Last 12 months
Inside the activity.
0 purchase rows · 8 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 3 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 1 |
| Mar 2026 | 0 | 1 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 2 |
| Aug 2026 | 0 | 1 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 13, 2019 Filed Dec 17, 2019 19:57 UTC |
Catanese GeorgeChief Risk Officer
|
GrantRestricted Stock Units · Derivative | 687 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015898 · doc4.xml · derivative · entry 4 Catanese George · CIK 0001340350 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 687 Underlying: Common Stock · 687 shares Expires 2022-12-13 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 18:41 UTC |
JULIEN JEFFREY PCFO, Executive VP - Fin
|
GrantRestricted Stock Units · Derivative | 2,953 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015890 · doc4.xml · derivative · entry 5 JULIEN JEFFREY P · CIK 0001182753 · CFO, Executive VP - Fin 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,953 Underlying: Common Stock · 2,953 shares Expires 2022-12-13 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F4 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 18:49 UTC |
Dowdle Jeffrey ACOO & Head of Asset Mgmt.
|
GrantRestricted Stock Units · Derivative | 2,404 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015891 · doc4.xml · derivative · entry 6 Dowdle Jeffrey A · CIK 0001541020 · COO & Head of Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,404 Underlying: Common Stock · 2,404 shares Expires 2022-12-13 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F5 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 18:32 UTC |
Carson John C Jr.President
|
GrantRestricted Stock Units · Derivative | 2,335 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015888 · doc4.xml · derivative · entry 4 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,335 Underlying: Common Stock · 2,335 shares Expires 2022-12-13 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 16:59 UTC |
TROCIN JEFFREY EVice Chairman
|
GrantRestricted Stock Units · Derivative | 1,264 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015883 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,264 Underlying: Common Stock · 1,264 shares Expires 2022-12-13 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F4 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 17:10 UTC |
Allaire Bella LoykhterExecutive Vice President-RJA
|
GrantRestricted Stock Units · Derivative | 2,679 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015885 · doc4.xml · derivative · entry 4 Allaire Bella Loykhter · CIK 0001537767 · Executive Vice President-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,679 Underlying: Common Stock · 2,679 shares Expires 2022-12-13 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 18:31 UTC |
Bunn James EPres-GlobEq&Inv Banking-RJA
|
GrantRestricted Stock Units · Derivative | 6,593 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015887 · doc4.xml · derivative · entry 4 Bunn James E · CIK 0001706890 · Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,593 Underlying: Common Stock · 6,593 shares Expires 2022-12-13 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 17:16 UTC |
Santelli Jonathan NEVP, Gen Counsel, Secy
|
GrantRestricted Stock Units · Derivative | 879 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015886 · doc4.xml · derivative · entry 4 Santelli Jonathan N · CIK 0001672865 · EVP, Gen Counsel, Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 879 Underlying: Common Stock · 879 shares Expires 2022-12-13 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 17:07 UTC |
Elwyn Tashtego SCEO & President - RJA
|
GrantRestricted Stock Units · Derivative | 2,060 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015884 · doc4.xml · derivative · entry 8 Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,060 Underlying: Common Stock · 2,060 shares Expires 2022-12-13 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F5 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 17:07 UTC |
Elwyn Tashtego SCEO & President - RJA
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 1,802 | $0.00 Strike: $55.49 | $0.00 |
DisclosureSEC source: 0001225208-19-015884 · doc4.xml · derivative · entry 7 Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,802 shares Expires 2021-11-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Stock options vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 17:07 UTC |
Elwyn Tashtego SCEO & President - RJA
|
Exercise / conversionCommon Stock | 1,802 | $55.49 | $99,992.98 |
DisclosureSEC source: 0001225208-19-015884 · doc4.xml · nonDerivative · entry 1 Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,014 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 |
| December 12, 2019 Filed Dec 16, 2019 22:06 UTC |
ACKART JENNIFER CSVP, Controller & CAO
|
SaleCommon Stock | 2,500 | $90.50 | $226,250.00 |
DisclosureSEC source: 0001225208-19-015854 · doc4.xml · nonDerivative · entry 2 ACKART JENNIFER C · CIK 0001181167 · SVP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,811 Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 22:59 UTC |
