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SAFEGUARD SCIENTIFICS INC

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9612
SEC CIK
0000086115
Parsed reports
303

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 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
January 13, 2020 Filed Jan 13, 2020 17:00 UTC
Sisko Brian JPresident & CEO
Disposition to issuerStock Option (right to buy) · Derivative 810 $0.00 Strike: $13.89 $0.00
Disclosure

SEC source: 0000086115-20-000005 · wf-form4_157893480955594.xml · derivative · entry 2

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 810 shares

Expires 2020-12-05

F2 · derivative.exercise_date: The option was granted to reporting person on 12/5/2012 and vested 25% on the first anniversary of the grant date and in 36 equal monthly installments thereafter.

Read SEC document
January 13, 2020 Filed Jan 13, 2020 17:00 UTC
Sisko Brian JPresident & CEO
Disposition to issuerStock Option (right to buy) · Derivative 358 $0.00 Strike: $15.07 $0.00
Disclosure

SEC source: 0000086115-20-000005 · wf-form4_157893480955594.xml · derivative · entry 1

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 358 shares

Expires 2021-09-30

F1 · derivative.exercise_date: The option granted to reporting person on 9/30/2011 was subject to performance-based vesting; the option shares reported in Table II vested on 8/27/16.

Read SEC document
January 13, 2020 Filed Jan 13, 2020 16:56 UTC GrantNon-Qualified Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $14.10 $0.00
Disclosure

SEC source: 0000086115-20-000003 · wf-form4_157893454411513.xml · derivative · entry 2

ROBERTS JOHN JOSEPH · CIK 0001243108 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2020-05-24

F1 · derivative.exercise_price: The exercise price was reduced by $0.96 to reflect the impact of a dividend paid to the Issuer's shareholders in December 2019.

Read SEC document
January 13, 2020 Filed Jan 13, 2020 16:56 UTC Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative 5,000 $0.00 Strike: $15.06 $0.00
Disclosure

SEC source: 0000086115-20-000003 · wf-form4_157893454411513.xml · derivative · entry 1

ROBERTS JOHN JOSEPH · CIK 0001243108 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2020-05-24

Read SEC document
December 15, 2019 Filed Dec 16, 2019 16:30 UTC
Sisko Brian JPresident & CEO
Tax withholdingCommon Stock 815 $11.92 $9,710.73
Disclosure

SEC source: 0000086115-19-000018 · wf-form4_157651379200915.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,772

Read SEC document
December 13, 2019 Filed Dec 16, 2019 21:23 UTC PurchaseCommon Stock, $0.10 par value 5,000 $11.95 $59,750.00
Disclosure

SEC source: 0000921895-19-003002 · form411238003_12162019.xml · nonDerivative · entry 5

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Horton Capital Partners Fund, LP

Disclosed balance after: 65,728

F4 · price: The price reported in Column 4 is a weighted average price. The shares of common stock were purchased in multiple transactions at prices ranging from: (i) $11.91-$12.00 on December 12, 2019 and (ii) $11.89-$12.00 on December 13, 2019. The Reporting Person undertakes to provide to the Issuer, any holder of the Issuer's common stock, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote 4 to this Form 4.

F3 · ownership.nature: Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
December 12, 2019 Filed Dec 16, 2019 21:23 UTC PurchaseCommon Stock, $0.10 par value 5,000 $11.96 $59,800.00
Disclosure

SEC source: 0000921895-19-003002 · form411238003_12162019.xml · nonDerivative · entry 4

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Horton Capital Partners Fund, LP

Disclosed balance after: 60,728

F4 · price: The price reported in Column 4 is a weighted average price. The shares of common stock were purchased in multiple transactions at prices ranging from: (i) $11.91-$12.00 on December 12, 2019 and (ii) $11.89-$12.00 on December 13, 2019. The Reporting Person undertakes to provide to the Issuer, any holder of the Issuer's common stock, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote 4 to this Form 4.

