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PIPER SANDLER COMPANIES

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3863
SEC CIK
0001230245
Parsed reports
711

Last 12 months

Inside the activity.

0 purchase rows · 19 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025011
Dec 202500
Jan 202600
Feb 202602
Mar 202600
Apr 202600
May 202606
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 20, 2019 Filed May 22, 2019 18:53 UTC
Schoneman Debbra L.Director · President
Exercise / conversionCommon Stock 15,053 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000050 · edgar.xml · nonDerivative · entry 1

Schoneman Debbra L. · CIK 0001435654 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,090

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

F1 · price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

Read SEC document
May 20, 2019 Filed May 22, 2019 23:01 UTC
Geelan John WGeneral Counsel
Exercise / conversionPerformance share unit · Derivative 5,018 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-19-000052 · edgar.xml · derivative · entry 3

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,018 shares

Expires 2019-05-15

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

F1 · derivative.exercise_price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share unit vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

F1 · price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share unit vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

F1 · derivative.exercise_date: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share unit vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

Read SEC document
May 20, 2019 Filed May 22, 2019 23:01 UTC
Geelan John WGeneral Counsel
Tax withholdingCommon Stock 1,536 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000052 · edgar.xml · nonDerivative · entry 2

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,717

Read SEC document
May 20, 2019 Filed May 22, 2019 23:01 UTC
Geelan John WGeneral Counsel
Exercise / conversionCommon Stock 5,018 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000052 · edgar.xml · nonDerivative · entry 1

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,253

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

F1 · price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share unit vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

Read SEC document
May 20, 2019 Filed May 22, 2019 23:02 UTC
LaRue R ScottDirector · Co-Head Global IB and Cap Mkts
Exercise / conversionPerformance Share Unit · Derivative 10,036 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-19-000053 · edgar.xml · derivative · entry 5

LaRue R Scott · CIK 0001538590 · Director · Co-Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,036 shares

Expires 2019-05-15

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

F1 · derivative.exercise_price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

F1 · price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

F1 · derivative.exercise_date: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

Read SEC document
May 20, 2019 Filed May 22, 2019 23:02 UTC
LaRue R ScottDirector · Co-Head Global IB and Cap Mkts
GiftCommon Stock 5,080 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000053 · edgar.xml · nonDerivative · entry 4

LaRue R Scott · CIK 0001538590 · Director · Co-Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Living Trust

Disclosed balance after: 53,753

F3 · ownership.nature: The shares are held through a revocable living trust, of which the reporting person is trustee and both the reporting person and the reporting person's spouse are beneficiaries.

Read SEC document
May 20, 2019 Filed May 22, 2019 23:02 UTC
LaRue R ScottDirector · Co-Head Global IB and Cap Mkts
GiftCommon Stock 5,080 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000053 · edgar.xml · nonDerivative · entry 3

LaRue R Scott · CIK 0001538590 · Director · Co-Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,967

F2 · shares: The reporting person made a bona fide gift to a revocable living trust as described in note 3 below.

Read SEC document
May 20, 2019 Filed May 22, 2019 23:02 UTC
LaRue R ScottDirector · Co-Head Global IB and Cap Mkts
Tax withholdingCommon Stock 4,956 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000053 · edgar.xml · nonDerivative · entry 2

LaRue R Scott · CIK 0001538590 · Director · Co-Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,047

Read SEC document
May 20, 2019 Filed May 22, 2019 23:02 UTC
LaRue R ScottDirector · Co-Head Global IB and Cap Mkts
Exercise / conversionCommon Stock 10,036 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000053 · edgar.xml · nonDerivative · entry 1

LaRue R Scott · CIK 0001538590 · Director · Co-Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,003

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

F1 · price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

Read SEC document
May 20, 2019 Filed May 22, 2019 23:01 UTC
Abraham Chad RDirector · Chief Executive Officer
Exercise / conversionPerformance Share Unit · Derivative 10,036 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-19-000051 · edgar.xml · derivative · entry 3

Abraham Chad R · CIK 0001538591 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,036 shares

Expires 2019-05-15

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

F1 · derivative.exercise_price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

F1 · price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

F1 · derivative.exercise_date: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

Read SEC document
May 20, 2019 Filed May 22, 2019 23:01 UTC
Abraham Chad RDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,577 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000051 · edgar.xml · nonDerivative · entry 2

Abraham Chad R · CIK 0001538591 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,183

Read SEC document
May 20, 2019 Filed May 22, 2019 23:01 UTC
Abraham Chad RDirector · Chief Executive Officer
Exercise / conversionCommon Stock 10,036 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000051 · edgar.xml · nonDerivative · entry 1

Abraham Chad R · CIK 0001538591 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,760

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

F1 · price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three years from the date of grant.