Perry JodiPresident, ICD for RJFS
|
GrantRestricted Stock Units · Derivative | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015861 · doc4.xml · derivative · entry 4 Perry Jodi · CIK 0001751204 · President, ICD for RJFS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Underlying: Common Stock · 3,000 shares Expires 2024-12-12 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F4 · derivative.exercise_date: RSUs vest 60% on 12/12/2022, 20% on 12/12/2023, and 20% on 12/12/2024. Read SEC document |
| December 11, 2019 Filed Dec 12, 2019 16:33 UTC |
Elwyn Tashtego SCEO & President - RJA
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 3,134 | $0.00 Strike: $55.49 | $0.00 |
DisclosureSEC source: 0001225208-19-015651 · doc4.xml · derivative · entry 6 Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,802 Underlying: Common Stock · 3,134 shares Expires 2021-11-20 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. F5 · derivative.exercise_date: Stock options vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019. Read SEC document |
| December 11, 2019 Filed Dec 12, 2019 16:33 UTC |
Elwyn Tashtego SCEO & President - RJA
|
SaleCommon Stock | 3,134 | $89.43 | $280,275.81 |
DisclosureSEC source: 0001225208-19-015651 · doc4.xml · nonDerivative · entry 2 Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,212 F1 · kind: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · price: Reflects the weighted average sale price. The range of prices for such transaction was $89.41 to $89.47. Read SEC document |
| December 11, 2019 Filed Dec 12, 2019 16:33 UTC |
Elwyn Tashtego SCEO & President - RJA
|
Exercise / conversionCommon Stock | 3,134 | $55.49 | $173,905.66 |
DisclosureSEC source: 0001225208-19-015651 · doc4.xml · nonDerivative · entry 1 Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,346 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 |
| December 10, 2019 Filed Dec 16, 2019 22:06 UTC |
ACKART JENNIFER CSVP, Controller & CAO
|
GiftCommon Stock | 115 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015854 · doc4.xml · nonDerivative · entry 1 ACKART JENNIFER C · CIK 0001181167 · SVP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,311 Read SEC document |
| December 09, 2019 Filed Dec 10, 2019 20:42 UTC |
Curtis Scott APresident, PCG
|
GiftCommon Stock | 115 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015562 · doc4.xml · nonDerivative · entry 1 Curtis Scott A · CIK 0001601143 · President, PCG 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,512 Read SEC document |
| December 06, 2019 Filed Dec 9, 2019 20:48 UTC |
Allison Paul DChair, President & CEO RJ Ltd.
|
SaleCommon Stock | 9,628 | $90.85 | $874,687.43 |
DisclosureSEC source: 0001225208-19-015423 · doc4.xml · nonDerivative · entry 1 Allison Paul D · CIK 0001453440 · Chair, President & CEO RJ Ltd. 10b5-1 filing: Not disclosed Ownership: Indirect · Rose Allison Holdings Inc. Disclosed balance after: 0 F1 · kind: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · price: Reflects the weighted average sale price. The range of prices for such transaction was $90.65 to $91.13. F3 · ownership.nature: A corporation that is wholly owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 06, 2019 Filed Dec 10, 2019 20:28 UTC |
ACKART JENNIFER CSVP, Controller & CAO
|
SaleCommon Stock | 2,000 | $90.87 | $181,744.00 |
DisclosureSEC source: 0001225208-19-015560 · doc4.xml · nonDerivative · entry 1 ACKART JENNIFER C · CIK 0001181167 · SVP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,426 F1 · kind: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F2 · price: Reflects the weighted average sale price. The range of prices for such transaction was $90.83 to $90.88. Read SEC document |
| December 03, 2019 Filed Dec 3, 2019 20:52 UTC |
Catanese GeorgeChief Risk Officer
|
GiftCommon Stock | 130 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015185 · doc4.xml · nonDerivative · entry 4 Catanese George · CIK 0001340350 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,630 Read SEC document |
| December 03, 2019 Filed Dec 3, 2019 20:52 UTC |
Catanese GeorgeChief Risk Officer
|
SaleCommon Stock | 908 | $86.99 | $78,986.74 |
DisclosureSEC source: 0001225208-19-015185 · doc4.xml · nonDerivative · entry 3 Catanese George · CIK 0001340350 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,760 Read SEC document |
| December 03, 2019 Filed Dec 4, 2019 20:16 UTC |
Elwyn Tashtego SCEO & President - RJA
|
GiftCommon Stock | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015265 · doc4.xml · nonDerivative · entry 1 Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,212 Read SEC document |
| December 03, 2019 Filed Dec 5, 2019 14:35 UTC |
Raney Steven MPresident & CEO RJBank
|
GiftCommon Stock | 2,238 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015289 · doc4.xml · nonDerivative · entry 1 Raney Steven M · CIK 0001422342 · President & CEO RJBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,967 F1 · balance_after: Includes 70 shares of common stock acquired on December 3, 2019 pursuant to the registrant's Employee Stock Purchase Plan. Read SEC document |