F3 · ownership.nature: Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
September 15, 2019 Filed Sep 16, 2019 17:55 UTC
Sisko Brian JPresident & CEO
Tax withholdingCommon Stock 813 $12.62 $10,260.06
Disclosure

SEC source: 0000086115-19-000017 · wf-form4_156865653584401.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,587

Read SEC document
June 30, 2019 Filed Jul 1, 2019 20:02 UTC GrantCommon Stock, $0.10 par value 6,095 $0.00 $0.00
Disclosure

SEC source: 0000921895-19-001942 · form411238003_07012019.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,095

Read SEC document
June 30, 2019 Filed Jul 1, 2019 16:12 UTC GrantCommon Stock 6,095 $0.00 $0.00
Disclosure

SEC source: 0001628280-19-008471 · wf-form4_156199755724233.xml · nonDerivative · entry 1

ROSENTHAL BOB · CIK 0001203911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,738

Read SEC document
June 30, 2019 Filed Jul 1, 2019 16:11 UTC GrantCommon Stock 6,095 $0.00 $0.00
Disclosure

SEC source: 0001628280-19-008470 · wf-form4_156199746354446.xml · nonDerivative · entry 1

ROBERTS JOHN JOSEPH · CIK 0001243108 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,889

Read SEC document
June 30, 2019 Filed Jul 1, 2019 16:09 UTC GrantCommon Stock 6,095 $0.00 $0.00
Disclosure

SEC source: 0001628280-19-008468 · wf-form4_156199733054053.xml · nonDerivative · entry 1

Morrison Maureen F · CIK 0001720970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,161

Read SEC document
June 30, 2019 Filed Jul 1, 2019 16:10 UTC GrantCommon Stock 6,095 $0.00 $0.00
Disclosure

SEC source: 0001628280-19-008469 · wf-form4_156199738843983.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,561

Read SEC document
June 15, 2019 Filed Jun 17, 2019 17:48 UTC
Sisko Brian JPresident & CEO
Tax withholdingCommon Stock 815 $12.65 $10,305.68
Disclosure

SEC source: 0000086115-19-000011 · wf-form4_156079366640807.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,400

Read SEC document
March 15, 2019 Filed Mar 18, 2019 17:10 UTC
Sisko Brian JPresident & CEO
Tax withholdingCommon Stock 813 $11.09 $9,017.96
Disclosure

SEC source: 0000086115-19-000009 · wf-form4_155292903853130.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,215

Read SEC document
March 01, 2019 Filed Mar 4, 2019 17:50 UTC
Sisko Brian JPresident & CEO
Tax withholdingCommon Stock 1,660 $10.86 $18,019.30
Disclosure

SEC source: 0000086115-19-000007 · wf-form4_155172179012523.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,028

Read SEC document
December 15, 2018 Filed Dec 17, 2018 21:11 UTC
Sisko Brian JPresident & CEO
Tax withholdingCommon Stock 498 $9.26 $4,609.69
Disclosure

SEC source: 0000086115-18-000093 · wf-form4_154508105790669.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,688

Read SEC document
December 14, 2018 Filed Dec 17, 2018 21:18 UTC
LUBERT IRA MDirector
SaleCommon Stock 6,066 $9.15 $55,480.24
Disclosure

SEC source: 0000086115-18-000094 · wf-form4_154508151925597.xml · nonDerivative · entry 1

LUBERT IRA M · CIK 0001203115 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The sale price reported is the average sale price at which the shares were sold. The shares were sold at prices ranging from $9.14 to $9.18. Reporting person will provide, upon the request of the SEC staff, the issuer or its shareowners, full information regarding the number of shares sold at each separate price.

