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SF

STIFEL FINANCIAL CORP

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Tapewire entity
3461
SEC CIK
0000720672
Parsed reports
720

Last 12 months

Inside the activity.

0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202601
Feb 202601
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202602
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 12, 2021 Filed Jan 14, 2021 21:34 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 1,283 $50.46 $64,740.18
Disclosure

SEC source: 0001209191-21-003612 · doc4.xml · nonDerivative · entry 2

Fisher Mark P · CIK 0001345807 · SENIOR VP & GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,515

Read SEC document
January 12, 2021 Filed Jan 14, 2021 21:34 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 2,168 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003612 · doc4.xml · nonDerivative · entry 1

Fisher Mark P · CIK 0001345807 · SENIOR VP & GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,798

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
January 12, 2021 Filed Jan 14, 2021 21:28 UTC
Nesi VictorCo-President
Exercise / conversionPhantom Stock Units · Derivative 5,912 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003606 · doc4.xml · derivative · entry 5

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,839

Underlying: Common Stock · 5,912 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
January 12, 2021 Filed Jan 14, 2021 21:28 UTC
Nesi VictorCo-President
Tax withholdingCommon Stock 2,156 $50.46 $108,791.76
Disclosure

SEC source: 0001209191-21-003606 · doc4.xml · nonDerivative · entry 2

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,262

Read SEC document
January 12, 2021 Filed Jan 14, 2021 21:28 UTC
Nesi VictorCo-President
Exercise / conversionCommon Stock 5,912 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003606 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,418

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
January 12, 2021 Filed Jan 14, 2021 21:24 UTC
SLINEY DAVID DChief Operating Officer
Exercise / conversionPhantom Stock Units · Derivative 3,675 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003602 · doc4.xml · derivative · entry 3

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,939

Underlying: Common Stock · 3,675 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
January 12, 2021 Filed Jan 14, 2021 21:24 UTC
SLINEY DAVID DChief Operating Officer
Tax withholdingCommon Stock 1,236 $50.46 $62,368.56
Disclosure

SEC source: 0001209191-21-003602 · doc4.xml · nonDerivative · entry 2

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,545

Read SEC document
January 12, 2021 Filed Jan 14, 2021 21:24 UTC
SLINEY DAVID DChief Operating Officer
Exercise / conversionCommon Stock 3,675 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003602 · doc4.xml · nonDerivative · entry 1

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,781

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 31, 2020 Filed Jan 5, 2021 21:32 UTC
ZEMLYAK JAMES MCo-President
Exercise / conversionPhantom Stock Units · Derivative 2,887 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-001096 · doc4.xml · derivative · entry 3

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,373

Underlying: Common Stock · 2,887 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 31, 2020 Filed Jan 5, 2021 21:32 UTC
ZEMLYAK JAMES MCo-President
Tax withholdingCommon Stock 1,292 $50.46 $65,194.32
Disclosure

SEC source: 0001209191-21-001096 · doc4.xml · nonDerivative · entry 2

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,262,880

Read SEC document
December 31, 2020 Filed Jan 5, 2021 21:32 UTC
ZEMLYAK JAMES MCo-President
Exercise / conversionCommon Stock 2,887 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-001096 · doc4.xml · nonDerivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,264,172

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 31, 2020 Filed Jan 5, 2021 21:27 UTC
Marischen James MChief Financial Officer
Exercise / conversionPhantom Stock Units · Derivative 2,324 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-001070 · doc4.xml · derivative · entry 3

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,605

Underlying: Common Stock · 2,324 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 31, 2020 Filed Jan 5, 2021 21:27 UTC
Marischen James MChief Financial Officer
Exercise / conversionCommon Stock 2,324 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-001070 · doc4.xml · nonDerivative · entry 2

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,739

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 31, 2020 Filed Jan 5, 2021 21:27 UTC
Marischen James MChief Financial Officer
Tax withholdingCommon Stock 1,040 $50.46 $52,478.40
Disclosure

SEC source: 0001209191-21-001070 · doc4.xml · nonDerivative · entry 1

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,415

Read SEC document
December 31, 2020 Filed Jan 5, 2021 21:21 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Exercise / conversionPhantom Stock Units · Derivative 43,413 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-001050 · doc4.xml · derivative · entry 4

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,614

Underlying: Common Stock · 43,413 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 31, 2020 Filed Jan 5, 2021 21:21 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Tax withholdingCommon Stock 19,428 $50.46 $980,336.88
Disclosure

SEC source: 0001209191-21-001050 · doc4.xml · nonDerivative · entry 3

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,276,559

Read SEC document
December 31, 2020 Filed Jan 5, 2021 21:21 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Exercise / conversionCommon Stock 43,413 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-001050 · doc4.xml · nonDerivative · entry 2

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,295,987

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 31, 2020 Filed Jan 5, 2021 21:21 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
GiftCommon Stock 6,492 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-001050 · doc4.xml · nonDerivative · entry 1

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,252,574

Read SEC document
December 24, 2020 Filed Feb 11, 2021 21:31 UTC
ZEMLYAK JAMES MCo-President
GiftCommon Stock 20,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-009707 · doc5.xml · nonDerivative · entry 3

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,260,054

Read SEC document
December 07, 2020 Filed Dec 8, 2020 21:53 UTC
Nesi VictorCo-President
SaleCommon Stock 7,500 $74.02 $555,150.00
Disclosure

SEC source: 0001209191-20-062300 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,671

F1 · shares: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934, as amended.