Read SEC document
May 16, 2019 Filed May 20, 2019 16:30 UTC
Baker James PGlobal Co-Head IB and Cap Mkts
Tax withholdingCommon Stock 13,939 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000049 · edgar.xml · nonDerivative · entry 1

Baker James P · CIK 0001763980 · Global Co-Head IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,314

Read SEC document
April 01, 2019 Filed Apr 2, 2019 20:57 UTC GrantCommon Stock 282 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-19-000035 · edgar.xml · nonDerivative · entry 1

TAYLOR SCOTT C · CIK 0001271058 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,425

F1 · price: The reporting person elected to defer receipt of quarterly director cash retainer fees resulting in the accrual to his account of 282 shares of phantom stock. The shares of phantom stock become payable, in common stock, on the last day of the year in which the reporting person's service as a director terminates.

Read SEC document
April 01, 2019 Filed Apr 2, 2019 20:56 UTC
SORAN PHILIPDirector
GrantCommon Stock 382 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-19-000034 · edgar.xml · nonDerivative · entry 1

SORAN PHILIP · CIK 0001233126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,119

F1 · price: The reporting person elected to defer receipt of quarterly director cash retainer fees resulting in the accrual to his account of 382 shares of phantom stock. The shares of phantom stock become payable, in common stock, on the last day of the year in which the reporting person's service as a director terminates.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 15:20 UTC GrantCommon Stock 71 $72.63 $5,156.73
Disclosure

SEC source: 0001230245-19-000029 · edgar.xml · nonDerivative · entry 1

PIPER ADDISON L · CIK 0001181279 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,404

F1 · shares: Dividend equivalents that are paid on shares of phantom stock are deemed reinvested in additional shares of phantom stock as of the payment date. These phantom shares accrue to the reporting person's account in the directors' deferred compensation plan. The shares of phantom stock become payable, in an equal number of shares of common stock, on the last day of the year in which the reporting person's service as a director terminates.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 19:22 UTC GrantCommon Stock 14 $72.63 $1,016.82
Disclosure

SEC source: 0001230245-19-000032 · edgar.xml · nonDerivative · entry 1

TAYLOR SCOTT C · CIK 0001271058 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,143

F1 · shares: Dividend equivalents that are paid on shares of phantom stock are deemed reinvested in additional shares of phantom stock as of the payment date. These phantom shares accrue to the reporting person's account in the directors' deferred compensation plan. The shares of phantom stock become payable, in an equal number of shares of common stock, on the last day of the year in which the reporting person's service as a director terminates.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 19:21 UTC
SORAN PHILIPDirector
GrantCommon Stock 92 $72.63 $6,681.96
Disclosure

SEC source: 0001230245-19-000031 · edgar.xml · nonDerivative · entry 1

SORAN PHILIP · CIK 0001233126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,737

F1 · shares: Dividend equivalents that are paid on shares of phantom stock are deemed reinvested in additional shares of phantom stock as of the payment date. These phantom shares accrue to the reporting person's account in the directors' deferred compensation plan. The shares of phantom stock become payable, in an equal number of shares of common stock, on the last day of the year in which the reporting person's service as a director terminates.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 19:19 UTC GrantCommon Stock 36 $72.63 $2,614.68
Disclosure

SEC source: 0001230245-19-000028 · edgar.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,616

F1 · shares: Dividend equivalents that are paid on shares of phantom stock are deemed reinvested in additional shares of phantom stock as of the payment date. These phantom shares accrue to the reporting person's account in the directors' deferred compensation plan. The shares of phantom stock become payable, in an equal number of shares of common stock, on the last day of the year in which the reporting person's service as a director terminates.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 15:19 UTC GrantCommon Stock 295 $72.63 $21,425.85
Disclosure

SEC source: 0001230245-19-000027 · edgar.xml · nonDerivative · entry 1

FITZGERALD WILLIAM R · CIK 0001195177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,743

F1 · shares: Dividend equivalents that are paid on shares of phantom stock are deemed reinvested in additional shares of phantom stock as of the payment date. These phantom shares accrue to the reporting person's account in the directors' deferred compensation plan. The shares of phantom stock become payable, in an equal number of shares of common stock, on the last day of the year in which the reporting person's service as a director terminates.

