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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
January 02, 2020 Filed Jan 6, 2020 22:11 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 1,770 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-002005 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,054

Underlying: Common Stock · 1,770 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 02, 2020 Filed Jan 6, 2020 22:11 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 927 $61.44 $56,954.88
Disclosure

SEC source: 0001209191-20-002005 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,754

Read SEC document
January 02, 2020 Filed Jan 6, 2020 22:11 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 1,770 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-002005 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,681

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
January 02, 2020 Filed Jan 6, 2020 22:05 UTC Exercise / conversionPhantom Stock Units · Derivative 4,076 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001978 · doc4.xml · derivative · entry 2

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,091

Underlying: Common Stock · 4,076 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 02, 2020 Filed Jan 6, 2020 22:05 UTC Exercise / conversionCommon Stock 4,076 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001978 · doc4.xml · nonDerivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,383

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 02, 2020 Filed Jan 6, 2020 21:59 UTC Exercise / conversionPhantom Stock Units · Derivative 3,750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001945 · doc4.xml · derivative · entry 2

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,400

Underlying: Common Stock · 3,750 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 02, 2020 Filed Jan 6, 2020 21:59 UTC Exercise / conversionCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001945 · doc4.xml · nonDerivative · entry 1

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,094

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 02, 2020 Filed Jan 6, 2020 22:02 UTC Exercise / conversionPhantom Stock Units · Derivative 3,750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001966 · doc4.xml · derivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,401

Underlying: Common Stock · 3,750 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 02, 2020 Filed Jan 6, 2020 22:02 UTC Exercise / conversionCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001966 · doc4.xml · nonDerivative · entry 1

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,534

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 02, 2020 Filed Jan 6, 2020 21:58 UTC Exercise / conversionPhantom Stock Units · Derivative 3,750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001935 · doc4.xml · derivative · entry 2

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,407

Underlying: Common Stock · 3,750 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 02, 2020 Filed Jan 6, 2020 21:58 UTC Exercise / conversionCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001935 · doc4.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,056

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 02, 2020 Filed Jan 6, 2020 21:56 UTC Exercise / conversionPhantom Stock Units · Derivative 4,076 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001927 · doc4.xml · derivative · entry 2

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,596

Underlying: Common Stock · 4,076 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 02, 2020 Filed Jan 6, 2020 21:56 UTC Exercise / conversionCommon Stock 4,076 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001927 · doc4.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,511

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 02, 2020 Filed Jan 6, 2020 21:45 UTC
Nesi VictorCo-President
Exercise / conversionPhantom Stock Units · Derivative 1,745 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001887 · doc4.xml · derivative · entry 4

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,926

Underlying: Common Stock · 1,745 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 02, 2020 Filed Jan 6, 2020 21:45 UTC
Nesi VictorCo-President
Tax withholdingCommon Stock 689 $61.44 $42,332.16
Disclosure

SEC source: 0001209191-20-001887 · doc4.xml · nonDerivative · entry 2

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,216

Read SEC document
January 02, 2020 Filed Jan 6, 2020 21:45 UTC
Nesi VictorCo-President
Exercise / conversionCommon Stock 1,745 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001887 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,905

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 02, 2020 Filed Jan 6, 2020 21:47 UTC
Plotkin Ben AVice Chairman and SVP
Exercise / conversionPhantom Stock Units · Derivative 1,714 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001900 · doc4.xml · derivative · entry 3

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,089

Underlying: Common Stock · 1,714 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 02, 2020 Filed Jan 6, 2020 21:47 UTC
Plotkin Ben AVice Chairman and SVP
Tax withholdingCommon Stock 509 $61.44 $31,272.96
Disclosure

SEC source: 0001209191-20-001900 · doc4.xml · nonDerivative · entry 2

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,933

Read SEC document
January 02, 2020 Filed Jan 6, 2020 21:47 UTC
Plotkin Ben AVice Chairman and SVP
Exercise / conversionCommon Stock 1,714 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001900 · doc4.xml · nonDerivative · entry 1

