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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 27, 2017 Filed Dec 29, 2017 22:14 UTC
ZEMLYAK JAMES MDirector · CHIEF FIN'L & ADMIN OFFCR
Exercise / conversionCommon Stock 2,737 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000106 · edgardoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 727,665

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.

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 22:14 UTC
ZEMLYAK JAMES MDirector · CHIEF FIN'L & ADMIN OFFCR
Tax withholdingCommon Stock 1,312 $60.13 $78,890.56
Disclosure

SEC source: 0000720672-17-000106 · edgardoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 724,928

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:14 UTC
ZEMLYAK JAMES MDirector · CHIEF FIN'L & ADMIN OFFCR
Exercise / conversionCommon Stock 2,737 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000106 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 726,240

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% seven years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 1,806 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · derivative · entry 24

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,844

Underlying: Common Stock · 1,806 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 in 20% increments over a five year period from original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 3,372 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · derivative · entry 23

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,650

Underlying: Common Stock · 3,372 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 in 20% increments over a five year period from original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 7,308 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · derivative · entry 22

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,022

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.

F7 · derivative.exercise_date: Currently convertible. Units vest in 10% increments over ten years from the original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 5,269 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,330

Underlying: Common Stock · 5,269 shares

Expires not disclosed

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

F4 · derivative.exercise_date: Currently convertible. Units vest in 20% increments over a five year period from original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 204 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · derivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,599

Underlying: Common Stock · 204 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: Currenlty convertible. Units vest 100% five years from the original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 1,967 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,803

Underlying: Common Stock · 1,967 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 in 20% increments over a five year period from original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 349 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,770

Underlying: Common Stock · 349 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: Currenlty convertible. Units vest 100% five years from the original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 308 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,119

Underlying: Common Stock · 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.

F4 · derivative.exercise_date: Currently convertible. Units vest in 20% increments over a five year period from original grant date.

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

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 1,023 $60.13 $61,512.99
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,306

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 1,806 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,329

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 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 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 1,908 $60.13 $114,728.04
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,523

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 3,372 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,431

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 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 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 4,134 $60.13 $248,577.42
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,059

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 7,308 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,193

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 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 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 2,982 $60.13 $179,307.66
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,885

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 5,269 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,867

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 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 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 115 $60.13 $6,914.95
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,598

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 204 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,713

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% five years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 1,113 $60.13 $66,924.69
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,509

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 1,967 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,622

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 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 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 197 $60.13 $11,845.61
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,655

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 349 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,852

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% five years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 174 $60.13 $10,462.62
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,503

Read SEC document
December 27, 2017 Filed Dec 29, 2017 22:01 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 308 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000105 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,677

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 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 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionPhantom Stock Units · Derivative 1,540 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · derivative · entry 27

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,112

Underlying: Common Stock · 1,540 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.

F12 · derivative.exercise_date: Currently convertible. Units vest in 20% increments over a five year period from original grant date.

F8 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionPhantom Stock Units · Derivative 1,124 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · derivative · entry 26

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,652

Underlying: Common Stock · 1,124 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.

F12 · derivative.exercise_date: Currently convertible. Units vest in 20% increments over a five year period from original grant date.

F8 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionPhantom Stock Units · Derivative 8,432 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · derivative · entry 25

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,776

Underlying: Common Stock · 8,432 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.

F13 · derivative.exercise_date: Currently convertible. Units vest in 10% increments over ten years from the original grant date.

F8 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionPhantom Stock Units · Derivative 255 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · derivative · entry 24

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,208

Underlying: Common Stock · 255 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.

F12 · derivative.exercise_date: Currently convertible. Units vest in 20% increments over a five year period from original grant date.

F8 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionPhantom Stock Units · Derivative 346 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · derivative · entry 23

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,463

Underlying: Common Stock · 346 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.

F12 · derivative.exercise_date: Currently convertible. Units vest in 20% increments over a five year period from original grant date.

F8 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionPhantom Stock Units · Derivative 331 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · derivative · entry 22

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,809

Underlying: Common Stock · 331 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.

F11 · derivative.exercise_date: Currenlty convertible. Units vest 100% five years from the original grant date.

F8 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionPhantom Stock Units · Derivative 456 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,140

Underlying: Common Stock · 456 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 100% nine years from the original grant date.

F8 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionPhantom Stock Units · Derivative 456 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · derivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,596

Underlying: Common Stock · 456 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 100% eight years from the original grant date.

F8 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionPhantom Stock Units · Derivative 456 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,052

Underlying: Common Stock · 456 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% ten years from the original grant date.

F8 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Tax withholdingCommon Stock 738 $60.13 $44,375.94
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,042

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionCommon Stock 1,540 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,780

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 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 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Tax withholdingCommon Stock 537 $60.13 $32,289.81
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,240

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionCommon Stock 1,124 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,777

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 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 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Tax withholdingCommon Stock 4,044 $60.13 $243,165.72
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,653

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionCommon Stock 8,432 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,697

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 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 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Tax withholdingCommon Stock 124 $60.13 $7,456.12
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,265

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionCommon Stock 255 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,389

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 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 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Tax withholdingCommon Stock 165 $60.13 $9,921.45
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,134

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionCommon Stock 346 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,299

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 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 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Tax withholdingCommon Stock 158 $60.13 $9,500.54
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,953

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionCommon Stock 331 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,111

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% five years from the original grant date of the phantom stock unit.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Tax withholdingCommon Stock 219 $60.13 $13,168.47
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,780

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:34 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
Exercise / conversionCommon Stock 456 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000104 · edgardoc.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,999

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

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.