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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 22, 2017 Filed May 24, 2017 20:05 UTC
Geelan John WGeneral Counsel
Tax withholdingCommon Stock 1,435 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000090 · edgar.xml · nonDerivative · entry 2

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,636

Read SEC document
May 22, 2017 Filed May 24, 2017 20:05 UTC
Geelan John WGeneral Counsel
Exercise / conversionCommon Stock 4,270 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000090 · edgar.xml · nonDerivative · entry 1

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,071

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 from the date of grant.

Read SEC document
May 22, 2017 Filed May 24, 2017 20:06 UTC
Klinefelter Jeffrey PGlobal Head of Equities
Exercise / conversionPerformance Share Unit · Derivative 8,540 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000091 · edgar.xml · derivative · entry 3

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,540 shares

Expires 2017-05-15

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 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 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 from the date of grant.

Read SEC document
May 22, 2017 Filed May 24, 2017 20:06 UTC
Klinefelter Jeffrey PGlobal Head of Equities
Tax withholdingCommon Stock 4,117 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000091 · edgar.xml · nonDerivative · entry 2

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,759

Read SEC document
May 22, 2017 Filed May 24, 2017 20:06 UTC
Klinefelter Jeffrey PGlobal Head of Equities
Exercise / conversionCommon Stock 8,540 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000091 · edgar.xml · nonDerivative · entry 1

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,876

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 from the date of grant.

Read SEC document
May 22, 2017 Filed May 24, 2017 20:05 UTC
Fairman Francis E IVHead, Public Finance Services
Exercise / conversionPerformance Share Unit · Derivative 8,540 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000089 · edgar.xml · derivative · entry 3

Fairman Francis E IV · CIK 0001332203 · Head, Public Finance Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,540 shares

Expires 2017-05-15

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 22, 2017 Filed May 24, 2017 20:05 UTC
Fairman Francis E IVHead, Public Finance Services
Tax withholdingCommon Stock 4,117 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000089 · edgar.xml · nonDerivative · entry 2

Fairman Francis E IV · CIK 0001332203 · Head, Public Finance Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,469

Read SEC document
May 22, 2017 Filed May 24, 2017 20:05 UTC
Fairman Francis E IVHead, Public Finance Services
Exercise / conversionCommon Stock 8,540 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000089 · edgar.xml · nonDerivative · entry 1

Fairman Francis E IV · CIK 0001332203 · Head, Public Finance Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,586

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 22, 2017 Filed May 24, 2017 20:04 UTC
Esckilsen Christine NChief of Human Capital
Exercise / conversionPerformance Share Unit · Derivative 4,270 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000088 · edgar.xml · derivative · entry 3

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,270 shares

Expires 2017-05-15

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 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 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 from the date of grant.

Read SEC document
May 22, 2017 Filed May 24, 2017 20:04 UTC
Esckilsen Christine NChief of Human Capital
Tax withholdingCommon Stock 1,435 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000088 · edgar.xml · nonDerivative · entry 2

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,425

Read SEC document
May 22, 2017 Filed May 24, 2017 20:04 UTC
Esckilsen Christine NChief of Human Capital
Exercise / conversionCommon Stock 4,270 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000088 · edgar.xml · nonDerivative · entry 1

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,860

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 from the date of grant.

Read SEC document
May 22, 2017 Filed May 24, 2017 20:01 UTC
Crawshaw Christopher DHead of Asset Management
Exercise / conversionPerformance Share Unit · Derivative 8,540 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000086 · edgar.xml · derivative · entry 3

Crawshaw Christopher D · CIK 0001596363 · Head of Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,540 shares

Expires 2017-05-15

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 22, 2017 Filed May 24, 2017 20:01 UTC
Crawshaw Christopher DHead of Asset Management
Tax withholdingCommon Stock 3,545 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000086 · edgar.xml · nonDerivative · entry 2

