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PIPER SANDLER COMPANIES

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3863
SEC CIK
0001230245
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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.
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MonthPurchasesSales
Nov 2025011
Dec 202500
Jan 202600
Feb 202602
Mar 202600
Apr 202600
May 202606
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 17, 2017 Filed Feb 22, 2017 16:27 UTC
DUFF ANDREW SDirector · Chairman and CEO
Tax withholdingCommon Stock 4,242 $76.05 $322,604.10
Disclosure

SEC source: 0001230245-17-000043 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,244

Read SEC document
February 17, 2017 Filed Feb 22, 2017 21:33 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
GiftCommon Stock 2,689 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000051 · edgar.xml · nonDerivative · entry 3

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: 23,895

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 17, 2017 Filed Feb 22, 2017 21:33 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
GiftCommon Stock 2,689 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000051 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,039

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 17, 2017 Filed Feb 22, 2017 21:33 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
Tax withholdingCommon Stock 2,842 $76.05 $216,134.10
Disclosure

SEC source: 0001230245-17-000051 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,728

Read SEC document
February 17, 2017 Filed Feb 22, 2017 21:30 UTC
Klinefelter Jeffrey PGlobal Head of Equities
Tax withholdingCommon Stock 1,328 $76.05 $100,994.40
Disclosure

SEC source: 0001230245-17-000047 · edgar.xml · nonDerivative · entry 1

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,154

Read SEC document
February 17, 2017 Filed Feb 22, 2017 21:29 UTC
Geelan John WGeneral Counsel
Tax withholdingCommon Stock 93 $76.05 $7,072.65
Disclosure

SEC source: 0001230245-17-000046 · edgar.xml · nonDerivative · entry 1

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,861

Read SEC document
February 17, 2017 Filed Feb 22, 2017 21:28 UTC
Fairman Francis E IVHead, Public Finance Services
Tax withholdingCommon Stock 331 $76.05 $25,172.55
Disclosure

SEC source: 0001230245-17-000045 · 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: 56,440

Read SEC document
February 17, 2017 Filed Feb 22, 2017 21:28 UTC
Esckilsen Christine NChief of Human Capital
Tax withholdingCommon Stock 67 $76.05 $5,095.35
Disclosure

SEC source: 0001230245-17-000044 · edgar.xml · nonDerivative · entry 1

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,649

Read SEC document
February 17, 2017 Filed Feb 22, 2017 21:26 UTC
Crawshaw Christopher DHead of Asset Management
Tax withholdingCommon Stock 808 $76.05 $61,448.40
Disclosure

SEC source: 0001230245-17-000042 · edgar.xml · nonDerivative · entry 1

Crawshaw Christopher D · CIK 0001596363 · Head of Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,076

Read SEC document
February 17, 2017 Filed Feb 22, 2017 21:26 UTC
Abraham Chad RCo-Head Global IB and Cap Mkts
Tax withholdingCommon Stock 2,631 $76.05 $200,087.55
Disclosure

SEC source: 0001230245-17-000041 · 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: 58,669

Read SEC document
February 16, 2017 Filed Feb 17, 2017 21:34 UTC GiftCommon Stock 1,100 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000029 · edgar.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,606

F1 · kind: The reported transaction was a gift by the reporting person to a tax-exempt organization.

Read SEC document
February 16, 2017 Filed Feb 21, 2017 16:55 UTC
Smith Thomas GregoryChief Strategy Officer
Tax withholdingCommon Stock 131 $78.85 $10,329.35
Disclosure

SEC source: 0001230245-17-000038 · edgar.xml · nonDerivative · entry 1

Smith Thomas Gregory · CIK 0001665030 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,118

Read SEC document
February 16, 2017 Filed Feb 21, 2017 16:55 UTC
Schoneman Debbra L.Chief Financial Officer
Tax withholdingCommon Stock 923 $78.85 $72,778.55
Disclosure

SEC source: 0001230245-17-000037 · edgar.xml · nonDerivative · entry 1

Schoneman Debbra L. · CIK 0001435654 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,609

Read SEC document
February 16, 2017 Filed Feb 21, 2017 21:56 UTC
Winges Martin BradleyCIO and Head of Fixed Income
Tax withholdingCommon Stock 1,679 $78.85 $132,389.15
Disclosure

SEC source: 0001230245-17-000039 · 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: 47,974

Read SEC document
February 16, 2017 Filed Feb 21, 2017 16:50 UTC
DUFF ANDREW SDirector · Chairman and CEO
Tax withholdingCommon Stock 6,168 $78.85 $486,346.80
Disclosure

SEC source: 0001230245-17-000032 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,486

Read SEC document
February 16, 2017 Filed Feb 21, 2017 21:59 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
GiftCommon Stock 4,602 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000040 · edgar.xml · nonDerivative · entry 3

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: 21,206

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 16, 2017 Filed Feb 21, 2017 21:59 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
GiftCommon Stock 4,602 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000040 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,570

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, 2017 Filed Feb 21, 2017 21:59 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
Tax withholdingCommon Stock 2,748 $78.85 $216,679.80
Disclosure

