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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
June 03, 2020 Filed Jun 4, 2020 20:42 UTC SaleCommon Stock 2,400 $51.55 $123,720.00
Disclosure

SEC source: 0001209191-20-034448 · doc4.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,281

Read SEC document
May 29, 2020 Filed Jun 2, 2020 20:48 UTC GrantPhantom Stock Units · Derivative 2,094 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-033575 · doc4.xml · derivative · entry 2

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,494

Underlying: Common Stock · 2,094 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

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

Read SEC document
May 29, 2020 Filed Jun 2, 2020 20:40 UTC GrantPhantom Stock Units · Derivative 2,096 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-033564 · doc4.xml · derivative · entry 2

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,692

Underlying: Common Stock · 2,096 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

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

Read SEC document
May 29, 2020 Filed Jun 2, 2020 20:42 UTC GrantPhantom Stock Units · Derivative 2,096 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-033569 · doc4.xml · derivative · entry 2

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,996

Underlying: Common Stock · 2,096 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

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

Read SEC document
May 29, 2020 Filed Jun 2, 2020 20:38 UTC GrantPhantom Stock Units · Derivative 2,096 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-033559 · doc4.xml · derivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,746

Underlying: Common Stock · 2,096 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

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

Read SEC document
May 29, 2020 Filed Jun 2, 2020 20:37 UTC GrantPhantom Stock Units · Derivative 2,096 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-033557 · doc4.xml · derivative · entry 1

Ludeman Daniel J. · CIK 0001785311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,996

Underlying: Common Stock · 2,096 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

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

Read SEC document
May 29, 2020 Filed Jun 2, 2020 20:35 UTC GrantPhantom Stock Units · Derivative 2,096 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-033549 · doc4.xml · derivative · entry 2

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,187

Underlying: Common Stock · 2,096 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

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

Read SEC document
May 29, 2020 Filed Jun 2, 2020 20:33 UTC GrantPhantom Stock Units · Derivative 2,096 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-033548 · doc4.xml · derivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,497

Underlying: Common Stock · 2,096 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

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

Read SEC document
May 29, 2020 Filed Jun 2, 2020 20:30 UTC GrantPhantom Stock Units · Derivative 2,096 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-033540 · doc4.xml · derivative · entry 1

Berlew Adam T. · CIK 0001785308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,996

Underlying: Common Stock · 2,096 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

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

Read SEC document
May 29, 2020 Filed Jun 2, 2020 20:31 UTC GrantPhantom Stock Units · Derivative 2,096 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-033546 · doc4.xml · derivative · entry 2

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,746

Underlying: Common Stock · 2,096 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

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

Read SEC document
May 26, 2020 Filed May 26, 2020 20:54 UTC SaleCommon Stock 3,000 $48.04 $144,120.00
Disclosure

SEC source: 0001209191-20-032053 · doc4.xml · nonDerivative · entry 2

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,681

Read SEC document
May 21, 2020 Filed May 26, 2020 20:54 UTC SaleCommon Stock 4,000 $46.19 $184,760.00
Disclosure

SEC source: 0001209191-20-032053 · doc4.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,681

Read SEC document
May 15, 2020 Filed May 19, 2020 21:32 UTC Exercise / conversionPhantom Stock Units · Derivative 9,400 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-030609 · doc4.xml · derivative · entry 2

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,400 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
May 15, 2020 Filed May 19, 2020 21:32 UTC Exercise / conversionCommon Stock 9,400 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-030609 · doc4.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,681

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
May 08, 2020 Filed May 11, 2020 20:29 UTC SaleCommon Stock 12,775 $44.55 $569,126.25
Disclosure

SEC source: 0001209191-20-028278 · doc4.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,281

Read SEC document
March 25, 2020 Filed Mar 26, 2020 20:25 UTC PurchaseCommon Stock 1,000 $40.99 $40,990.00
Disclosure

SEC source: 0001209191-20-021254 · doc4.xml · nonDerivative · entry 1

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 14,415

Read SEC document
March 25, 2020 Filed Feb 11, 2021 21:31 UTC
ZEMLYAK JAMES MCo-President
GiftCommon Stock 815 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-009707 · doc5.xml · nonDerivative · entry 2