Crawshaw Christopher D · CIK 0001596363 · Head of Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,071

Read SEC document
May 22, 2017 Filed May 24, 2017 20:01 UTC
Crawshaw Christopher DHead of Asset Management
Exercise / conversionCommon Stock 8,540 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000086 · edgar.xml · nonDerivative · entry 1

Crawshaw Christopher D · CIK 0001596363 · Head of Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,616

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 22, 2017 Filed May 24, 2017 20:01 UTC
Abraham Chad RCo-Head Global IB and Cap Mkts
Exercise / conversionPerformance Share Unit · Derivative 8,540 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000085 · edgar.xml · derivative · entry 3

Abraham Chad R · CIK 0001538591 · Co-Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,540 shares

Expires 2017-05-15

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 22, 2017 Filed May 24, 2017 20:01 UTC
Abraham Chad RCo-Head Global IB and Cap Mkts
Tax withholdingCommon Stock 4,117 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000085 · edgar.xml · nonDerivative · entry 2

Abraham Chad R · CIK 0001538591 · Co-Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,095

Read SEC document
May 22, 2017 Filed May 24, 2017 20:01 UTC
Abraham Chad RCo-Head Global IB and Cap Mkts
Exercise / conversionCommon Stock 8,540 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000085 · edgar.xml · nonDerivative · entry 1

Abraham Chad R · CIK 0001538591 · Co-Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,212

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 11, 2017 Filed May 12, 2017 15:59 UTC GrantCommon Stock 1,158 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000078 · edgar.xml · nonDerivative · entry 1

PIPER ADDISON L · CIK 0001181279 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,103

Read SEC document
May 11, 2017 Filed May 12, 2017 15:59 UTC GrantCommon Stock 1,158 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000076 · edgar.xml · nonDerivative · entry 1

Frazier Michael E · CIK 0001608405 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,639

Read SEC document
May 11, 2017 Filed May 12, 2017 20:02 UTC GrantCommon Stock 1,158 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000081 · edgar.xml · nonDerivative · entry 1

TAYLOR SCOTT C · CIK 0001271058 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,552

Read SEC document
May 11, 2017 Filed May 12, 2017 20:01 UTC
SORAN PHILIPDirector
GrantCommon Stock 1,158 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000080 · edgar.xml · nonDerivative · entry 1

SORAN PHILIP · CIK 0001233126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,042

Read SEC document
May 11, 2017 Filed May 12, 2017 19:59 UTC GrantCommon Stock 1,158 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000077 · edgar.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,773

Read SEC document
May 11, 2017 Filed May 12, 2017 15:58 UTC GrantCommon Stock 1,158 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000075 · edgar.xml · nonDerivative · entry 1

FITZGERALD WILLIAM R · CIK 0001195177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,975

F1 · price: The reporting person elected to defer receipt of an annual equity grant of 1,158 shares of common stock resulting in an accrual to his account of 1,158 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
May 11, 2017 Filed May 12, 2017 16:00 UTC GrantCommon Stock 1,158 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000079 · edgar.xml · nonDerivative · entry 1

SMITH SHERRY M · CIK 0001214552 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,758

Read SEC document
May 11, 2017 Filed May 12, 2017 20:03 UTC Tax withholdingCommon Stock 348 $60.45 $21,036.60
Disclosure

SEC source: 0001230245-17-000082 · edgar.xml · nonDerivative · entry 2

Volpi Michele · CIK 0001310628 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,617

Read SEC document
May 11, 2017 Filed May 12, 2017 20:03 UTC GrantCommon Stock 1,158 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000082 · edgar.xml · nonDerivative · entry 1

Volpi Michele · CIK 0001310628 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,965

Read SEC document
May 02, 2017 Filed May 4, 2017 20:00 UTC
Fairman Francis E IVHead, Public Finance Services
Disposition to issuerCommon Stock 3,000 $60.93 $182,788.50
Disclosure