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,442

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 02, 2020 Filed Jan 6, 2020 21:43 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionPhantom Stock Units · Derivative 11,334 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001879 · doc4.xml · derivative · entry 3

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,561

Underlying: Common Stock · 11,334 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 02, 2020 Filed Jan 6, 2020 21:43 UTC
Michaud Thomas B.Senior Vice President
Tax withholdingCommon Stock 3,904 $61.44 $239,861.76
Disclosure

SEC source: 0001209191-20-001879 · doc4.xml · nonDerivative · entry 2

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,510

Read SEC document
January 02, 2020 Filed Jan 6, 2020 21:43 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionCommon Stock 11,334 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001879 · doc4.xml · nonDerivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,414

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 02, 2020 Filed Jan 6, 2020 21:49 UTC
SLINEY DAVID DChief Operating Officer
Exercise / conversionPhantom Stock Units · Derivative 1,631 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001910 · doc4.xml · derivative · entry 3

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,709

Underlying: Common Stock · 1,631 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 02, 2020 Filed Jan 6, 2020 21:49 UTC
SLINEY DAVID DChief Operating Officer
Tax withholdingCommon Stock 572 $61.44 $35,143.68
Disclosure

SEC source: 0001209191-20-001910 · doc4.xml · nonDerivative · entry 2

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,935

Read SEC document
January 02, 2020 Filed Jan 6, 2020 21:49 UTC
SLINEY DAVID DChief Operating Officer
Exercise / conversionCommon Stock 1,631 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001910 · doc4.xml · nonDerivative · entry 1

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,507

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 02, 2020 Filed Jan 6, 2020 21:40 UTC
Marischen James MChief Financial Officer
Exercise / conversionPhantom Stock Units · Derivative 1,098 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001866 · doc4.xml · derivative · entry 3

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,246

Underlying: Common Stock · 1,098 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 02, 2020 Filed Jan 6, 2020 21:40 UTC
Marischen James MChief Financial Officer
Tax withholdingCommon Stock 550 $61.44 $33,792.00
Disclosure

SEC source: 0001209191-20-001866 · doc4.xml · nonDerivative · entry 2

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,638

Read SEC document
January 02, 2020 Filed Jan 6, 2020 21:40 UTC
Marischen James MChief Financial Officer
Exercise / conversionCommon Stock 1,098 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001866 · doc4.xml · nonDerivative · entry 1

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,188

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 02, 2020 Filed Jan 6, 2020 21:36 UTC
HIMELFARB RICHARD JSenior Vice President
Exercise / conversionPhantom Stock Units · Derivative 2,161 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001855 · doc4.xml · derivative · entry 3

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,783

Underlying: Common Stock · 2,161 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 02, 2020 Filed Jan 6, 2020 21:36 UTC
HIMELFARB RICHARD JSenior Vice President
Tax withholdingCommon Stock 758 $61.44 $46,571.52
Disclosure

SEC source: 0001209191-20-001855 · doc4.xml · nonDerivative · entry 2

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,177

Read SEC document
January 02, 2020 Filed Jan 6, 2020 21:36 UTC
HIMELFARB RICHARD JSenior Vice President
Exercise / conversionCommon Stock 2,161 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001855 · doc4.xml · nonDerivative · entry 1

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,935

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 02, 2020 Filed Jan 6, 2020 21:33 UTC
Brautigam AllenDirector, Branch Offices
Exercise / conversionPhantom Stock Units · Derivative 1,710 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001847 · doc4.xml · derivative · entry 3

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,203

Underlying: Common Stock · 1,710 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 02, 2020 Filed Jan 6, 2020 21:33 UTC
Brautigam AllenDirector, Branch Offices
Tax withholdingCommon Stock 600 $61.44 $36,864.00
Disclosure

SEC source: 0001209191-20-001847 · doc4.xml · nonDerivative · entry 2

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,281

Read SEC document
January 02, 2020 Filed Jan 6, 2020 21:33 UTC
Brautigam AllenDirector, Branch Offices
Exercise / conversionCommon Stock 1,710 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001847 · doc4.xml · nonDerivative · entry 1