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,280,054

Read SEC document
March 25, 2020 Filed Feb 11, 2021 21:31 UTC
ZEMLYAK JAMES MCo-President
GiftCommon Stock 815 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-009707 · doc5.xml · nonDerivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Son

Disclosed balance after: 6,480

Read SEC document
March 23, 2020 Filed Mar 23, 2020 20:25 UTC PurchaseCommon Stock 1,000 $32.47 $32,468.00
Disclosure

SEC source: 0001209191-20-020635 · doc4.xml · nonDerivative · entry 1

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 13,415

Read SEC document
March 19, 2020 Filed Mar 20, 2020 20:21 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
PurchaseCommon Stock 10,000 $31.85 $318,500.00
Disclosure

SEC source: 0001209191-20-020453 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 865,000

Read SEC document
March 09, 2020 Filed Mar 11, 2020 20:26 UTC SaleCommon Stock 5,000 $43.39 $216,950.00
Disclosure

SEC source: 0001209191-20-018100 · doc4.xml · nonDerivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,383

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:19 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Exercise / conversionPhantom Stock Units · Derivative 177,867 $63.23 Strike: $0.00 $11,246,530.41
Disclosure

SEC source: 0001209191-20-015603 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,018

Underlying: Common Stock · 177,867 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.

F6 · derivative.exercise_date: Currently exercisable.

F5 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:19 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
GrantPhantom Stock Units · Derivative 222,333 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015603 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311,885

Underlying: Common Stock · 222,333 shares

Expires not disclosed

F4 · derivative.exercise_date: Of these Units, 80 percent are vested. The remaining 20 percent will vest on 2/25/21.

F5 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:19 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Disposition to issuerCommon Stock 71,332 $63.23 $4,510,322.36
Disclosure

SEC source: 0001209191-20-015603 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 855,000

F3 · shares: From among the shares delivered, the units indicated in this ROW were net settled for cash by the Company from the reporting person.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:19 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Tax withholdingCommon Stock 80,910 $63.23 $5,115,939.30
Disclosure

SEC source: 0001209191-20-015603 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 926,332

F2 · shares: From among the shares delivered, the shares indicated in this row above were disposed of as a withholding or payment for tax liability.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:19 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Exercise / conversionCommon Stock 177,867 $63.23 $11,246,530.41
Disclosure

SEC source: 0001209191-20-015603 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,007,242

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 · shares: The shares indicated in this row were delivered to the reporting person, based on the PRSU award agreement, dated February 25, 2016, based on the opening market price on the calculation date specified in that agreement.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:17 UTC
Nesi VictorCo-President
Exercise / conversionPhantom Stock Units · Derivative 94,269 $63.23 Strike: $0.00 $5,960,628.87
Disclosure

SEC source: 0001209191-20-015599 · doc4.xml · derivative · entry 6

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,501

Underlying: Common Stock · 94,269 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.

F6 · derivative.exercise_date: Currently exercisable.

F5 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:17 UTC
Nesi VictorCo-President
GrantPhantom Stock Units · Derivative 117,837 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015599 · doc4.xml · derivative · entry 5

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,770

Underlying: Common Stock · 117,837 shares

Expires not disclosed

F4 · derivative.exercise_date: Of these Units, 80 percent are vested. The remaining 20 percent will vest on 2/25/21.

F5 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:17 UTC
Nesi VictorCo-President
Disposition to issuerCommon Stock 47,993 $63.23 $3,034,597.39
Disclosure

SEC source: 0001209191-20-015599 · doc4.xml · nonDerivative · entry 3

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,466

F3 · shares: From among the shares delivered, the units indicated in this ROW were net settled for cash by the Company from the reporting person.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:17 UTC
Nesi VictorCo-President
Tax withholdingCommon Stock 46,276 $63.23 $2,926,031.48
Disclosure