SEC source: 0001230245-17-000070 · edgar.xml · nonDerivative · entry 1

Fairman Francis E IV · CIK 0001332203 · Head, Public Finance Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,046

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.65 to $61.2550 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
April 03, 2017 Filed Apr 4, 2017 20:27 UTC GrantCommon Stock 178 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000065 · edgar.xml · nonDerivative · entry 1

TAYLOR SCOTT C · CIK 0001271058 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,394

F1 · price: The reporting person elected to defer receipt of quarterly director cash retainer fees resulting in the accrual to his account of 178 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 03, 2017 Filed Apr 4, 2017 16:27 UTC GrantCommon Stock 296 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000064 · edgar.xml · nonDerivative · entry 1

FITZGERALD WILLIAM R · CIK 0001195177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,817

F1 · price: The reporting person elected to defer receipt of quarterly director cash retainer fees resulting in the accrual to his account of 296 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 13, 2017 Filed Mar 14, 2017 16:29 UTC GrantCommon Stock 17 $67.80 $1,152.60
Disclosure

SEC source: 0001230245-17-000058 · edgar.xml · nonDerivative · entry 1

PIPER ADDISON L · CIK 0001181279 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,945

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 13, 2017 Filed Mar 14, 2017 20:29 UTC GrantCommon Stock 9 $67.80 $610.20
Disclosure

SEC source: 0001230245-17-000057 · edgar.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,615

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 13, 2017 Filed Mar 14, 2017 20:30 UTC
SORAN PHILIPDirector
GrantCommon Stock 15 $67.80 $1,017.00
Disclosure

SEC source: 0001230245-17-000060 · edgar.xml · nonDerivative · entry 1

SORAN PHILIP · CIK 0001233126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,884

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 13, 2017 Filed Mar 14, 2017 16:28 UTC GrantCommon Stock 49 $67.80 $3,322.20
Disclosure

SEC source: 0001230245-17-000056 · edgar.xml · nonDerivative · entry 1

FITZGERALD WILLIAM R · CIK 0001195177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,521

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 13, 2017 Filed Mar 14, 2017 16:30 UTC GrantCommon Stock 17 $67.80 $1,152.60
Disclosure

SEC source: 0001230245-17-000059 · edgar.xml · nonDerivative · entry 1

SMITH SHERRY M · CIK 0001214552 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,600

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 23, 2017 Filed Feb 24, 2017 21:31 UTC
Winges Martin BradleyCIO and Head of Fixed Income
SaleCommon Stock 2,000 $73.50 $147,000.00
Disclosure

SEC source: 0001230245-17-000055 · edgar.xml · nonDerivative · entry 1

Winges Martin Bradley · CIK 0001453018 · CIO and Head of Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,710

Read SEC document
February 18, 2017 Filed Feb 22, 2017 16:32 UTC
Smith Thomas GregoryChief Strategy Officer
Tax withholdingCommon Stock 76 $76.05 $5,779.80
Disclosure

SEC source: 0001230245-17-000049 · edgar.xml · nonDerivative · entry 2

Smith Thomas Gregory · CIK 0001665030 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,944

Read SEC document
February 18, 2017 Filed Feb 22, 2017 21:32 UTC
Winges Martin BradleyCIO and Head of Fixed Income
Tax withholdingCommon Stock 422 $76.05 $32,093.10
Disclosure

SEC source: 0001230245-17-000050 · edgar.xml · nonDerivative · entry 2

Winges Martin Bradley · CIK 0001453018 · CIO and Head of Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,710

Read SEC document
February 18, 2017 Filed Feb 22, 2017 16:31 UTC
Schoneman Debbra L.Chief Financial Officer
Tax withholdingCommon Stock 531 $76.05 $40,382.55
Disclosure

SEC source: 0001230245-17-000048 · edgar.xml · nonDerivative · entry 2

Schoneman Debbra L. · CIK 0001435654 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,243

