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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

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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
December 29, 2017 Filed Jan 3, 2018 22:03 UTC
ZEMLYAK JAMES MCHIEF FIN'L & ADMIN OFFCR
Exercise / conversionPhantom Stock Units · Derivative 54,362 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000003 · edgardoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,967

Underlying: Common Stock · 54,362 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 convertible.

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

Read SEC document
December 29, 2017 Filed Jan 3, 2018 22:03 UTC
ZEMLYAK JAMES MCHIEF FIN'L & ADMIN OFFCR
Tax withholdingCommon Stock 24,838 $59.56 $1,479,351.28
Disclosure

SEC source: 0000720672-18-000003 · edgardoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 833,146

Read SEC document
December 29, 2017 Filed Jan 3, 2018 22:03 UTC
ZEMLYAK JAMES MCHIEF FIN'L & ADMIN OFFCR
Exercise / conversionCommon Stock 54,362 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000003 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 857,984

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 29, 2017 Filed Jan 3, 2018 22:02 UTC
Brautigam AllenDirector, Branch Offices
Exercise / conversionPhantom Stock Units · Derivative 9,829 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000001 · edgardoc.xml · derivative · entry 3

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,335

Underlying: Common Stock · 9,829 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 convertible.

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

Read SEC document
December 29, 2017 Filed Jan 3, 2018 22:02 UTC
Brautigam AllenDirector, Branch Offices
Tax withholdingCommon Stock 3,279 $59.56 $195,297.24
Disclosure

SEC source: 0000720672-18-000001 · edgardoc.xml · nonDerivative · entry 2

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,725

Read SEC document
December 29, 2017 Filed Jan 3, 2018 22:02 UTC
Brautigam AllenDirector, Branch Offices
Exercise / conversionCommon Stock 9,829 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000001 · edgardoc.xml · nonDerivative · entry 1

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,004

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 29, 2017 Filed Jan 3, 2018 22:02 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Exercise / conversionPhantom Stock Units · Derivative 18,089 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000002 · edgardoc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,701

Underlying: Common Stock · 18,089 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 convertible.

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

Read SEC document
December 29, 2017 Filed Jan 3, 2018 22:02 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Tax withholdingCommon Stock 7,352 $59.56 $437,885.12
Disclosure

SEC source: 0000720672-18-000002 · edgardoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,418

Read SEC document
December 29, 2017 Filed Jan 3, 2018 22:02 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Exercise / conversionCommon Stock 18,089 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000002 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,770

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 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 2,058 $60.13 $123,747.54
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 30

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,302

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 3,989 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 29

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,360

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.

F7 · shares: Shares represent a grant of restricted stock which vest in 20% increments over a 5 year period from original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 12,291 $60.13 $739,057.83
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 28

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,371

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 23,834 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 27

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,662

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.

F7 · shares: Shares represent a grant of restricted stock which vest in 20% increments over a 5 year period from original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 3,768 $60.13 $226,569.84
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 26

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,828

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 7,308 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 25

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,596

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.

F8 · shares: Shares represent a grant of restricted stock which vest in 10% increments over a 10 year period from original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 2,282 $60.13 $137,216.66
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 24

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,288

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 4,420 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 23

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,570

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.

F7 · shares: Shares represent a grant of restricted stock which vest in 20% increments over a 5 year period from original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 1,515 $60.13 $91,096.95
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 22

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,150

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 2,938 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 21

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,665

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.

F7 · shares: Shares represent a grant of restricted stock which vest in 20% increments over a 5 year period from original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 2,065 $60.13 $124,168.45
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 20

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,727

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 4,005 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 19

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,792

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

F6 · shares: Shares represent a grant of restricted stock which vest 100% five years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 2,218 $60.13 $133,368.34
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 18

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,787

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 4,301 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 17

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,005

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.

F2 · shares: Shares represent a grant of restricted stock which vest 100% eight years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 2,218 $60.13 $133,368.34
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 16

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,704

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 4,301 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 15

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,922

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.

F4 · shares: Shares represent a grant of restricted stock which vest 100% seven years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 2,218 $60.13 $133,368.34
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 14

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,621

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 4,301 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 13

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,839

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.

F5 · shares: Shares represent a grant of restricted stock which vest 100% six years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 1,411 $60.13 $84,843.43
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 12

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,538

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 2,737 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 11

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,949

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 · shares: Shares represent a grant of restricted stock which vest 100% nine years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 1,411 $60.13 $84,843.43
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 10

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,212

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 2,737 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 9

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,623

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.

F2 · shares: Shares represent a grant of restricted stock which vest 100% eight years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 1,411 $60.13 $84,843.43
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 8

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,886

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 2,737 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 7

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,297

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.

