Tapewire

NYSE · USD

SF

STIFEL FINANCIAL CORP

Export transactions ↓
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

JSON API
Reset

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, 2019 Filed Jan 4, 2019 21:32 UTC Exercise / conversionCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001982 · doc4.xml · nonDerivative · entry 1

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,444

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, 2019 Filed Jan 4, 2019 21:31 UTC Exercise / conversionPhantom Stock Units · Derivative 3,701 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001978 · doc4.xml · derivative · entry 3

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,427

Underlying: Common Stock · 3,701 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, 2019 Filed Jan 4, 2019 21:31 UTC Tax withholdingCommon Stock 1,475 $41.42 $61,094.50
Disclosure

SEC source: 0001209191-19-001978 · doc4.xml · nonDerivative · entry 2

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,138

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:31 UTC Exercise / conversionCommon Stock 3,701 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001978 · doc4.xml · nonDerivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,613

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, 2019 Filed Jan 4, 2019 21:31 UTC
ZEMLYAK JAMES MCo-President
Exercise / conversionPhantom Stock Units · Derivative 2,653 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001980 · doc4.xml · derivative · entry 3

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,178

Underlying: Common Stock · 2,653 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, 2019 Filed Jan 4, 2019 21:31 UTC
ZEMLYAK JAMES MCo-President
Exercise / conversionCommon Stock 2,653 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001980 · doc4.xml · nonDerivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 838,080

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, 2019 Filed Jan 4, 2019 21:31 UTC
SLINEY DAVID DChief Operating Officer
Exercise / conversionPhantom Stock Units · Derivative 698 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001975 · doc4.xml · derivative · entry 3

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,641

Underlying: Common Stock · 698 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, 2019 Filed Jan 4, 2019 21:31 UTC
SLINEY DAVID DChief Operating Officer
Tax withholdingCommon Stock 246 $41.42 $10,189.32
Disclosure

SEC source: 0001209191-19-001975 · doc4.xml · nonDerivative · entry 2

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,876

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:31 UTC
SLINEY DAVID DChief Operating Officer
Exercise / conversionCommon Stock 698 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001975 · doc4.xml · nonDerivative · entry 1

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,122

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, 2019 Filed Jan 4, 2019 21:30 UTC
Plotkin Ben AVice Chairman and SVP
Exercise / conversionPhantom Stock Units · Derivative 6,766 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001972 · doc4.xml · derivative · entry 3

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,803

Underlying: Common Stock · 6,766 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, 2019 Filed Jan 4, 2019 21:30 UTC
Plotkin Ben AVice Chairman and SVP
Tax withholdingCommon Stock 1,754 $41.42 $72,650.68
Disclosure

SEC source: 0001209191-19-001972 · doc4.xml · nonDerivative · entry 2

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,740

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:30 UTC
Plotkin Ben AVice Chairman and SVP
Exercise / conversionCommon Stock 6,766 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001972 · doc4.xml · nonDerivative · entry 1

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,494

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, 2019 Filed Jan 4, 2019 21:29 UTC
Nesi VictorCo-President
Exercise / conversionPhantom Stock Units · Derivative 2,764 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001964 · doc4.xml · derivative · entry 4

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,201

Underlying: Common Stock · 2,764 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, 2019 Filed Jan 4, 2019 21:29 UTC
Nesi VictorCo-President
Tax withholdingCommon Stock 884 $41.42 $36,615.28
Disclosure

SEC source: 0001209191-19-001964 · doc4.xml · nonDerivative · entry 2

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,660

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:29 UTC
Nesi VictorCo-President
Exercise / conversionCommon Stock 2,764 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001964 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,544

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, 2019 Filed Jan 4, 2019 21:28 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionPhantom Stock Units · Derivative 8,312 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001959 · doc4.xml · derivative · entry 3

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,979

Underlying: Common Stock · 8,312 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, 2019 Filed Jan 4, 2019 21:28 UTC
Michaud Thomas B.Senior Vice President
Tax withholdingCommon Stock 2,982 $41.42 $123,514.44
Disclosure