Read SEC document
November 24, 2020 Filed Feb 11, 2021 21:29 UTC GiftCommon Stock 722 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-009698 · doc5.xml · nonDerivative · entry 3

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,840

Read SEC document
November 20, 2020 Filed Nov 20, 2020 23:55 UTC
Nesi VictorCo-President
SaleCommon Stock 1,000 $67.50 $67,500.00
Disclosure

SEC source: 0001209191-20-059766 · doc4.xml · nonDerivative · entry 2

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 12,383

Read SEC document
November 18, 2020 Filed Nov 20, 2020 23:55 UTC
Nesi VictorCo-President
GiftCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-059766 · doc4.xml · nonDerivative · entry 3

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,171

Read SEC document
November 18, 2020 Filed Nov 20, 2020 23:55 UTC
Nesi VictorCo-President
GiftCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-059766 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 13,383

Read SEC document
November 09, 2020 Filed Nov 10, 2020 21:58 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Disposition to issuerCommon Stock 25,622 $68.06 $1,743,833.32
Disclosure

SEC source: 0001209191-20-057675 · doc4.xml · nonDerivative · entry 1

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 839,378

Read SEC document
November 09, 2020 Filed Nov 10, 2020 21:54 UTC SaleCommon Stock 9,000 $68.14 $613,260.00
Disclosure

SEC source: 0001209191-20-057667 · doc4.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,463

Read SEC document
November 05, 2020 Filed Feb 11, 2021 21:29 UTC GiftCommon Stock 533 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-009698 · doc5.xml · nonDerivative · entry 2

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,562

Read SEC document
November 03, 2020 Filed Feb 11, 2021 21:29 UTC GiftCommon Stock 3,215 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-009698 · doc5.xml · nonDerivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,095

Read SEC document
September 10, 2020 Filed Sep 11, 2020 20:41 UTC SaleCommon Stock 1,335 $52.17 $69,646.95
Disclosure

SEC source: 0001209191-20-050153 · doc4.xml · nonDerivative · entry 4

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
September 10, 2020 Filed Sep 11, 2020 20:41 UTC SaleCommon Stock 2,447 $52.14 $127,586.58
Disclosure

SEC source: 0001209191-20-050153 · doc4.xml · nonDerivative · entry 3

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,335

Read SEC document
September 09, 2020 Filed Sep 11, 2020 20:41 UTC SaleCommon Stock 2,000 $50.76 $101,520.00
Disclosure

SEC source: 0001209191-20-050153 · doc4.xml · nonDerivative · entry 2

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,782

Read SEC document
September 09, 2020 Filed Sep 11, 2020 20:41 UTC SaleCommon Stock 2,500 $51.01 $127,525.00
Disclosure

SEC source: 0001209191-20-050153 · doc4.xml · nonDerivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,782

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:39 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035281 · doc4.xml · derivative · entry 2

Ludeman Daniel J. · CIK 0001785311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,096

Underlying: Common Stock · 1,900 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:39 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035281 · doc4.xml · nonDerivative · entry 1

Ludeman Daniel J. · CIK 0001785311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,900

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
June 05, 2020 Filed Jun 9, 2020 20:37 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035277 · doc4.xml · derivative · entry 2

Berlew Adam T. · CIK 0001785308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,096

Underlying: Common Stock · 1,900 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:37 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035277 · doc4.xml · nonDerivative · entry 1

Berlew Adam T. · CIK 0001785308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,900

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
June 05, 2020 Filed Jun 9, 2020 20:35 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035271 · doc4.xml · derivative · entry 2

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,096

Underlying: Common Stock · 1,900 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:35 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035271 · doc4.xml · nonDerivative · entry 1

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 16,315

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
June 05, 2020 Filed Jun 9, 2020 20:32 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035267 · doc4.xml · derivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,846

Underlying: Common Stock · 1,900 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:32 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035267 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,756

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
June 05, 2020 Filed Jun 9, 2020 20:28 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035259 · doc4.xml · derivative · entry 2

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,846

Underlying: Common Stock · 1,900 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:28 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035259 · doc4.xml · nonDerivative · entry 1

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,756

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
June 05, 2020 Filed Jun 9, 2020 20:26 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035255 · doc4.xml · derivative · entry 2

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,594

Underlying: Common Stock · 1,900 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:26 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035255 · doc4.xml · nonDerivative · entry 1

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,994

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
June 05, 2020 Filed Jun 9, 2020 20:21 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035251 · doc4.xml · derivative · entry 2

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,287

Underlying: Common Stock · 1,900 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:21 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035251 · doc4.xml · nonDerivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,283

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
June 05, 2020 Filed Jun 9, 2020 20:16 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035241 · doc4.xml · derivative · entry 2

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,792

Underlying: Common Stock · 1,900 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:16 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035241 · doc4.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,463

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
June 05, 2020 Filed Jun 9, 2020 20:18 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035247 · doc4.xml · derivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,597

Underlying: Common Stock · 1,900 shares

Expires not disclosed

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_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

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June 05, 2020 Filed Jun 9, 2020 20:18 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035247 · doc4.xml · nonDerivative · entry 1

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,434

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.

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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.