F4 · shares: Shares represent a grant of restricted stock which vest 100% seven years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 1,761 $60.13 $105,888.93
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 6

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,560

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 3,415 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 5

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,321

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 · shares: Shares represent a grant of restricted stock which vest 100% nine years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 1,761 $60.13 $105,888.93
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 4

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,906

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 3,415 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 3

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,667

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.

F2 · shares: Shares represent a grant of restricted stock which vest 100% eight years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Tax withholdingCommon Stock 1,761 $60.13 $105,888.93
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 2

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,252

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:16 UTC
Nesi VictorDirector · Director
Exercise / conversionCommon Stock 3,415 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000109 · edgardoc.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,013

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

F1 · shares: Shares represent a grant of restricted stock which vest 100% ten years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:17 UTC
Nesi VictorDirector · Director
Exercise / conversionPhantom Stock Units · Derivative 3,989 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000110 · edgardoc.xml · derivative · entry 18

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,684

Underlying: Common Stock · 3,989 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.

F9 · derivative.exercise_date: Currently convertible. Units vest in 20% increments over a five year period from original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:17 UTC
Nesi VictorDirector · Director
Exercise / conversionPhantom Stock Units · Derivative 23,834 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000110 · edgardoc.xml · derivative · entry 17

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,673

Underlying: Common Stock · 23,834 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.

F9 · derivative.exercise_date: Currently convertible. Units vest in 20% increments over a five year period from original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:17 UTC
Nesi VictorDirector · Director
Exercise / conversionPhantom Stock Units · Derivative 7,308 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000110 · edgardoc.xml · derivative · entry 16

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,507

Underlying: Common Stock · 7,308 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.

F10 · derivative.exercise_date: Currently convertible. Units vest in 10% increments over ten years from the original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:17 UTC
Nesi VictorDirector · Director
Exercise / conversionPhantom Stock Units · Derivative 4,420 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000110 · edgardoc.xml · derivative · entry 15

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,815

Underlying: Common Stock · 4,420 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.

F9 · derivative.exercise_date: Currently convertible. Units vest in 20% increments over a five year period from original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:17 UTC
Nesi VictorDirector · Director
Exercise / conversionPhantom Stock Units · Derivative 2,938 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000110 · edgardoc.xml · derivative · entry 14

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,235

Underlying: Common Stock · 2,938 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.

F9 · derivative.exercise_date: Currently convertible. Units vest in 20% increments over a five year period from original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:17 UTC
Nesi VictorDirector · Director
Exercise / conversionPhantom Stock Units · Derivative 4,005 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000110 · edgardoc.xml · derivative · entry 13

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,173

Underlying: Common Stock · 4,005 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.

F8 · derivative.exercise_date: Currenlty convertible. Units vest 100% five years from the original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:17 UTC
Nesi VictorDirector · Director
Exercise / conversionPhantom Stock Units · Derivative 4,301 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000110 · edgardoc.xml · derivative · entry 12

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,178

Underlying: Common Stock · 4,301 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.

F4 · derivative.exercise_date: Currently convertible. Units vest 100% eight years from the original grant date.

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

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December 27, 2017 Filed Dec 29, 2017 22:17 UTC
Nesi VictorDirector · Director
Exercise / conversionPhantom Stock Units · Derivative 4,301 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000110 · edgardoc.xml · derivative · entry 11

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,479

Underlying: Common Stock · 4,301 shares

Expires not disclosed

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

F6 · derivative.exercise_date: Currently convertible. Units vest 100% seven years from the original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:17 UTC
Nesi VictorDirector · Director
Exercise / conversionPhantom Stock Units · Derivative 4,301 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000110 · edgardoc.xml · derivative · entry 10

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,780

Underlying: Common Stock · 4,301 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.

F7 · derivative.exercise_date: Currently convertible. Units vest 100% six years from the original grant date.

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

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December 27, 2017 Filed Dec 29, 2017 22:17 UTC
Nesi VictorDirector · Director
Exercise / conversionPhantom Stock Units · Derivative 2,737 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000110 · edgardoc.xml · derivative · entry 9

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,081

Underlying: Common Stock · 2,737 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.

F5 · derivative.exercise_date: Currently convertible. Units vest 100% nine years from the original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:17 UTC
Nesi VictorDirector · Director
Exercise / conversionPhantom Stock Units · Derivative 2,737 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000110 · edgardoc.xml · derivative · entry 8

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,818

Underlying: Common Stock · 2,737 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.

F4 · derivative.exercise_date: Currently convertible. Units vest 100% eight years from the original grant date.

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

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.