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STIFEL FINANCIAL CORP

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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

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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 07, 2018 Filed Jun 8, 2018 20:07 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000061 · edgardoc.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,900

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 07, 2018 Filed Jun 8, 2018 20:06 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000059 · edgardoc.xml · derivative · entry 3

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,346

Underlying: Common Stock · 1,900 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

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

Read SEC document
June 07, 2018 Filed Jun 8, 2018 20:06 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000059 · edgardoc.xml · nonDerivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,728

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 07, 2018 Filed Jun 8, 2018 20:06 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000058 · edgardoc.xml · derivative · entry 3

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,907

Underlying: Common Stock · 1,900 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

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

Read SEC document
June 07, 2018 Filed Jun 8, 2018 20:06 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000058 · edgardoc.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,306

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 07, 2018 Filed Jun 8, 2018 20:06 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000057 · edgardoc.xml · derivative · entry 3

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,650

Underlying: Common Stock · 1,900 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

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

Read SEC document
June 07, 2018 Filed Jun 8, 2018 20:06 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000057 · edgardoc.xml · nonDerivative · entry 1

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,900

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 07, 2018 Filed Jun 8, 2018 20:05 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000056 · edgardoc.xml · derivative · entry 3

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,901

Underlying: Common Stock · 1,900 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

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

Read SEC document
June 07, 2018 Filed Jun 8, 2018 20:05 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000056 · edgardoc.xml · nonDerivative · entry 1

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,134

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 06, 2018 Filed Jun 8, 2018 20:08 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000065 · edgardoc.xml · derivative · entry 2

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,800

Underlying: Common Stock · 1,900 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
June 06, 2018 Filed Jun 8, 2018 20:07 UTC Exercise / conversionPhantom Stock Units · Derivative 16,150 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000064 · edgardoc.xml · derivative · entry 4

WESTBROOK KELVIN R · CIK 0001190588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,150 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

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

Read SEC document
June 06, 2018 Filed Jun 8, 2018 20:07 UTC Exercise / conversionPhantom Stock Units · Derivative 750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000064 · edgardoc.xml · derivative · entry 3

WESTBROOK KELVIN R · CIK 0001190588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,150

Underlying: Common Stock · 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
June 06, 2018 Filed Jun 8, 2018 20:07 UTC Exercise / conversionCommon Stock 16,150 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000064 · edgardoc.xml · nonDerivative · entry 2

WESTBROOK KELVIN R · CIK 0001190588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,109

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 06, 2018 Filed Jun 8, 2018 20:07 UTC Exercise / conversionCommon Stock 750 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000064 · edgardoc.xml · nonDerivative · entry 1

WESTBROOK KELVIN R · CIK 0001190588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,959

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 06, 2018 Filed Jun 8, 2018 20:07 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000063 · edgardoc.xml · derivative · entry 3

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,800

Underlying: Common Stock · 1,900 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
June 06, 2018 Filed Jun 8, 2018 20:07 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000062 · edgardoc.xml · derivative · entry 2

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,751

Underlying: Common Stock · 1,900 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
June 06, 2018 Filed Jun 8, 2018 20:07 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000061 · edgardoc.xml · derivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,550

Underlying: Common Stock · 1,900 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
June 06, 2018 Filed Jun 8, 2018 20:06 UTC Exercise / conversionPhantom Stock Units · Derivative 9,419 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000060 · edgardoc.xml · derivative · entry 4

HANSER FREDERICK O · CIK 0001188881 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,419 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

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

Read SEC document
June 06, 2018 Filed Jun 8, 2018 20:06 UTC Exercise / conversionPhantom Stock Units · Derivative 7,481 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000060 · edgardoc.xml · derivative · entry 3

HANSER FREDERICK O · CIK 0001188881 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,419

Underlying: Common Stock · 7,481 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

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

Read SEC document
June 06, 2018 Filed Jun 8, 2018 20:06 UTC Exercise / conversionCommon Stock 9,419 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000060 · edgardoc.xml · nonDerivative · entry 2

HANSER FREDERICK O · CIK 0001188881 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,905

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
June 06, 2018 Filed Jun 8, 2018 20:06 UTC Exercise / conversionCommon Stock 7,481 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000060 · edgardoc.xml · nonDerivative · entry 1

HANSER FREDERICK O · CIK 0001188881 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,486