SEC source: 0001230245-17-000040 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,172

Read SEC document
February 16, 2017 Filed Feb 21, 2017 21:54 UTC
Klinefelter Jeffrey PGlobal Head of Equities
Tax withholdingCommon Stock 2,316 $78.85 $182,616.60
Disclosure

SEC source: 0001230245-17-000036 · edgar.xml · nonDerivative · entry 1

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,482

Read SEC document
February 16, 2017 Filed Feb 21, 2017 21:53 UTC
Geelan John WGeneral Counsel
Tax withholdingCommon Stock 125 $78.85 $9,856.25
Disclosure

SEC source: 0001230245-17-000035 · edgar.xml · nonDerivative · entry 1

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,954

Read SEC document
February 16, 2017 Filed Feb 21, 2017 21:52 UTC
Fairman Francis E IVHead, Public Finance Services
Tax withholdingCommon Stock 1,144 $78.85 $90,204.40
Disclosure

SEC source: 0001230245-17-000034 · 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: 56,771

Read SEC document
February 16, 2017 Filed Feb 21, 2017 21:52 UTC
Esckilsen Christine NChief of Human Capital
Tax withholdingCommon Stock 248 $78.85 $19,554.80
Disclosure

SEC source: 0001230245-17-000033 · edgar.xml · nonDerivative · entry 1

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,716

Read SEC document
February 16, 2017 Filed Feb 21, 2017 21:50 UTC
Crawshaw Christopher DHead of Asset Management
Tax withholdingCommon Stock 767 $78.85 $60,477.95
Disclosure

SEC source: 0001230245-17-000031 · edgar.xml · nonDerivative · entry 1

Crawshaw Christopher D · CIK 0001596363 · Head of Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,884

Read SEC document
February 16, 2017 Filed Feb 21, 2017 21:49 UTC
Abraham Chad RCo-Head Global IB and Cap Mkts
Tax withholdingCommon Stock 2,470 $78.85 $194,759.50
Disclosure

SEC source: 0001230245-17-000030 · 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: 61,300

Read SEC document
February 16, 2017 Filed Feb 5, 2018 21:36 UTC Amendment GiftCommon Stock 1,100 $0.00 $0.00
Disclosure

SEC source: 0001230245-18-000015 · edgar.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,606

F1 · date: This amendment is being filed to correctly reflect the disposition of securities rather than the acquisition of securities as was previously reported.

F2 · kind: The reported transaction was a gift by the reporting person to a tax-exempt organization.

Read SEC document
February 15, 2017 Filed Feb 17, 2017 16:33 UTC
Smith Thomas GregoryChief Strategy Officer
GrantCommon Stock 498 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000028 · edgar.xml · nonDerivative · entry 1

Smith Thomas Gregory · CIK 0001665030 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,249

Read SEC document
February 15, 2017 Filed Feb 17, 2017 21:28 UTC
Winges Martin BradleyCIO and Head of Fixed Income
GrantCommon Stock 4,592 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000022 · 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: 49,653

Read SEC document
February 15, 2017 Filed Feb 17, 2017 16:26 UTC
Schoneman Debbra L.Chief Financial Officer
GrantCommon Stock 4,087 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000020 · edgar.xml · nonDerivative · entry 1

Schoneman Debbra L. · CIK 0001435654 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,532

Read SEC document
February 15, 2017 Filed Feb 17, 2017 21:29 UTC
Abraham Chad RCo-Head Global IB and Cap Mkts
GrantCommon Stock 9,473 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000023 · 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: 63,770

Read SEC document
February 15, 2017 Filed Feb 17, 2017 16:25 UTC
DUFF ANDREW SDirector · Chairman and CEO
GrantCommon Stock 14,417 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000019 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,654

Read SEC document
February 15, 2017 Filed Feb 17, 2017 21:32 UTC
Esckilsen Christine NChief of Human Capital
GrantCommon Stock 498 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000027 · edgar.xml · nonDerivative · entry 1

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,964

Read SEC document
February 15, 2017 Filed Feb 17, 2017 21:31 UTC
Geelan John WGeneral Counsel
GrantCommon Stock 502 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000026 · edgar.xml · nonDerivative · entry 1

Geelan John W · CIK 0001566456 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,079

Read SEC document
February 15, 2017 Filed Feb 17, 2017 21:30 UTC
Klinefelter Jeffrey PGlobal Head of Equities
GrantCommon Stock 3,942 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000025 · edgar.xml · nonDerivative · entry 1

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,798

Read SEC document
February 15, 2017 Filed Feb 17, 2017 21:30 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
GrantCommon Stock 8,367 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000024 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,920

Read SEC document
February 15, 2017 Filed Feb 17, 2017 21:30 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
SaleCommon Stock 5,000 $81.51 $407,530.00
Disclosure

SEC source: 0001230245-17-000024 · edgar.xml · nonDerivative · entry 1

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: 16,604

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.4525 to $81.65 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each price within the range set forth in this footnote upon request by the SEC staff, the issuer, or any shareholder of the issuer.

F2 · balance_after: These shares were previous reported as directly beneficially owned, and are held by a revocable living trust, of which the reporting person and the reporting person's spouse are co-beneficiaries.