| December 02, 2019 Filed Dec 3, 2019 11:53 UTC |
Santelli Jonathan NEVP, Gen Counsel, Secy
|
SaleCommon Stock | 2,270 | $88.22 | $200,255.31 |
DisclosureSEC source: 0001225208-19-015116 · doc4.xml · nonDerivative · entry 3 Santelli Jonathan N · CIK 0001672865 · EVP, Gen Counsel, Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,425 F2 · kind: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F3 · price: Reflects the weighted average sale price. The range of prices for such transaction was $88.20 to $88.26. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 12:01 UTC |
Raney Steven MPresident & CEO RJBank
|
Exercise / conversionRestricted Stock Units · Derivative | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015120 · doc4.xml · derivative · entry 4 Raney Steven M · CIK 0001422342 · President & CEO RJBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 3,000 shares Expires 2021-11-30 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% will vest on 11/30/2020, and 20% will vest on 11/30/2021. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 12:01 UTC |
Raney Steven MPresident & CEO RJBank
|
Tax withholdingCommon Stock | 730 | $89.82 | $65,568.60 |
DisclosureSEC source: 0001225208-19-015120 · doc4.xml · nonDerivative · entry 2 Raney Steven M · CIK 0001422342 · President & CEO RJBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,135 Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 12:01 UTC |
Raney Steven MPresident & CEO RJBank
|
Exercise / conversionCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015120 · doc4.xml · nonDerivative · entry 1 Raney Steven M · CIK 0001422342 · President & CEO RJBank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,865 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 11:54 UTC |
Bunn James EPres-GlobEq&Inv Banking-RJA
|
Exercise / conversionRestricted Stock Units · Derivative | 1,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015117 · doc4.xml · derivative · entry 4 Bunn James E · CIK 0001706890 · Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200 Underlying: Common Stock · 1,800 shares Expires 2021-11-30 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% will vest on 11/30/2020, and 20% will vest on 11/30/2021. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 11:54 UTC |
Bunn James EPres-GlobEq&Inv Banking-RJA
|
Tax withholdingCommon Stock | 438 | $89.82 | $39,341.16 |
DisclosureSEC source: 0001225208-19-015117 · doc4.xml · nonDerivative · entry 2 Bunn James E · CIK 0001706890 · Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,894 Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 11:54 UTC |
Bunn James EPres-GlobEq&Inv Banking-RJA
|
Exercise / conversionCommon Stock | 1,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015117 · doc4.xml · nonDerivative · entry 1 Bunn James E · CIK 0001706890 · Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,332 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 11:48 UTC |
Elwyn Tashtego SCEO & President - RJA
|
Exercise / conversionRestricted Stock Units · Derivative | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015114 · doc4.xml · derivative · entry 6 Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 3,000 shares Expires 2021-11-30 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F4 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% will vest on 11/30/2020, and 20% will vest on 11/30/2021. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 11:48 UTC |
Elwyn Tashtego SCEO & President - RJA
|
Tax withholdingCommon Stock | 730 | $89.82 | $65,568.60 |
DisclosureSEC source: 0001225208-19-015114 · doc4.xml · nonDerivative · entry 2 Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,412 Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 11:48 UTC |
Elwyn Tashtego SCEO & President - RJA
|
Exercise / conversionCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015114 · doc4.xml · nonDerivative · entry 1 Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,142 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 20:52 UTC |
Catanese GeorgeChief Risk Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 1,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015185 · doc4.xml · derivative · entry 6 Catanese George · CIK 0001340350 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800 Underlying: Common Stock · 1,200 shares Expires 2021-11-30 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, will vest 20% on 11/30/2020, and 20% on 11/30/2021. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 20:52 UTC |
Catanese GeorgeChief Risk Officer
|
Tax withholdingCommon Stock | 292 | $89.82 | $26,227.44 |
DisclosureSEC source: 0001225208-19-015185 · doc4.xml · nonDerivative · entry 2 Catanese George · CIK 0001340350 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,668 Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 20:52 UTC |
Catanese GeorgeChief Risk Officer
|