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 06, 2018 Filed Jun 8, 2018 20:06 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000059 · edgardoc.xml · derivative · entry 2

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,246

Underlying: Common Stock · 1,900 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
June 06, 2018 Filed Jun 8, 2018 20:06 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000058 · edgardoc.xml · derivative · entry 2

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,807

Underlying: Common Stock · 1,900 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
June 06, 2018 Filed Jun 8, 2018 20:06 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000057 · edgardoc.xml · derivative · entry 2

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,550

Underlying: Common Stock · 1,900 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
June 06, 2018 Filed Jun 8, 2018 20:05 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000056 · edgardoc.xml · derivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,801

Underlying: Common Stock · 1,900 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 24, 2018 Filed Feb 14, 2019 21:35 UTC GiftCommon Stock 1,667 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-010192 · doc5.xml · nonDerivative · entry 1

WESTBROOK KELVIN R · CIK 0001190588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,442

Read SEC document
May 08, 2018 Filed May 9, 2018 20:51 UTC SaleCommon Stock 5,000 $60.15 $300,750.00
Disclosure

SEC source: 0000720672-18-000054 · edgardoc.xml · nonDerivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,828

Read SEC document
March 15, 2018 Filed Mar 19, 2018 20:29 UTC
ZEMLYAK JAMES MCHIEF FIN'L & ADMIN OFFCR
GrantPhantom Stock Units · Derivative 51 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000052 · edgardoc.xml · derivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · CHIEF FIN'L & ADMIN OFFCR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,613

Underlying: Common Stock · 51 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 connect 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-one 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 connect 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-one basis.

Read SEC document
March 15, 2018 Filed Mar 19, 2018 20:29 UTC GrantPhantom Stock Units · Derivative 10 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000051 · edgardoc.xml · derivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,088

Underlying: Common Stock · 10 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 connect 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-one 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 connect 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-one basis.

Read SEC document
March 15, 2018 Filed Mar 19, 2018 20:29 UTC
SLINEY DAVID DDir Strategic Planning & Tech
GrantPhantom Stock Units · Derivative 12 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000050 · edgardoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,264

Underlying: Common Stock · 12 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 connect 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-one 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 connect 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-one basis.

Read SEC document
March 15, 2018 Filed Mar 19, 2018 20:28 UTC
Plotkin Ben AVice Chairman and SVP
GrantPhantom Stock Units · Derivative 13 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000049 · edgardoc.xml · derivative · entry 1

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,497

Underlying: Common Stock · 13 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 connect 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-one 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 connect 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-one basis.

Read SEC document
March 15, 2018 Filed Mar 19, 2018 20:28 UTC
Nesi VictorCo-President
GrantPhantom Stock Units · Derivative 44 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000048 · edgardoc.xml · derivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,780

Underlying: Common Stock · 44 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 connect 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-one 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 connect 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-one basis.

Read SEC document
March 15, 2018 Filed Mar 19, 2018 20:28 UTC
Michaud Thomas B.Senior Vice President
GrantPhantom Stock Units · Derivative 33 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000047 · edgardoc.xml · derivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,030

Underlying: Common Stock · 33 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 connect 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-one 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 connect 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-one basis.

Read SEC document
March 15, 2018 Filed Mar 19, 2018 20:27 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
GrantPhantom Stock Units · Derivative 24 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000046 · edgardoc.xml · derivative · entry 1

Marischen James M · CIK 0001638499 · SENIOR VP & CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,478

Underlying: Common Stock · 24 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 connect 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-one 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 connect 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-one basis.

Read SEC document
March 15, 2018 Filed Mar 19, 2018 20:27 UTC
KRUSZEWSKI RONALD JDirector · CHIEF EXECUTIVE OFFICER
GrantPhantom Stock Units · Derivative 217 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000045 · edgardoc.xml · derivative · entry 1

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,477

Underlying: Common Stock · 217 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 connect 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-one 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 connect 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-one basis.

Read SEC document
March 15, 2018 Filed Mar 19, 2018 20:27 UTC
HIMELFARB RICHARD JSenior Vice President
GrantPhantom Stock Units · Derivative 7 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000044 · edgardoc.xml · derivative · entry 1

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,525

Underlying: Common Stock · 7 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 connect 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-one 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 connect 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-one basis.

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March 15, 2018 Filed Mar 19, 2018 20:26 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
GrantPhantom Stock Units · Derivative 23 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000043 · edgardoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,719

Underlying: Common Stock · 23 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 connect 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-one 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 connect 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-one basis.

