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STIFEL FINANCIAL CORP

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3461
SEC CIK
0000720672
Parsed reports
720

Last 12 months

Inside the activity.

0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202601
Feb 202601
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202602
Aug 202600
Sep 202600
Oct 202600

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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 15, 2017 Filed Feb 12, 2018 21:34 UTC
SLINEY DAVID DDir Strategic Planning & Tech
GrantPhantom Stock Units · Derivative 99 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000024 · edgardoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,777

Underlying: Common Stock · 99 shares

Expires not disclosed

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

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

Read SEC document
December 15, 2017 Filed Feb 12, 2018 21:34 UTC
Michaud Thomas B.Senior Vice President
GrantPhantom Stock Units · Derivative 121 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000023 · edgardoc.xml · derivative · entry 2

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,005

Underlying: Common Stock · 121 shares

Expires not disclosed

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

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

Read SEC document
December 15, 2017 Filed Feb 12, 2018 21:33 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
GrantPhantom Stock Units · Derivative 59 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000022 · edgardoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,638

Underlying: Common Stock · 59 shares

Expires not disclosed

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

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

Read SEC document
December 15, 2017 Filed Feb 12, 2018 21:33 UTC
Brautigam AllenDirector, Branch Offices
GrantPhantom Stock Units · Derivative 57 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000020 · edgardoc.xml · derivative · entry 2

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,267

Underlying: Common Stock · 57 shares

Expires not disclosed

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

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

Read SEC document
December 15, 2017 Filed Feb 12, 2018 21:33 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
GrantPhantom Stock Units · Derivative 77 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000021 · edgardoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,596

Underlying: Common Stock · 77 shares

Expires not disclosed

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

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

Read SEC document
December 15, 2017 Filed Feb 13, 2018 21:59 UTC
ZEMLYAK JAMES MCHIEF FIN'L & ADMIN OFFCR
GrantPhantom Stock Units · Derivative 271 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000031 · edgardoc.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,698

Underlying: Common Stock · 271 shares

Expires not disclosed

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

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

Read SEC document
December 15, 2017 Filed Feb 13, 2018 21:59 UTC GrantPhantom Stock Units · Derivative 68 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000030 · edgardoc.xml · derivative · entry 9

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,488

Underlying: Common Stock · 68 shares

Expires not disclosed

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

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

Read SEC document
December 15, 2017 Filed Feb 13, 2018 21:59 UTC
Plotkin Ben AVice Chairman and SVP
GrantPhantom Stock Units · Derivative 52 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000028 · edgardoc.xml · derivative · entry 2

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,219

Underlying: Common Stock · 52 shares

Expires not disclosed

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

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

Read SEC document
December 15, 2017 Filed Feb 13, 2018 21:58 UTC
Nesi VictorCo-President
GrantPhantom Stock Units · Derivative 272 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000027 · edgardoc.xml · derivative · entry 2

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,134

Underlying: Common Stock · 272 shares

Expires not disclosed

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

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

Read SEC document
December 15, 2017 Filed Feb 13, 2018 21:58 UTC
HIMELFARB RICHARD JSenior Vice President
GrantPhantom Stock Units · Derivative 34 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000025 · edgardoc.xml · derivative · entry 2

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,763

Underlying: Common Stock · 34 shares

Expires not disclosed

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

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

Read SEC document
December 15, 2017 Filed Feb 13, 2018 21:58 UTC
KRUSZEWSKI RONALD JDirector · CHIEF EXECUTIVE OFFICER
GrantPhantom Stock Units · Derivative 503 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000026 · edgardoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,016

Underlying: Common Stock · 503 shares

Expires not disclosed

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

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

Read SEC document
November 28, 2017 Filed Nov 28, 2017 22:30 UTC
Plotkin Ben AVice Chairman and SVP
SaleCommon Stock 20,000 $53.70 $1,073,932.00
Disclosure

SEC source: 0000720672-17-000096 · edgardoc.xml · nonDerivative · entry 1

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,226

Read SEC document
November 21, 2017 Filed Nov 22, 2017 15:45 UTC GiftCommon Stock 4,537 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000095 · edgardoc.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,656

Read SEC document
November 20, 2017 Filed Nov 20, 2017 21:01 UTC
Michaud Thomas B.Senior Vice President
Disposition to issuerCommon Stock 1,970 $52.90 $104,213.00
Disclosure

SEC source: 0000720672-17-000094 · edgardoc.xml · nonDerivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,619

F1 · kind: Constitutes a portion of shares which vested on November 20, 2017 that were withheld from reporting person on November 20, 2017 in order to comply with applicable tax regulations. Total value of shares withheld equals estimated taxes due as a reult of all vesting events.