SEC source: 0001209191-20-015599 · doc4.xml · nonDerivative · entry 2

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,459

F2 · shares: From among the shares delivered, the shares indicated in this row above were disposed of as a withholding or payment for tax liability.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:17 UTC
Nesi VictorCo-President
Exercise / conversionCommon Stock 94,269 $63.23 $5,960,628.87
Disclosure

SEC source: 0001209191-20-015599 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,735

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 · shares: The shares indicated in this row were delivered to the reporting person, based on the PRSU award agreement, dated February 25, 2016, based on the opening market price on the calculation date specified in that agreement.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:14 UTC
HIMELFARB RICHARD JSenior Vice President
Exercise / conversionPhantom Stock Units · Derivative 17,787 $63.23 Strike: $0.00 $1,124,672.01
Disclosure

SEC source: 0001209191-20-015587 · doc4.xml · derivative · entry 5

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,229

Underlying: Common Stock · 17,787 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.

F6 · derivative.exercise_date: Currently exercisable.

F5 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:14 UTC
HIMELFARB RICHARD JSenior Vice President
GrantPhantom Stock Units · Derivative 22,233 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015587 · doc4.xml · derivative · entry 4

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,016

Underlying: Common Stock · 22,233 shares

Expires not disclosed

F4 · derivative.exercise_date: Of these Units, 80 percent are vested. The remaining 20 percent will vest on 2/25/21.

F5 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:14 UTC
HIMELFARB RICHARD JSenior Vice President
Disposition to issuerCommon Stock 9,197 $63.23 $581,526.31
Disclosure

SEC source: 0001209191-20-015587 · doc4.xml · nonDerivative · entry 3

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,177

F3 · shares: From among the shares delivered, the units indicated in this ROW were net settled for cash by the Company from the reporting person.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:14 UTC
HIMELFARB RICHARD JSenior Vice President
Tax withholdingCommon Stock 8,590 $63.23 $543,145.70
Disclosure

SEC source: 0001209191-20-015587 · doc4.xml · nonDerivative · entry 2

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,374

F2 · shares: From among the shares delivered, the shares indicated in this row above were disposed of as a withholding or payment for tax liability.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:14 UTC
HIMELFARB RICHARD JSenior Vice President
Exercise / conversionCommon Stock 17,787 $63.23 $1,124,672.01
Disclosure

SEC source: 0001209191-20-015587 · doc4.xml · nonDerivative · entry 1

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,964

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 · shares: The shares indicated in this row were delivered to the reporting person, based on the PRSU award agreement, dated February 25, 2016, based on the opening market price on the calculation date specified in that agreement.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:12 UTC
Plotkin Ben AVice Chairman and SVP
Exercise / conversionPhantom Stock Units · Derivative 17,787 $63.23 Strike: $0.00 $1,124,672.01
Disclosure

SEC source: 0001209191-20-015580 · doc4.xml · derivative · entry 5

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,880

Underlying: Common Stock · 17,787 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.

F6 · derivative.exercise_date: Currently exercisable.

F5 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:12 UTC
Plotkin Ben AVice Chairman and SVP
GrantPhantom Stock Units · Derivative 22,233 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015580 · doc4.xml · derivative · entry 4

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,667

Underlying: Common Stock · 22,233 shares

Expires not disclosed

F4 · derivative.exercise_date: Of these Units, 80 percent are vested. The remaining 20 percent will vest on 2/25/21.

F5 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:12 UTC
Plotkin Ben AVice Chairman and SVP
Disposition to issuerCommon Stock 11,034 $63.23 $697,679.82
Disclosure

SEC source: 0001209191-20-015580 · doc4.xml · nonDerivative · entry 3

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,933

F3 · shares: From among the shares delivered, the units indicated in this ROW were net settled for cash by the Company from the reporting person.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:12 UTC
Plotkin Ben AVice Chairman and SVP
Tax withholdingCommon Stock 6,753 $63.23 $426,992.19
Disclosure

SEC source: 0001209191-20-015580 · doc4.xml · nonDerivative · entry 2

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,967

F2 · shares: From among the shares delivered, the shares indicated in this row above were disposed of as a withholding or payment for tax liability.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:12 UTC
Plotkin Ben AVice Chairman and SVP
Exercise / conversionCommon Stock 17,787 $63.23 $1,124,672.01
Disclosure

