owner

Muhleisen Dan D · CIK 0001754038 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 515,639

F1 · balance_after: These shares are held by Angela L. Muhleisen.

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June 03, 2019 Filed Jun 25, 2019 16:42 UTC GiftClass A Common Stock 50,500 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-012702 · rdgdoc.xml · nonDerivative · entry 4

MUHLEISEN ANGIE · CIK 0001269812 · 10% owner

Muhleisen Dan D · CIK 0001754038 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Dynasty Trust

Disclosed balance after: 276,000

F2 · balance_after: Shares gifted to and held by a Dynasty Trust, of which the adult daughter of the reporting persons is the initial beneficiary. The reporting persons continue to report beneficial ownership of all the shares held by the trust, but disclaim beneficial ownership of the shares held by the trust except to the extent of each such reporting person's pecuniary interest therein.

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June 03, 2019 Filed Jun 25, 2019 16:42 UTC GiftClass A Common Stock 50,500 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-012702 · rdgdoc.xml · nonDerivative · entry 3

MUHLEISEN ANGIE · CIK 0001269812 · 10% owner

Muhleisen Dan D · CIK 0001754038 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,397,862

F3 · balance_after: These shares are held by Dan D. Muhleisen, who is the spouse of Angela L. Muhleisen.

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June 03, 2019 Filed Jun 25, 2019 16:42 UTC GiftClass A Common Stock 50,500 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-012702 · rdgdoc.xml · nonDerivative · entry 2

MUHLEISEN ANGIE · CIK 0001269812 · 10% owner

Muhleisen Dan D · CIK 0001754038 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Dynasty Trust

Disclosed balance after: 225,500

F2 · balance_after: Shares gifted to and held by a Dynasty Trust, of which the adult daughter of the reporting persons is the initial beneficiary. The reporting persons continue to report beneficial ownership of all the shares held by the trust, but disclaim beneficial ownership of the shares held by the trust except to the extent of each such reporting person's pecuniary interest therein.

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June 03, 2019 Filed Jun 25, 2019 16:42 UTC GiftClass A Common Stock 50,500 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-012702 · rdgdoc.xml · nonDerivative · entry 1

MUHLEISEN ANGIE · CIK 0001269812 · 10% owner

Muhleisen Dan D · CIK 0001754038 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 566,139

F1 · balance_after: These shares are held by Angela L. Muhleisen.

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June 03, 2019 Filed Jun 25, 2019 20:46 UTC
Munn William JSecy/Chief Legal Off/Gen Coun
GiftClass A Common Stock 18 $0.00 $0.00
Disclosure

SEC source: 0001437749-19-012704 · rdgdoc.xml · nonDerivative · entry 1

Munn William J · CIK 0001294176 · Secy/Chief Legal Off/Gen Coun

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,845

F1 · kind: The gift reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan that was entered into by the reporting person on March 4, 2019.

F2 · kind: Rule 10b5-1, promulgated under the Securities Exchange Act of 1934, allows executives of a company who are not in possession of material non-public information to establish pre-arranged plans to buy, sell or otherwise transfer a specified number of shares of such company's stock. Once a plan is established, the executive does not retain or exercise any discretion over sales or other transfers of stock under the plan and the pre-planned trades or other transfers may be executed at later dates as set forth in the plan, without regard to any subsequent material non-public information related to the company that the executive may receive.

F3 · balance_after: Includes 500 shares held jointly with spouse.

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May 15, 2019 Filed May 15, 2019 16:32 UTC SaleClass A Common Stock 1,000 $61.06 $61,060.00
Disclosure

SEC source: 0001437749-19-010080 · rdgdoc.xml · nonDerivative · entry 1

MUHLEISEN ANGIE · CIK 0001269812 · 10% owner

Muhleisen Dan D · CIK 0001754038 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By adult son

Disclosed balance after: 681,538

F1 · kind: These shares were sold by the reporting persons' adult son pursuant to a Rule 10b5-1 Plan (the "Plan") entered into by the son on May 11, 2018, which provided for sales of shares of the issuer's Class A Common Stock. With the sale of the shares reported in this Form 4, the Plan has been completed and no future sales may occur pursuant to the Plan.

F2 · kind: Rule 10b5-1, promulgated under the Securities Exchange Act of 1934, allows significant shareholders of a company and their family members who are not in possession of material non-public information to establish pre-arranged plans to buy or sell a specified number of shares of such company's stock. Once a plan is established, the significant shareholder or family member does not retain or exercise any discretion over sales of stock under the plan and the pre-planned trades may be executed at later dates as set forth in the plan, without regard to any subsequent material non-public information related to the company that the significant shareholder or family member may receive.

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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.