Read SEC document
December 11, 2018 Filed Dec 12, 2018 13:16 UTC PurchaseCommon Stock 10,000 $9.32 $93,200.00
Disclosure

SEC source: 0000086115-18-000092 · wf-form4_154462055790034.xml · nonDerivative · entry 1

ROBERTS JOHN JOSEPH · CIK 0001243108 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,794

Read SEC document
December 10, 2018 Filed Dec 11, 2018 12:36 UTC PurchaseCommon Stock 1,400 $9.15 $12,810.00
Disclosure

SEC source: 0000086115-18-000091 · wf-form4_154453173683624.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,466

Read SEC document
December 10, 2018 Filed Dec 11, 2018 12:33 UTC
Sisko Brian JPresident & CEO
PurchaseCommon Stock 2,500 $9.19 $22,966.00
Disclosure

SEC source: 0000086115-18-000090 · wf-form4_154453161897563.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,186

Read SEC document
December 07, 2018 Filed Dec 10, 2018 17:23 UTC
Herndon MarkSVP & Chief Financial Officer
PurchaseCommon Stock 10,000 $9.44 $94,400.00
Disclosure

SEC source: 0000086115-18-000089 · wf-form4_154446259143531.xml · nonDerivative · entry 1

Herndon Mark · CIK 0001754318 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

F1 · price: The purchase price reported is the average purchase price paid for the shares. The shares were purchased at prices ranging from $9.41 to $9.50. Reporting person will provide, upon the request of the SEC staff, the issuer or its shareowners, full information regarding the number of shares purchased or sold at each separate price.

Read SEC document
December 07, 2018 Filed Dec 10, 2018 17:16 UTC
Sisko Brian JPresident & CEO
PurchaseCommon Stock 2,500 $9.50 $23,747.00
Disclosure

SEC source: 0000086115-18-000088 · wf-form4_154446214250700.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,686

Read SEC document
October 23, 2018 Filed Oct 25, 2018 18:24 UTC
Herndon MarkSVP & Chief Financial Officer
GrantCommon Stock 18,000 $0.00 $0.00
Disclosure

SEC source: 0000086115-18-000084 · wf-form4_154049183194528.xml · nonDerivative · entry 1

Herndon Mark · CIK 0001754318 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Read SEC document
September 15, 2018 Filed Sep 17, 2018 12:31 UTC
Sisko Brian JPresident & CEO
Tax withholdingCommon Stock 498 $10.00 $4,980.00
Disclosure

SEC source: 0000086115-18-000077 · wf-form4_153718744851945.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,186

Read SEC document
September 15, 2018 Filed Sep 17, 2018 12:31 UTC
Kille David ASenior VP & CFO
Tax withholdingCommon Stock 22 $10.00 $220.00
Disclosure

SEC source: 0000086115-18-000078 · wf-form4_153718748553682.xml · nonDerivative · entry 1

Kille David A · CIK 0001743030 · Senior VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,611

Read SEC document
July 31, 2018 Filed Aug 1, 2018 15:03 UTC GrantCommon Stock 6,066 $0.00 $0.00
Disclosure

SEC source: 0000086115-18-000074 · wf-form4_153313578829130.xml · nonDerivative · entry 1

ROBERTS JOHN JOSEPH · CIK 0001243108 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,794

Read SEC document
July 31, 2018 Filed Aug 1, 2018 15:03 UTC GrantCommon Stock 6,066 $0.00 $0.00
Disclosure

SEC source: 0000086115-18-000073 · wf-form4_153313576472374.xml · nonDerivative · entry 1

Glass Russell D · CIK 0001328013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,066

Read SEC document
July 31, 2018 Filed Aug 1, 2018 15:02 UTC GrantCommon Stock 6,066 $0.00 $0.00
Disclosure

SEC source: 0000086115-18-000072 · wf-form4_153313574400647.xml · nonDerivative · entry 1

ROSENTHAL BOB · CIK 0001203911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,643

Read SEC document
July 31, 2018 Filed Aug 1, 2018 15:02 UTC GrantCommon Stock 6,066 $0.00 $0.00
Disclosure

SEC source: 0000086115-18-000071 · wf-form4_153313572005564.xml · nonDerivative · entry 1

Morrison Maureen F · CIK 0001720970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,066

Read SEC document
July 31, 2018 Filed Aug 1, 2018 15:01 UTC
LUBERT IRA MDirector
GrantCommon Stock 6,066 $0.00 $0.00
Disclosure

SEC source: 0000086115-18-000070 · wf-form4_153313569909080.xml · nonDerivative · entry 1

LUBERT IRA M · CIK 0001203115 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,066