SEC source: 0001209191-20-015580 · doc4.xml · nonDerivative · entry 1

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,720

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 · shares: The shares indicated in this row were delivered to the reporting person, based on the PRSU award agreement, dated February 25, 2016, based on the opening market price on the calculation date specified in that agreement.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:10 UTC Exercise / conversionPhantom Stock Units · Derivative 17,787 $63.23 Strike: $0.00 $1,124,672.01
Disclosure

SEC source: 0001209191-20-015577 · doc4.xml · derivative · entry 5

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,195

Underlying: Common Stock · 17,787 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.

F6 · derivative.exercise_date: Currently exercisable.

F5 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:10 UTC GrantPhantom Stock Units · Derivative 22,233 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015577 · doc4.xml · derivative · entry 4

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,982

Underlying: Common Stock · 22,233 shares

Expires not disclosed

F4 · derivative.exercise_date: Of these Units, 80 percent are vested. The remaining 20 percent will vest on 2/25/21.

F5 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:10 UTC Disposition to issuerCommon Stock 10,013 $63.23 $633,121.99
Disclosure

SEC source: 0001209191-20-015577 · doc4.xml · nonDerivative · entry 3

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,029

F3 · shares: From among the shares delivered, the units indicated in this ROW were net settled for cash by the Company from the reporting person.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 23:10 UTC Tax withholdingCommon Stock 7,774 $63.23 $491,550.02
Disclosure

SEC source: 0001209191-20-015577 · doc4.xml · nonDerivative · entry 2

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,042

F2 · shares: From among the shares delivered, the shares indicated in this row above were disposed of as a withholding or payment for tax liability.

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March 03, 2020 Filed Mar 3, 2020 23:10 UTC Exercise / conversionCommon Stock 17,787 $63.23 $1,124,672.01
Disclosure

SEC source: 0001209191-20-015577 · doc4.xml · nonDerivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,816

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 · shares: The shares indicated in this row were delivered to the reporting person, based on the PRSU award agreement, dated February 25, 2016, based on the opening market price on the calculation date specified in that agreement.

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March 03, 2020 Filed Mar 3, 2020 23:08 UTC
ZEMLYAK JAMES MCo-President
Exercise / conversionPhantom Stock Units · Derivative 78,261 $63.23 Strike: $0.00 $4,948,443.03
Disclosure

SEC source: 0001209191-20-015569 · doc4.xml · derivative · entry 6

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,507

Underlying: Common Stock · 78,261 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.

F6 · derivative.exercise_date: Currently exercisable.

F5 · derivative.expiration_date: No expiration date for these Units.

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March 03, 2020 Filed Mar 3, 2020 23:08 UTC
ZEMLYAK JAMES MCo-President
GrantPhantom Stock Units · Derivative 97,827 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015569 · doc4.xml · derivative · entry 5

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,768

Underlying: Common Stock · 97,827 shares

Expires not disclosed

F4 · derivative.exercise_date: Of these Units, 80 percent are vested. The remaining 20 percent will vest on 2/25/21.

F5 · derivative.expiration_date: No expiration date for these Units.

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March 03, 2020 Filed Mar 3, 2020 23:08 UTC
ZEMLYAK JAMES MCo-President
Disposition to issuerCommon Stock 42,465 $63.23 $2,685,061.95
Disclosure

SEC source: 0001209191-20-015569 · doc4.xml · nonDerivative · entry 3

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 840,709

F3 · shares: From among the shares delivered, the units indicated in this ROW were net settled for cash by the Company from the reporting person.

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March 03, 2020 Filed Mar 3, 2020 23:08 UTC
ZEMLYAK JAMES MCo-President
Tax withholdingCommon Stock 35,796 $63.23 $2,263,381.08
Disclosure

SEC source: 0001209191-20-015569 · doc4.xml · nonDerivative · entry 2

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 883,174

F2 · shares: From among the shares delivered, the shares indicated in this row above were disposed of as a withholding or payment for tax liability.

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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.