Read SEC document
March 15, 2019 Filed Mar 19, 2019 15:21 UTC GrantCommon Stock 93 $72.63 $6,754.59
Disclosure

SEC source: 0001230245-19-000030 · edgar.xml · nonDerivative · entry 1

SMITH SHERRY M · CIK 0001214552 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,102

F1 · shares: Dividend equivalents that are paid on shares of phantom stock are deemed reinvested in additional shares of phantom stock as of the payment date. These phantom shares accrue to the reporting person's account in the directors' deferred compensation plan. The shares of phantom stock become payable, in an equal number of shares of common stock, on the last day of the year in which the reporting person's service as a director terminates.

Read SEC document
February 16, 2019 Filed Feb 20, 2019 16:02 UTC
Baker James PGlobal Co-Head IB and Cap Mkts
GrantCommon Stock 3,428 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000018 · edgar.xml · nonDerivative · entry 3

Baker James P · CIK 0001763980 · Global Co-Head IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,253

Read SEC document
February 16, 2019 Filed Feb 20, 2019 16:02 UTC
Baker James PGlobal Co-Head IB and Cap Mkts
Tax withholdingCommon Stock 416 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000018 · edgar.xml · nonDerivative · entry 2

Baker James P · CIK 0001763980 · Global Co-Head IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,825

Read SEC document
February 16, 2019 Filed Feb 20, 2019 16:02 UTC
Baker James PGlobal Co-Head IB and Cap Mkts
Tax withholdingCommon Stock 152 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000018 · edgar.xml · nonDerivative · entry 1

Baker James P · CIK 0001763980 · Global Co-Head IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,241

Read SEC document
February 16, 2019 Filed Feb 20, 2019 16:04 UTC GrantCommon Stock 2,857 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000022 · edgar.xml · nonDerivative · entry 4

Schoneman Debbra L. · CIK 0001435654 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,037

Read SEC document
February 16, 2019 Filed Feb 20, 2019 16:04 UTC Tax withholdingCommon Stock 326 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000022 · edgar.xml · nonDerivative · entry 3

Schoneman Debbra L. · CIK 0001435654 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,180

Read SEC document
February 16, 2019 Filed Feb 20, 2019 16:04 UTC Tax withholdingCommon Stock 417 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000022 · edgar.xml · nonDerivative · entry 2

Schoneman Debbra L. · CIK 0001435654 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,136

Read SEC document
February 16, 2019 Filed Feb 20, 2019 16:04 UTC Tax withholdingCommon Stock 841 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000022 · edgar.xml · nonDerivative · entry 1

Schoneman Debbra L. · CIK 0001435654 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,553

Read SEC document
February 16, 2019 Filed Feb 20, 2019 16:03 UTC Tax withholdingCommon Stock 1,139 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000020 · edgar.xml · nonDerivative · entry 3

DUFF ANDREW S · CIK 0001185482 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,485

Read SEC document
February 16, 2019 Filed Feb 20, 2019 16:03 UTC Tax withholdingCommon Stock 2,192 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000020 · edgar.xml · nonDerivative · entry 2

DUFF ANDREW S · CIK 0001185482 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,624

Read SEC document
February 16, 2019 Filed Feb 20, 2019 16:03 UTC Tax withholdingCommon Stock 5,151 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000020 · edgar.xml · nonDerivative · entry 1

DUFF ANDREW S · CIK 0001185482 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,816

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
Geelan John WGeneral Counsel
GrantCommon Stock 594 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000023 · edgar.xml · nonDerivative · entry 4

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,235

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
Geelan John WGeneral Counsel
Tax withholdingCommon Stock 59 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000023 · edgar.xml · nonDerivative · entry 3

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,641

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
Geelan John WGeneral Counsel
Tax withholdingCommon Stock 60 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000023 · edgar.xml · nonDerivative · entry 2

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,700

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
Geelan John WGeneral Counsel
Tax withholdingCommon Stock 115 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000023 · edgar.xml · nonDerivative · entry 1

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,760

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
LaRue R ScottDirector · Head Global IB and Cap Mkts
GrantCommon Stock 5,406 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000021 · edgar.xml · nonDerivative · entry 10

LaRue R Scott · CIK 0001538590 · Director · Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,967

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
LaRue R ScottDirector · Head Global IB and Cap Mkts
GiftCommon Stock 701 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000021 · edgar.xml · nonDerivative · entry 9

LaRue R Scott · CIK 0001538590 · Director · Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Living Trust

Disclosed balance after: 48,673

F2 · ownership.nature: The shares are held through a revocable living trust, of which the reporting person is trustee and both the reporting person and the reporting person's spouse are beneficiaries.