Read SEC document
November 17, 2017 Filed Nov 20, 2017 21:00 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
SaleCommon Stock 5,000 $52.30 $261,500.00
Disclosure

SEC source: 0000720672-17-000093 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,369

Read SEC document
November 17, 2017 Filed Feb 13, 2018 21:59 UTC GiftCommon Stock 96 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000030 · edgardoc.xml · nonDerivative · entry 7

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,912

Read SEC document
November 17, 2017 Filed Feb 13, 2018 21:59 UTC
SLINEY DAVID DDir Strategic Planning & Tech
GiftCommon Stock 1,000 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000029 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,146

Read SEC document
November 16, 2017 Filed Feb 13, 2018 22:00 UTC GiftCommon Stock 2,000 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000032 · edgardoc.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,640

Read SEC document
November 15, 2017 Filed Nov 15, 2017 20:52 UTC SaleCommon Stock 3,000 $51.96 $155,880.00
Disclosure

SEC source: 0000720672-17-000092 · edgardoc.xml · nonDerivative · entry 1

HANSER FREDERICK O · CIK 0001188881 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,255

Read SEC document
November 10, 2017 Filed Nov 14, 2017 20:39 UTC SaleCommon Stock 30,000 $52.41 $1,572,300.00
Disclosure

SEC source: 0000720672-17-000091 · edgardoc.xml · nonDerivative · entry 1

HIMELFARB RICHARD J · CIK 0001206663 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,166

Read SEC document
November 10, 2017 Filed Nov 14, 2017 20:39 UTC
Nesi VictorDirector · Director
SaleCommon Stock 24,888 $52.44 $1,305,248.67
Disclosure

SEC source: 0000720672-17-000090 · edgardoc.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,598

Read SEC document
November 10, 2017 Filed Nov 14, 2017 20:38 UTC
Michaud Thomas B.Senior Vice President
SaleCommon Stock 24,536 $52.40 $1,285,737.93
Disclosure

SEC source: 0000720672-17-000089 · edgardoc.xml · nonDerivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,589

Read SEC document
November 10, 2017 Filed Nov 14, 2017 20:38 UTC SaleCommon Stock 1,768 $52.27 $92,413.36
Disclosure

SEC source: 0000720672-17-000088 · edgardoc.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,640

Read SEC document
November 01, 2017 Filed Feb 13, 2018 21:59 UTC GiftCommon Stock 1,086 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000030 · edgardoc.xml · nonDerivative · entry 6

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,008

Read SEC document
September 15, 2017 Filed Feb 12, 2018 21:34 UTC
SLINEY DAVID DDir Strategic Planning & Tech
GrantPhantom Stock Units · Derivative 119 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000024 · edgardoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,678

Underlying: Common Stock · 119 shares

Expires not disclosed

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

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

Read SEC document
September 15, 2017 Filed Feb 12, 2018 21:34 UTC
Michaud Thomas B.Senior Vice President
GrantPhantom Stock Units · Derivative 145 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000023 · edgardoc.xml · derivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,884

Underlying: Common Stock · 145 shares

Expires not disclosed

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

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

Read SEC document
September 15, 2017 Filed Feb 12, 2018 21:33 UTC
Marischen James MSENIOR VP & CHIEF RISK OFFICER
GrantPhantom Stock Units · Derivative 71 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000022 · edgardoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,579

Underlying: Common Stock · 71 shares

Expires not disclosed

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

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

Read SEC document
September 15, 2017 Filed Feb 12, 2018 21:33 UTC
Brautigam AllenDirector, Branch Offices
GrantPhantom Stock Units · Derivative 68 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000020 · edgardoc.xml · derivative · entry 1

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,210

Underlying: Common Stock · 68 shares

Expires not disclosed

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

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

Read SEC document
September 15, 2017 Filed Feb 12, 2018 21:33 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
GrantPhantom Stock Units · Derivative 92 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000021 · edgardoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,519

Underlying: Common Stock · 92 shares

Expires not disclosed

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

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

Read SEC document
September 15, 2017 Filed Feb 13, 2018 21:59 UTC
ZEMLYAK JAMES MCHIEF FIN'L & ADMIN OFFCR
GrantPhantom Stock Units · Derivative 324 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000031 · 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: 157,427

Underlying: Common Stock · 324 shares

Expires not disclosed

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

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

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September 15, 2017 Filed Feb 13, 2018 21:59 UTC GrantPhantom Stock Units · Derivative 81 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000030 · edgardoc.xml · derivative · entry 8