SEC source: 0001209191-19-001959 · doc4.xml · nonDerivative · entry 2

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,080

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:28 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionCommon Stock 8,312 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001959 · doc4.xml · nonDerivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,062

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, 2019 Filed Jan 4, 2019 21:27 UTC
Marischen James MChief Financial Officer
Exercise / conversionPhantom Stock Units · Derivative 1,352 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001955 · doc4.xml · derivative · entry 3

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,256

Underlying: Common Stock · 1,352 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, 2019 Filed Jan 4, 2019 21:27 UTC
Marischen James MChief Financial Officer
Tax withholdingCommon Stock 431 $41.42 $17,852.02
Disclosure

SEC source: 0001209191-19-001955 · doc4.xml · nonDerivative · entry 2

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,090

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:27 UTC
Marischen James MChief Financial Officer
Exercise / conversionCommon Stock 1,352 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001955 · doc4.xml · nonDerivative · entry 1

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,521

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, 2019 Filed Jan 4, 2019 21:26 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Exercise / conversionPhantom Stock Units · Derivative 40,248 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001951 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,149

Underlying: Common Stock · 40,248 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, 2019 Filed Jan 4, 2019 21:26 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Exercise / conversionCommon Stock 40,248 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001951 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,026,203

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, 2019 Filed Jan 4, 2019 21:26 UTC
HIMELFARB RICHARD JSenior Vice President
Exercise / conversionPhantom Stock Units · Derivative 2,625 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001947 · doc4.xml · derivative · entry 3

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,944

Underlying: Common Stock · 2,625 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, 2019 Filed Jan 4, 2019 21:26 UTC
HIMELFARB RICHARD JSenior Vice President
Tax withholdingCommon Stock 1,014 $41.42 $41,999.88
Disclosure

SEC source: 0001209191-19-001947 · doc4.xml · nonDerivative · entry 2

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,774

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:26 UTC
HIMELFARB RICHARD JSenior Vice President
Exercise / conversionCommon Stock 2,625 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001947 · doc4.xml · nonDerivative · entry 1

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,788

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, 2019 Filed Jan 4, 2019 21:25 UTC Exercise / conversionPhantom Stock Units · Derivative 4,179 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001943 · doc4.xml · derivative · entry 2

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,167

Underlying: Common Stock · 4,179 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, 2019 Filed Jan 4, 2019 21:25 UTC Exercise / conversionCommon Stock 4,179 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001943 · doc4.xml · nonDerivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,907

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, 2019 Filed Jan 4, 2019 21:25 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 502 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001938 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,337

Underlying: Common Stock · 502 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, 2019 Filed Jan 4, 2019 21:25 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 206 $41.42 $8,532.52
Disclosure

SEC source: 0001209191-19-001938 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,875

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:25 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 502 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001938 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,081

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, 2019 Filed Jan 4, 2019 21:22 UTC
Brautigam AllenDirector, Branch Offices
Exercise / conversionPhantom Stock Units · Derivative 688 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001923 · doc4.xml · derivative · entry 3

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,173

Underlying: Common Stock · 688 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, 2019 Filed Jan 4, 2019 21:22 UTC
Brautigam AllenDirector, Branch Offices
Tax withholdingCommon Stock 242 $41.42 $10,023.64
Disclosure

SEC source: 0001209191-19-001923 · doc4.xml · nonDerivative · entry 2

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,171

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:22 UTC
Brautigam AllenDirector, Branch Offices
Exercise / conversionCommon Stock 688 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001923 · doc4.xml · nonDerivative · entry 1

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,413

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, 2019 Filed Jan 4, 2019 21:23 UTC Exercise / conversionPhantom Stock Units · Derivative 3,750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001930 · doc4.xml · derivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,151

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, 2019 Filed Jan 4, 2019 21:23 UTC Exercise / conversionCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001930 · doc4.xml · nonDerivative · entry 1