Read SEC document
June 15, 2018 Filed Jun 18, 2018 15:00 UTC
Sisko Brian JCOO, EVP & Managing Director
Tax withholdingCommon Stock 497 $13.18 $6,547.98
Disclosure

SEC source: 0000086115-18-000062 · wf-form4_152933398627237.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · COO, EVP & Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,684

Read SEC document
June 15, 2018 Filed Jun 18, 2018 14:59 UTC
ZARRILLI STEPHEN TDirector · President & CEO
Tax withholdingCommon Stock 1,104 $13.18 $14,545.20
Disclosure

SEC source: 0000086115-18-000061 · wf-form4_152933395901242.xml · nonDerivative · entry 1

ZARRILLI STEPHEN T · CIK 0001203410 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,014

Read SEC document
June 15, 2018 Filed Jun 18, 2018 14:59 UTC
Kille David ASenior VP & CFO
Tax withholdingCommon Stock 21 $13.18 $276.68
Disclosure

SEC source: 0000086115-18-000060 · wf-form4_152933393117393.xml · nonDerivative · entry 1

Kille David A · CIK 0001743030 · Senior VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,633

Read SEC document
May 09, 2018 Filed May 10, 2018 13:46 UTC Exercise / conversionStock Option (right to buy) · Derivative 5,000 $12.29 Strike: $12.29 $61,469.00
Disclosure

SEC source: 0000086115-18-000054 · wf-form4_152595995657235.xml · derivative · entry 3

ROSENTHAL BOB · CIK 0001203911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-05-13

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

Read SEC document
May 09, 2018 Filed May 10, 2018 13:46 UTC Tax withholdingCommon Stock 4,579 $13.43 $61,473.08
Disclosure

SEC source: 0000086115-18-000054 · wf-form4_152595995657235.xml · nonDerivative · entry 2

ROSENTHAL BOB · CIK 0001203911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,577

Read SEC document
May 09, 2018 Filed May 10, 2018 13:46 UTC Exercise / conversionCommon Stock 5,000 $12.29 $61,469.00
Disclosure

SEC source: 0000086115-18-000054 · wf-form4_152595995657235.xml · nonDerivative · entry 1

ROSENTHAL BOB · CIK 0001203911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,156

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

Read SEC document
May 02, 2018 Filed May 3, 2018 14:38 UTC Exercise / conversionStock Option (right to buy) · Derivative 5,000 $12.29 Strike: $12.29 $61,469.00
Disclosure

SEC source: 0000086115-18-000052 · wf-form4_152535830238000.xml · derivative · entry 3

MACKENZIE GEORGE · CIK 0001085657 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-05-13

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

Read SEC document
May 02, 2018 Filed May 3, 2018 14:38 UTC Tax withholdingCommon Stock 4,575 $13.44 $61,476.56
Disclosure

SEC source: 0000086115-18-000052 · wf-form4_152535830238000.xml · nonDerivative · entry 2

MACKENZIE GEORGE · CIK 0001085657 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,675

Read SEC document
May 02, 2018 Filed May 3, 2018 14:38 UTC Exercise / conversionCommon Stock 5,000 $12.29 $61,469.00
Disclosure

SEC source: 0000086115-18-000052 · wf-form4_152535830238000.xml · nonDerivative · entry 1

MACKENZIE GEORGE · CIK 0001085657 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,250

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

Read SEC document
April 26, 2018 Filed Apr 27, 2018 13:58 UTC Exercise / conversionStock Option (right to buy) · Derivative 5,000 $12.29 Strike: $12.29 $61,469.00
Disclosure

SEC source: 0000086115-18-000046 · wf-form4_152483751312691.xml · derivative · entry 3

DOBSON JULIE A · CIK 0001178460 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-05-13

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

Read SEC document
April 26, 2018 Filed Apr 27, 2018 13:58 UTC Tax withholdingCommon Stock 4,921 $12.49 $61,473.62
Disclosure

SEC source: 0000086115-18-000046 · wf-form4_152483751312691.xml · nonDerivative · entry 2

DOBSON JULIE A · CIK 0001178460 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,411