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
LaRue R ScottDirector · Head Global IB and Cap Mkts
GiftCommon Stock 701 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000021 · edgar.xml · nonDerivative · entry 8

LaRue R Scott · CIK 0001538590 · Director · Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,561

F1 · shares: The reporting person made a bona fide gift to a revocable living trust as described in note 2 below.

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
LaRue R ScottDirector · Head Global IB and Cap Mkts
Tax withholdingCommon Stock 684 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000021 · edgar.xml · nonDerivative · entry 7

LaRue R Scott · CIK 0001538590 · Director · Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,262

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
LaRue R ScottDirector · Head Global IB and Cap Mkts
GiftCommon Stock 1,411 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000021 · edgar.xml · nonDerivative · entry 6

LaRue R Scott · CIK 0001538590 · Director · Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Living Trust

Disclosed balance after: 47,972

F2 · ownership.nature: The shares are held through a revocable living trust, of which the reporting person is trustee and both the reporting person and the reporting person's spouse are beneficiaries.

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
LaRue R ScottDirector · Head Global IB and Cap Mkts
GiftCommon Stock 1,411 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000021 · edgar.xml · nonDerivative · entry 5

LaRue R Scott · CIK 0001538590 · Director · Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,946

F1 · shares: The reporting person made a bona fide gift to a revocable living trust as described in note 2 below.

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
LaRue R ScottDirector · Head Global IB and Cap Mkts
Tax withholdingCommon Stock 1,378 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000021 · edgar.xml · nonDerivative · entry 4

LaRue R Scott · CIK 0001538590 · Director · Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,357

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
LaRue R ScottDirector · Head Global IB and Cap Mkts
GiftCommon Stock 4,073 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000021 · edgar.xml · nonDerivative · entry 3

LaRue R Scott · CIK 0001538590 · Director · Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Living Trust

Disclosed balance after: 46,561

F2 · ownership.nature: The shares are held through a revocable living trust, of which the reporting person is trustee and both the reporting person and the reporting person's spouse are beneficiaries.

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
LaRue R ScottDirector · Head Global IB and Cap Mkts
GiftCommon Stock 4,073 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000021 · edgar.xml · nonDerivative · entry 2

LaRue R Scott · CIK 0001538590 · Director · Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,735

F1 · shares: The reporting person made a bona fide gift to a revocable living trust as described in note 2 below.

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:04 UTC
LaRue R ScottDirector · Head Global IB and Cap Mkts
Tax withholdingCommon Stock 3,278 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000021 · edgar.xml · nonDerivative · entry 1

LaRue R Scott · CIK 0001538590 · Director · Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,808

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February 16, 2019 Filed Feb 20, 2019 21:03 UTC
Carter Timothy LChief Financial Officer
GrantCommon Stock 1,244 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000019 · edgar.xml · nonDerivative · entry 4

Carter Timothy L · CIK 0001372024 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,580

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February 16, 2019 Filed Feb 20, 2019 21:03 UTC
Carter Timothy LChief Financial Officer
Tax withholdingCommon Stock 59 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000019 · edgar.xml · nonDerivative · entry 3

Carter Timothy L · CIK 0001372024 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,336

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February 16, 2019 Filed Feb 20, 2019 21:03 UTC
Carter Timothy LChief Financial Officer
Tax withholdingCommon Stock 23 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000019 · edgar.xml · nonDerivative · entry 2

Carter Timothy L · CIK 0001372024 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,395

Read SEC document
February 16, 2019 Filed Feb 20, 2019 21:03 UTC
Carter Timothy LChief Financial Officer
Tax withholdingCommon Stock 74 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000019 · edgar.xml · nonDerivative · entry 1

Carter Timothy L · CIK 0001372024 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,418

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February 16, 2019 Filed Feb 20, 2019 21:02 UTC
Abraham Chad RDirector · Chief Executive Officer
GrantCommon Stock 7,158 $0.00 $0.00
Disclosure

SEC source: 0001230245-19-000017 · edgar.xml · nonDerivative · entry 4

Abraham Chad R · CIK 0001538591 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,724

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.