Read SEC document
February 15, 2017 Filed Feb 17, 2017 21:27 UTC
Fairman Francis E IVHead, Public Finance Services
GrantCommon Stock 5,745 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000021 · 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: 57,915

Read SEC document
February 13, 2017 Filed Feb 14, 2017 22:03 UTC
Crawshaw Christopher DHead of Asset Management
SaleCommon Stock 10,000 $79.76 $797,590.00
Disclosure

SEC source: 0001230245-17-000017 · edgar.xml · nonDerivative · entry 1

Crawshaw Christopher D · CIK 0001596363 · Head of Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,651

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.55 to $80.00 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
February 13, 2017 Filed Feb 14, 2017 22:00 UTC
Esckilsen Christine NChief of Human Capital
SaleCommon Stock 1,500 $79.72 $119,577.00
Disclosure

SEC source: 0001230245-17-000018 · edgar.xml · nonDerivative · entry 1

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,466

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.55 to $79.90 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
February 10, 2017 Filed Feb 13, 2017 21:33 UTC
Klinefelter Jeffrey PGlobal Head of Equities
GiftCommon Stock 200 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000015 · edgar.xml · nonDerivative · entry 4

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,856

F3 · kind: The reported transaction was a gift by the reporting person to a charitable organization.

Read SEC document
February 10, 2017 Filed Feb 13, 2017 21:33 UTC
Klinefelter Jeffrey PGlobal Head of Equities
GiftCommon Stock 150 $0.00 $0.00
Disclosure

SEC source: 0001230245-17-000015 · edgar.xml · nonDerivative · entry 3

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,056

F3 · kind: The reported transaction was a gift by the reporting person to a charitable organization.

Read SEC document
February 10, 2017 Filed Feb 13, 2017 21:33 UTC
Klinefelter Jeffrey PGlobal Head of Equities
SaleCommon Stock 600 $78.19 $46,914.18
Disclosure

SEC source: 0001230245-17-000015 · edgar.xml · nonDerivative · entry 2

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,206

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.95 to $78.35 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each 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
February 10, 2017 Filed Feb 13, 2017 21:33 UTC
Klinefelter Jeffrey PGlobal Head of Equities
SaleCommon Stock 4,050 $76.97 $311,745.11
Disclosure

SEC source: 0001230245-17-000015 · edgar.xml · nonDerivative · entry 1

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,806

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.80 to $77.75 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each 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
February 10, 2017 Filed Feb 13, 2017 21:33 UTC
Crawshaw Christopher DHead of Asset Management
SaleCommon Stock 10,000 $79.12 $791,190.00
Disclosure

SEC source: 0001230245-17-000014 · edgar.xml · nonDerivative · entry 1

Crawshaw Christopher D · CIK 0001596363 · Head of Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,651

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.8050 to $79.25 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each 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
February 07, 2017 Filed Feb 8, 2017 16:36 UTC
Schoneman Debbra L.Chief Financial Officer
SaleCommon Stock 7,000 $76.09 $532,620.90
Disclosure

SEC source: 0001230245-17-000013 · edgar.xml · nonDerivative · entry 1

Schoneman Debbra L. · CIK 0001435654 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,445

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.00 to $76.15 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
February 03, 2017 Filed Feb 6, 2017 22:11 UTC
Winges Martin BradleyCIO and Head of Fixed Income
SaleCommon Stock 200 $76.20 $15,240.00
Disclosure

SEC source: 0001230245-17-000011 · 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: 45,061

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.00 to $76.40 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
February 03, 2017 Filed Feb 6, 2017 22:11 UTC
Winges Martin BradleyCIO and Head of Fixed Income
SaleCommon Stock 5,595 $75.36 $421,639.20
Disclosure

SEC source: 0001230245-17-000011 · 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: 45,261

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.95 to $75.95 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
February 03, 2017 Filed Feb 6, 2017 17:05 UTC
DUFF ANDREW SDirector · Chairman and CEO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 9,641 $0.00 Strike: $70.13 $0.00
Disclosure

SEC source: 0001230245-17-000007 · edgar.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,641 shares

Expires 2017-02-15

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.

Read SEC document
February 03, 2017 Filed Feb 6, 2017 17:05 UTC
DUFF ANDREW SDirector · Chairman and CEO
SaleCommon Stock 9,641 $75.35 $726,475.38
Disclosure

SEC source: 0001230245-17-000007 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,237

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.0750 to $75.95 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
February 03, 2017 Filed Feb 6, 2017 17:05 UTC
DUFF ANDREW SDirector · Chairman and CEO
Exercise / conversionCommon Stock 9,641 $70.13 $676,123.33
Disclosure

SEC source: 0001230245-17-000007 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,878

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

Read SEC document
February 03, 2017 Filed Feb 6, 2017 22:23 UTC
Abraham Chad RCo-Head Global IB and Cap Mkts
SaleCommon Stock 13,215 $75.32 $995,304.90
Disclosure

SEC source: 0001230245-17-000012 · 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: 54,297

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.95 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.

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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.