Read SEC document
February 18, 2017 Filed Feb 22, 2017 16:27 UTC
DUFF ANDREW SDirector · Chairman and CEO
Tax withholdingCommon Stock 4,410 $76.05 $335,380.50
Disclosure

SEC source: 0001230245-17-000043 · edgar.xml · nonDerivative · entry 2

DUFF ANDREW S · CIK 0001185482 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,834

Read SEC document
February 18, 2017 Filed Feb 22, 2017 21:33 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
GiftCommon Stock 2,132 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000051 · edgar.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Living Trust

Disclosed balance after: 26,027

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

Read SEC document
February 18, 2017 Filed Feb 22, 2017 21:33 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
GiftCommon Stock 2,132 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000051 · edgar.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,599

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

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February 18, 2017 Filed Feb 22, 2017 21:33 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
Tax withholdingCommon Stock 2,308 $76.05 $175,523.40
Disclosure

SEC source: 0001230245-17-000051 · edgar.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,731

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February 18, 2017 Filed Feb 22, 2017 21:30 UTC
Klinefelter Jeffrey PGlobal Head of Equities
Tax withholdingCommon Stock 1,818 $76.05 $138,258.90
Disclosure

SEC source: 0001230245-17-000047 · edgar.xml · nonDerivative · entry 2

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,336

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February 18, 2017 Filed Feb 22, 2017 21:29 UTC
Geelan John WGeneral Counsel
Tax withholdingCommon Stock 60 $76.05 $4,563.00
Disclosure

SEC source: 0001230245-17-000046 · edgar.xml · nonDerivative · entry 2

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,801

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February 18, 2017 Filed Feb 22, 2017 21:28 UTC
Fairman Francis E IVHead, Public Finance Services
Tax withholdingCommon Stock 394 $76.05 $29,963.70
Disclosure

SEC source: 0001230245-17-000045 · edgar.xml · nonDerivative · entry 2

Fairman Francis E IV · CIK 0001332203 · Head, Public Finance Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,046

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February 18, 2017 Filed Feb 22, 2017 21:28 UTC
Esckilsen Christine NChief of Human Capital
Tax withholdingCommon Stock 59 $76.05 $4,486.95
Disclosure

SEC source: 0001230245-17-000044 · edgar.xml · nonDerivative · entry 2

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,590

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February 18, 2017 Filed Feb 22, 2017 21:26 UTC
Abraham Chad RCo-Head Global IB and Cap Mkts
Tax withholdingCommon Stock 2,997 $76.05 $227,921.85
Disclosure

SEC source: 0001230245-17-000041 · edgar.xml · nonDerivative · entry 2

Abraham Chad R · CIK 0001538591 · Co-Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,672

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February 17, 2017 Filed Feb 22, 2017 16:32 UTC
Smith Thomas GregoryChief Strategy Officer
Tax withholdingCommon Stock 98 $76.05 $7,452.90
Disclosure

SEC source: 0001230245-17-000049 · edgar.xml · nonDerivative · entry 1

Smith Thomas Gregory · CIK 0001665030 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,020

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February 17, 2017 Filed Feb 22, 2017 21:32 UTC
Winges Martin BradleyCIO and Head of Fixed Income
Tax withholdingCommon Stock 842 $76.05 $64,034.10
Disclosure

SEC source: 0001230245-17-000050 · edgar.xml · nonDerivative · entry 1

Winges Martin Bradley · CIK 0001453018 · CIO and Head of Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,132

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February 17, 2017 Filed Feb 22, 2017 16:31 UTC
Schoneman Debbra L.Chief Financial Officer
Tax withholdingCommon Stock 835 $76.05 $63,501.75
Disclosure

SEC source: 0001230245-17-000048 · edgar.xml · nonDerivative · entry 1

Schoneman Debbra L. · CIK 0001435654 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,774

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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.