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,881

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 26, 2019 Filed Dec 30, 2019 22:10 UTC
ZEMLYAK JAMES MCo-President
SaleCommon Stock 3,303 $61.65 $203,629.95
Disclosure

SEC source: 0001209191-19-062160 · doc4.xml · nonDerivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Son

Disclosed balance after: 2,544

Read SEC document
December 20, 2019 Filed Dec 23, 2019 21:39 UTC SaleCommon Stock 10,000 $61.99 $619,940.00
Disclosure

SEC source: 0001209191-19-061811 · doc4.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,435

Read SEC document
December 20, 2019 Filed Feb 13, 2020 21:09 UTC
ZEMLYAK JAMES MCo-President
GiftCommon Stock 160 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009160 · doc5.xml · nonDerivative · entry 4

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 840,709

Read SEC document
December 16, 2019 Filed Dec 17, 2019 21:23 UTC
Nesi VictorCo-President
SaleCommon Stock 1,875 $62.22 $116,653.50
Disclosure

SEC source: 0001209191-19-060866 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,160

Read SEC document
December 11, 2019 Filed Dec 12, 2019 21:14 UTC SaleCommon Stock 4,000 $61.35 $245,400.00
Disclosure

SEC source: 0001209191-19-060208 · doc4.xml · nonDerivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,307

Read SEC document
November 27, 2019 Filed Feb 13, 2020 21:09 UTC
ZEMLYAK JAMES MCo-President
GiftCommon Stock 400 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009160 · doc5.xml · nonDerivative · entry 3

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 840,869

Read SEC document
November 21, 2019 Filed Feb 13, 2020 21:06 UTC GiftCommon Stock 2,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009158 · doc5.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,511

Read SEC document
November 07, 2019 Filed Nov 8, 2019 21:19 UTC
HIMELFARB RICHARD JSenior Vice President
SaleCommon Stock 10,000 $60.75 $607,500.00
Disclosure

SEC source: 0001209191-19-055815 · doc4.xml · nonDerivative · entry 1

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,774

Read SEC document
November 05, 2019 Filed Nov 6, 2019 21:23 UTC
Nesi VictorCo-President
SaleCommon Stock 1,739 $60.00 $104,340.00
Disclosure

SEC source: 0001209191-19-055488 · doc4.xml · nonDerivative · entry 2

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,035

Read SEC document
November 04, 2019 Filed Nov 6, 2019 21:25 UTC
Brautigam AllenDirector, Branch Offices
SaleCommon Stock 1,000 $59.63 $59,630.00
Disclosure

SEC source: 0001209191-19-055492 · doc4.xml · nonDerivative · entry 1

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,171

Read SEC document
November 04, 2019 Filed Nov 6, 2019 21:23 UTC
Nesi VictorCo-President
SaleCommon Stock 136 $60.00 $8,160.00
Disclosure

SEC source: 0001209191-19-055488 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,774

Read SEC document
September 13, 2019 Filed Sep 13, 2019 20:25 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
SaleCommon Stock 10,000 $59.33 $593,290.00
Disclosure

SEC source: 0001209191-19-049481 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,911

Read SEC document
September 10, 2019 Filed Sep 11, 2019 20:19 UTC SaleCommon Stock 2,150 $56.79 $122,098.50
Disclosure

SEC source: 0001209191-19-049158 · doc4.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,306

Read SEC document
September 09, 2019 Filed Sep 9, 2019 20:26 UTC
Plotkin Ben AVice Chairman and SVP
SaleCommon Stock 9,012 $55.73 $502,238.76
Disclosure

SEC source: 0001209191-19-048900 · doc4.xml · nonDerivative · entry 1

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,728

Read SEC document
September 05, 2019 Filed Sep 5, 2019 20:53 UTC SaleCommon Stock 1,500 $54.71 $82,065.00
Disclosure

SEC source: 0001209191-19-048563 · doc4.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,456

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August 30, 2019 Filed Sep 3, 2019 20:15 UTC SaleCommon Stock 2,500 $53.45 $133,625.00
Disclosure

SEC source: 0001209191-19-047946 · doc4.xml · nonDerivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,307

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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.