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,420

Underlying: Common Stock · 81 shares

Expires not disclosed

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

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

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September 15, 2017 Filed Feb 13, 2018 21:59 UTC
Plotkin Ben AVice Chairman and SVP
GrantPhantom Stock Units · Derivative 62 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000028 · edgardoc.xml · derivative · entry 1

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,167

Underlying: Common Stock · 62 shares

Expires not disclosed

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

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

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September 15, 2017 Filed Feb 13, 2018 21:58 UTC
Nesi VictorCo-President
GrantPhantom Stock Units · Derivative 325 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000027 · edgardoc.xml · derivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,862

Underlying: Common Stock · 325 shares

Expires not disclosed

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

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

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September 15, 2017 Filed Feb 13, 2018 21:58 UTC
HIMELFARB RICHARD JSenior Vice President
GrantPhantom Stock Units · Derivative 41 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000025 · edgardoc.xml · derivative · entry 1

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,729

Underlying: Common Stock · 41 shares

Expires not disclosed

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

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

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September 15, 2017 Filed Feb 13, 2018 21:58 UTC
KRUSZEWSKI RONALD JDirector · CHIEF EXECUTIVE OFFICER
GrantPhantom Stock Units · Derivative 602 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000026 · edgardoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,513

Underlying: Common Stock · 602 shares

Expires not disclosed

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

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

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September 07, 2017 Filed Sep 8, 2017 20:35 UTC GiftCommon Stock 225 $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000085 · edgardoc.xml · nonDerivative · entry 1

WESTBROOK KELVIN R · CIK 0001190588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,459

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August 30, 2017 Filed Feb 13, 2018 21:59 UTC GiftCommon Stock 106 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000030 · edgardoc.xml · nonDerivative · entry 5

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,094

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August 18, 2017 Filed Aug 21, 2017 19:56 UTC SaleCommon Stock 5,200 $48.08 $250,016.00
Disclosure

SEC source: 0000720672-17-000084 · edgardoc.xml · nonDerivative · entry 1

WESTBROOK KELVIN R · CIK 0001190588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,684

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August 04, 2017 Filed Aug 7, 2017 20:20 UTC SaleCommon Stock 4,000 $50.00 $200,018.80
Disclosure

SEC source: 0000720672-17-000081 · edgardoc.xml · nonDerivative · entry 1

HANSER FREDERICK O · CIK 0001188881 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,255

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August 02, 2017 Filed Aug 3, 2017 20:20 UTC PurchaseCommon Stock 4,500 $50.03 $225,149.40
Disclosure

SEC source: 0000720672-17-000080 · edgardoc.xml · nonDerivative · entry 1

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 4,615

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August 02, 2017 Filed Aug 3, 2017 20:20 UTC
Nesi VictorDirector · Director
SaleCommon Stock 10,000 $50.61 $506,100.00
Disclosure

SEC source: 0000720672-17-000079 · edgardoc.xml · nonDerivative · entry 2

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,486

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August 01, 2017 Filed Aug 3, 2017 20:20 UTC
Nesi VictorDirector · Director
SaleCommon Stock 15,000 $51.02 $765,300.00
Disclosure

SEC source: 0000720672-17-000079 · edgardoc.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,486

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August 01, 2017 Filed Feb 13, 2018 21:59 UTC GiftCommon Stock 4,400 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000030 · edgardoc.xml · nonDerivative · entry 4

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,200

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June 13, 2017 Filed Feb 13, 2018 21:59 UTC GiftCommon Stock 1,086 $0.00 $0.00
Disclosure

SEC source: 0000720672-18-000030 · edgardoc.xml · nonDerivative · entry 3

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,600

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June 07, 2017 Filed Jun 9, 2017 19:42 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000071 · edgardoc.xml · derivative · entry 2

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,838

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

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

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June 07, 2017 Filed Jun 9, 2017 20:38 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000075 · edgardoc.xml · derivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,650

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

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

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June 07, 2017 Filed Jun 9, 2017 19:44 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000072 · edgardoc.xml · derivative · entry 1

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,650

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

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

Read SEC document
June 07, 2017 Filed Jun 9, 2017 19:42 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000070 · edgardoc.xml · derivative · entry 2

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,466

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

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

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June 07, 2017 Filed Jun 9, 2017 19:40 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000069 · edgardoc.xml · derivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,651

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

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

Read SEC document
June 07, 2017 Filed Jun 9, 2017 19:39 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000720672-17-000066 · edgardoc.xml · derivative · entry 2

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,657

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

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

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