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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

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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 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Tax withholdingCommon Stock 880 $60.13 $52,914.40
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,983

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Exercise / conversionCommon Stock 1,836 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,863

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 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Tax withholdingCommon Stock 344 $60.13 $20,684.72
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,027

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Exercise / conversionCommon Stock 717 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,371

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 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Tax withholdingCommon Stock 344 $60.13 $20,684.72
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,654

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Exercise / conversionCommon Stock 717 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,998

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 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Tax withholdingCommon Stock 344 $60.13 $20,684.72
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,281

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Exercise / conversionCommon Stock 717 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,625

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 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Tax withholdingCommon Stock 984 $60.13 $59,167.92
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,908

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Exercise / conversionCommon Stock 2,053 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,892

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 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Tax withholdingCommon Stock 984 $60.13 $59,167.92
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,839

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Exercise / conversionCommon Stock 2,053 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,823

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 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Tax withholdingCommon Stock 984 $60.13 $59,167.92
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,770

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Exercise / conversionCommon Stock 2,053 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,754

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 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Tax withholdingCommon Stock 1,092 $60.13 $65,661.96
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,701

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Exercise / conversionCommon Stock 2,277 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,793

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 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Tax withholdingCommon Stock 1,092 $60.13 $65,661.96
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,516

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Exercise / conversionCommon Stock 2,277 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,608

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 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Tax withholdingCommon Stock 1,092 $60.13 $65,661.96
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,331

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC
SLINEY DAVID DDir Strategic Planning & Tech
Exercise / conversionCommon Stock 2,277 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000101 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,423

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 21:31 UTC Exercise / conversionPhantom Stock Units · Derivative 11,242 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · derivative · entry 21

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,162

Underlying: Common Stock · 11,242 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: Currently convertible. Units vest in 20% increments over a five year period from original grant date.

F7 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionPhantom Stock Units · Derivative 1,368 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · derivative · entry 20

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,404

Underlying: Common Stock · 1,368 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% nine years from the original grant date.

F7 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionPhantom Stock Units · Derivative 1,368 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · derivative · entry 19

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,772

Underlying: Common Stock · 1,368 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: Currently convertible. Units vest 100% eight years from the original grant date.

F7 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionPhantom Stock Units · Derivative 1,368 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · derivative · entry 18

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,140

Underlying: Common Stock · 1,368 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% seven years from the original grant date.

F7 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionPhantom Stock Units · Derivative 2,277 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · derivative · entry 17

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,508

Underlying: Common Stock · 2,277 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% nine years from the original grant date.

F7 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionPhantom Stock Units · Derivative 2,277 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · derivative · entry 16

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,785

Underlying: Common Stock · 2,277 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: Currently convertible. Units vest 100% eight years from the original grant date.

F7 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionPhantom Stock Units · Derivative 2,277 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · derivative · entry 15

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,062

Underlying: Common Stock · 2,277 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% ten years from the original grant date.

F7 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Tax withholdingCommon Stock 6,362 $60.13 $382,547.06
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 14

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,417

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionCommon Stock 11,242 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 13

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,779

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 21:31 UTC Tax withholdingCommon Stock 774 $60.13 $46,540.62
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 12

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,537

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionCommon Stock 1,368 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 11

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,311

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 21:31 UTC Tax withholdingCommon Stock 774 $60.13 $46,540.62
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 10

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,943

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionCommon Stock 1,368 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 9

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,717

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 21:31 UTC Tax withholdingCommon Stock 774 $60.13 $46,540.62
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 8

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,349

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionCommon Stock 1,368 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 7

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,123

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 21:31 UTC Tax withholdingCommon Stock 1,288 $60.13 $77,447.44
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 6

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,755

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionCommon Stock 2,277 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 5

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,043

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 21:31 UTC Tax withholdingCommon Stock 1,288 $60.13 $77,447.44
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 4

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,766

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionCommon Stock 2,277 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 3

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,054

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 21:31 UTC Tax withholdingCommon Stock 1,288 $60.13 $77,447.44
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 2

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,777

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:31 UTC Exercise / conversionCommon Stock 2,277 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000100 · edgardoc.xml · nonDerivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,065

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 21:30 UTC Exercise / conversionPhantom Stock Units · Derivative 8,994 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000099 · edgardoc.xml · derivative · entry 3

HIMELFARB RICHARD J · CIK 0001206663 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,694

Underlying: Common Stock · 8,994 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.

F2 · 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 21:30 UTC Tax withholdingCommon Stock 4,866 $60.13 $292,592.58
Disclosure

SEC source: 0000720672-17-000099 · edgardoc.xml · nonDerivative · entry 2

HIMELFARB RICHARD J · CIK 0001206663 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,294

Read SEC document
December 27, 2017 Filed Dec 29, 2017 21:30 UTC Exercise / conversionCommon Stock 8,994 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000099 · edgardoc.xml · nonDerivative · entry 1

HIMELFARB RICHARD J · CIK 0001206663 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,160

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 21:30 UTC
Brautigam AllenDirector, Branch Offices
Exercise / conversionPhantom Stock Units · Derivative 309 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000098 · edgardoc.xml · derivative · entry 24

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,164

Underlying: Common Stock · 309 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 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 21:30 UTC
Brautigam AllenDirector, Branch Offices
Exercise / conversionPhantom Stock Units · Derivative 309 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000098 · edgardoc.xml · derivative · entry 23

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,473

Underlying: Common Stock · 309 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 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 21:30 UTC
Brautigam AllenDirector, Branch Offices
Exercise / conversionPhantom Stock Units · Derivative 309 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000098 · edgardoc.xml · derivative · entry 22

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,782

Underlying: Common Stock · 309 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 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 21:30 UTC
Brautigam AllenDirector, Branch Offices
Exercise / conversionPhantom Stock Units · Derivative 1,499 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000098 · edgardoc.xml · derivative · entry 21

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,091

Underlying: Common Stock · 1,499 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 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 21:30 UTC
Brautigam AllenDirector, Branch Offices
Exercise / conversionPhantom Stock Units · Derivative 749 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000098 · edgardoc.xml · derivative · entry 20

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,590

Underlying: Common Stock · 749 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 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 21:30 UTC
Brautigam AllenDirector, Branch Offices
Exercise / conversionPhantom Stock Units · Derivative 1,499 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000098 · edgardoc.xml · derivative · entry 19

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,339

Underlying: Common Stock · 1,499 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 20% increments over a five year period from 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.