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March 15, 2018 Filed Mar 19, 2018 20:26 UTC
Brautigam AllenDirector, Branch Offices
GrantPhantom Stock Units · Derivative 9 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000042 · edgardoc.xml · derivative · entry 1

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,802

Underlying: Common Stock · 9 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 connect 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-one 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 connect 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-one basis.

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March 05, 2018 Filed Mar 5, 2018 20:08 UTC
Plotkin Ben AVice Chairman and SVP
SaleCommon Stock 9,012 $63.30 $570,459.60
Disclosure

SEC source: 0000720672-18-000037 · edgardoc.xml · nonDerivative · entry 1

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,728

Read SEC document
March 02, 2018 Filed Mar 6, 2018 21:47 UTC
Plotkin Ben AVice Chairman and SVP
GrantPhantom Stock Units · Derivative 2,196 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000041 · edgardoc.xml · derivative · entry 1

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,484

Underlying: Common Stock · 2,196 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
March 02, 2018 Filed Mar 6, 2018 21:47 UTC
Michaud Thomas B.Senior Vice President
GrantPhantom Stock Units · Derivative 11,667 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000040 · edgardoc.xml · derivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,997

Underlying: Common Stock · 11,667 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
March 02, 2018 Filed Mar 6, 2018 21:46 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
GrantPhantom Stock Units · Derivative 1,667 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000039 · edgardoc.xml · derivative · entry 1

Marischen James M · CIK 0001638499 · SENIOR VP & CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,454

Underlying: Common Stock · 1,667 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in equal yearly increments over a ten year period.

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

Read SEC document
March 02, 2018 Filed Mar 6, 2018 21:45 UTC
HIMELFARB RICHARD JSenior Vice President
GrantPhantom Stock Units · Derivative 1,938 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000038 · edgardoc.xml · derivative · entry 1

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,518

Underlying: Common Stock · 1,938 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
February 15, 2018 Filed Feb 20, 2018 20:57 UTC
Michaud Thomas B.Senior Vice President
Disposition to issuerCommon Stock 1,373 $62.83 $86,265.59
Disclosure

SEC source: 0000720672-18-000036 · edgardoc.xml · nonDerivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,750

F1 · kind: Constitutes a portion of shares which vested on February 15, 2018 that were withheld from reporting person on February 15, 2018 in order to comply with applicable tax regulations. Total value of shares withheld equals estimated taxes due as a reult of all vesting events.

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February 14, 2018 Filed Feb 15, 2018 21:17 UTC Exercise / conversionStock Option (Option to Buy) · Derivative 5,115 $29.33 Strike: $29.33 $150,022.95
Disclosure

SEC source: 0000720672-18-000035 · edgardoc.xml · derivative · entry 3

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,115 shares

Expires 2018-05-19

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.

Read SEC document
February 14, 2018 Filed Feb 15, 2018 21:17 UTC Tax withholdingCommon Stock 2,451 $61.33 $150,319.83
Disclosure

SEC source: 0000720672-18-000035 · edgardoc.xml · nonDerivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,234

Read SEC document
February 14, 2018 Filed Feb 15, 2018 21:17 UTC Exercise / conversionCommon Stock 5,115 $29.33 $150,022.95
Disclosure

SEC source: 0000720672-18-000035 · edgardoc.xml · nonDerivative · entry 1

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,685

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
February 09, 2018 Filed Feb 14, 2019 21:48 UTC
ZEMLYAK JAMES MCo-President
GiftCommon Stock 500 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-010236 · doc5.xml · nonDerivative · entry 2

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 831,420

Read SEC document
February 09, 2018 Filed Feb 14, 2019 21:48 UTC
ZEMLYAK JAMES MCo-President
GiftCommon Stock 500 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-010236 · doc5.xml · nonDerivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Son

Disclosed balance after: 5,772

Read SEC document
February 08, 2018 Filed Feb 12, 2018 21:34 UTC
SLINEY DAVID DDir Strategic Planning & Tech
GrantPhantom Stock Units · Derivative 3,333 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000024 · edgardoc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,252

Underlying: Common Stock · 3,333 shares

Expires not disclosed

F2 · derivative.exercise_date: Units vest in 20% increments over a five year period.

F3 · derivative.expiration_date: No expiration date for these Units.

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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.