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,884

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 17, 2018 Filed Dec 18, 2018 21:39 UTC
SLINEY DAVID DDir Strategic Planning & Tech
GrantPhantom Stock Units · Derivative 28 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-063216 · doc4.xml · derivative · entry 1

SLINEY DAVID D · CIK 0001203692 · Dir Strategic Planning & Tech

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,339

Underlying: Common Stock · 28 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

Read SEC document
December 17, 2018 Filed Dec 18, 2018 21:42 UTC
ZEMLYAK JAMES MChief Fincial & Admin Officer
GrantPhantom Stock Units · Derivative 82 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-063223 · doc4.xml · derivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Chief Fincial & Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,831

Underlying: Common Stock · 82 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

Read SEC document
December 17, 2018 Filed Dec 18, 2018 21:40 UTC GrantPhantom Stock Units · Derivative 15 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-063221 · doc4.xml · derivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,128

Underlying: Common Stock · 15 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

Read SEC document
December 17, 2018 Filed Dec 18, 2018 21:38 UTC
Plotkin Ben AVice Chairman and SVP
GrantPhantom Stock Units · Derivative 27 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-063212 · doc4.xml · derivative · entry 1

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,569

Underlying: Common Stock · 27 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

Read SEC document
December 17, 2018 Filed Dec 18, 2018 21:35 UTC
Nesi VictorCo-President
GrantPhantom Stock Units · Derivative 69 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-063209 · doc4.xml · derivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,965

Underlying: Common Stock · 69 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

Read SEC document
December 17, 2018 Filed Dec 18, 2018 21:33 UTC
Michaud Thomas B.Senior Vice President
GrantPhantom Stock Units · Derivative 98 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-063204 · doc4.xml · derivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,291

Underlying: Common Stock · 98 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

Read SEC document
December 17, 2018 Filed Dec 18, 2018 21:31 UTC
Marischen James MSenior VP & Chief Risk Officer
GrantPhantom Stock Units · Derivative 49 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-063199 · doc4.xml · derivative · entry 1

Marischen James M · CIK 0001638499 · Senior VP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,608

Underlying: Common Stock · 49 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

Read SEC document
December 17, 2018 Filed Dec 18, 2018 21:29 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
GrantPhantom Stock Units · Derivative 346 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-063194 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,397

Underlying: Common Stock · 346 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

Read SEC document
December 17, 2018 Filed Dec 18, 2018 21:28 UTC
HIMELFARB RICHARD JSenior Vice President
GrantPhantom Stock Units · Derivative 17 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-063188 · doc4.xml · derivative · entry 1

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,569

Underlying: Common Stock · 17 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

Read SEC document
December 17, 2018 Filed Dec 18, 2018 21:26 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
GrantPhantom Stock Units · Derivative 45 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-063182 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,839

Underlying: Common Stock · 45 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

Read SEC document
December 17, 2018 Filed Dec 18, 2018 21:25 UTC
Brautigam AllenDirector, Branch Offices
GrantPhantom Stock Units · Derivative 22 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-063178 · doc4.xml · derivative · entry 1

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,861

Underlying: Common Stock · 22 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

Read SEC document
November 07, 2018 Filed Nov 7, 2018 21:28 UTC PurchaseCommon Stock 5,000 $48.39 $241,950.00
Disclosure

SEC source: 0001209191-18-057572 · doc4.xml · nonDerivative · entry 1

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,694

Read SEC document
November 07, 2018 Filed Nov 9, 2018 21:23 UTC PurchaseCommon Stock 200 $48.53 $9,706.00
Disclosure

SEC source: 0001209191-18-057956 · doc4.xml · nonDerivative · entry 2

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 8,515

Read SEC document
November 07, 2018 Filed Nov 9, 2018 21:23 UTC PurchaseCommon Stock 1,800 $48.55 $87,389.64
Disclosure

SEC source: 0001209191-18-057956 · doc4.xml · nonDerivative · entry 1

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 8,315

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.