Exercise / conversionCommon Stock | 1,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015185 · doc4.xml · nonDerivative · entry 1 Catanese George · CIK 0001340350 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,960 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 20:51 UTC |
TROCIN JEFFREY EVice Chairman
|
Exercise / conversionRestricted Stock Units · Derivative | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015182 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 3,000 shares Expires 2021-11-30 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, will vest 20% on 11/30/2020, and 20% on 11/30/2021. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 20:51 UTC |
TROCIN JEFFREY EVice Chairman
|
Exercise / conversionCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015182 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,093 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 20:51 UTC |
REILLY PAUL CDirector · Chairman & CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015176 · doc4.xml · derivative · entry 4 REILLY PAUL C · CIK 0001240439 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common Stock · 6,000 shares Expires 2021-11-30 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% will vest on 11/30/2020, and 20% will vest on 11/30/2021. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 20:51 UTC |
REILLY PAUL CDirector · Chairman & CEO
|
Tax withholdingCommon Stock | 2,361 | $89.82 | $212,065.02 |
DisclosureSEC source: 0001225208-19-015176 · doc4.xml · nonDerivative · entry 2 REILLY PAUL C · CIK 0001240439 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,873 Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 20:51 UTC |
REILLY PAUL CDirector · Chairman & CEO
|
Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015176 · doc4.xml · nonDerivative · entry 1 REILLY PAUL C · CIK 0001240439 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,234 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 16:47 UTC |
Carson John C Jr.President
|
Exercise / conversionRestricted Stock Units · Derivative | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015137 · doc4.xml · derivative · entry 4 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 3,000 shares Expires 2021-11-30 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, will vest 20% on 11/30/2020, and 20% on 11/30/2021. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 16:47 UTC |
Carson John C Jr.President
|
Tax withholdingCommon Stock | 730 | $89.82 | $65,568.60 |
DisclosureSEC source: 0001225208-19-015137 · doc4.xml · nonDerivative · entry 2 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,050 Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 16:47 UTC |
Carson John C Jr.President
|
Exercise / conversionCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015137 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,780 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 17:55 UTC |
Dowdle Jeffrey ACOO & Head of Asset Mgmt.
|
Exercise / conversionRestricted Stock Units · Derivative | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015141 · doc4.xml · derivative · entry 6 Dowdle Jeffrey A · CIK 0001541020 · COO & Head of Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 3,000 shares Expires 2021-11-30 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F4 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% will vest on 11/30/2020, and 20% will vest on 11/30/2021. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 17:55 UTC |
Dowdle Jeffrey ACOO & Head of Asset Mgmt.
|
Tax withholdingCommon Stock | 763 | $89.82 | $68,532.66 |
DisclosureSEC source: 0001225208-19-015141 · doc4.xml · nonDerivative · entry 2 Dowdle Jeffrey A · CIK 0001541020 · COO & Head of Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,960 Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 17:55 UTC |
Dowdle Jeffrey ACOO & Head of Asset Mgmt.
|
Exercise / conversionCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015141 · doc4.xml · nonDerivative · entry 1 Dowdle Jeffrey A · CIK 0001541020 · COO & Head of Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,723 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 16:14 UTC |
Allaire Bella LoykhterExecutive Vice President-RJA
|
Exercise / conversionRestricted Stock Units · Derivative | 4,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015136 · doc4.xml · derivative · entry 4 Allaire Bella Loykhter · CIK 0001537767 · Executive Vice President-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,800 Underlying: Common Stock · 4,200 shares Expires 2021-11-30 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, will vest 20% on 11/30/2020, and 20% on 11/30/2021. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 16:14 UTC |
Allaire Bella LoykhterExecutive Vice President-RJA
|
Tax withholdingCommon Stock | 1,022 | $89.82 | $91,796.04 |
DisclosureSEC source: 0001225208-19-015136 · doc4.xml · nonDerivative · entry 2 Allaire Bella Loykhter · CIK 0001537767 · Executive Vice President-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,241 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.