Read SEC document
April 26, 2018 Filed Apr 27, 2018 13:58 UTC Exercise / conversionCommon Stock 5,000 $12.29 $61,469.00
Disclosure

SEC source: 0000086115-18-000046 · wf-form4_152483751312691.xml · nonDerivative · entry 1

DOBSON JULIE A · CIK 0001178460 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,332

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

Read SEC document
March 15, 2018 Filed Mar 16, 2018 17:33 UTC
ZARRILLI STEPHEN TDirector · President & CEO
Tax withholdingCommon Stock 1,104 $12.68 $13,993.20
Disclosure

SEC source: 0000086115-18-000041 · wf-form4_152122161226088.xml · nonDerivative · entry 1

ZARRILLI STEPHEN T · CIK 0001203410 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,118

Read SEC document
March 15, 2018 Filed Mar 16, 2018 17:33 UTC Tax withholdingCommon Stock 270 $12.68 $3,422.25
Disclosure

SEC source: 0000086115-18-000040 · wf-form4_152122159718272.xml · nonDerivative · entry 1

McGroarty Jeffrey B · CIK 0001563273 · Senior VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,131

Read SEC document
March 15, 2018 Filed Mar 16, 2018 17:33 UTC
Sisko Brian JCOO, EVP & Managing Director
Tax withholdingCommon Stock 498 $12.68 $6,312.15
Disclosure

SEC source: 0000086115-18-000039 · wf-form4_152122157794203.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · COO, EVP & Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,181

Read SEC document
March 01, 2018 Filed Mar 5, 2018 13:57 UTC
Sisko Brian JCOO, EVP & Managing Director
Tax withholdingCommon Stock 1,040 $12.33 $12,818.00
Disclosure

SEC source: 0000086115-18-000032 · wf-form4_152025826316652.xml · nonDerivative · entry 1

Sisko Brian J · CIK 0001323052 · COO, EVP & Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,679

Read SEC document
March 01, 2018 Filed Mar 5, 2018 13:57 UTC Tax withholdingCommon Stock 557 $12.33 $6,865.03
Disclosure

SEC source: 0000086115-18-000031 · wf-form4_152025824483655.xml · nonDerivative · entry 1

McGroarty Jeffrey B · CIK 0001563273 · Senior VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,401

Read SEC document
March 01, 2018 Filed Mar 5, 2018 13:57 UTC
ZARRILLI STEPHEN TDirector · President & CEO
Tax withholdingCommon Stock 2,526 $12.33 $31,132.95
Disclosure

SEC source: 0000086115-18-000030 · wf-form4_152025821811789.xml · nonDerivative · entry 1

ZARRILLI STEPHEN T · CIK 0001203410 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,222

Read SEC document
January 15, 2018 Filed Jan 16, 2018 16:56 UTC GrantDeferred Stock Units (Match) · Derivative 120 $0.00 $0.00
Disclosure

SEC source: 0000086115-18-000014 · wf-form4_151612178208893.xml · derivative · entry 2

DOBSON JULIE A · CIK 0001178460 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,175

Underlying: Common Stock · 120 shares

Expires not disclosed

F2 · derivative.exercise_price: The deferred stock units are payable in stock, on a one-for-one basis. The deferred stock units vest on the first anniversary of the grant date or once a director reaches age 65. Distributions in respect of the deferred stock units will be made following termination of service as a director at times established in accordance with the terms of the applicable equity compensation plan of the Issuer.

F2 · derivative.exercise_date: The deferred stock units are payable in stock, on a one-for-one basis. The deferred stock units vest on the first anniversary of the grant date or once a director reaches age 65. Distributions in respect of the deferred stock units will be made following termination of service as a director at times established in accordance with the terms of the applicable equity compensation plan of the Issuer.

F2 · derivative.expiration_date: The deferred stock units are payable in stock, on a one-for-one basis. The deferred stock units vest on the first anniversary of the grant date or once a director reaches age 65. Distributions in respect of the deferred stock units will be made following termination of service as a director at times established in accordance with the terms of the applicable equity compensation plan of the Issuer.

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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.